CUCFA Concerns re: Rescission of 1989 Guidelines on University-Industry Relations
On July 6, CUCFA started a conversation with UCOP by sending a letter (see below) to UC President Janet Napolitano. Aimee Dorr responded to the letter on behalf of UCOP (see the second letter below, received August 4th), and CUCFA responded to that letter (see third letter below, dated August 10th).
President Janet Napolitano
Office of the President
University of California
1111 Franklin Street, 12th Floor
Oakland, CA 94607
Dear President Napolitano,
The Council of UC Faculty Associations (CUCFA) is concerned by both the substance and the process associated with your recent announcement that you have rescinded the 1989 Guidelines on University-Industry Relations.
The policy you rescinded contained restrictions on direct UC investment in companies commercializing technology based on UC research. These provisions in Sec. 13 of the 1989 Guidelines are thoughtful and prudent. Sec. 13 includes the following statement: "If the University were to be an equity participant in the work of one or more faculty members, it could be seen as favoring those faculty members, and could be in conflict with the University's role to support scholarship and allocate institutional resources in an even-handed manner." In our view, this rationale for the restriction in the guideline remains valid. We support the full statement of the Sec. 13 justification and the guideline itself, which are quoted at the end of this letter. They should not be rescinded without a compelling justification.
In your announcement, you did not mention consultation with the Academic Senate, and we have not been able to find evidence that such consultation took place. Since your stated policy change affects faculty research, faculty involvement in relations with industry, and the investment of University funds, it clearly falls within the established scope of topics appropriate for consultation with the Senate.
Thus we request that you provide CUCFA and the larger University community with an account of your reasons for rescinding the Guidelines and with a description of the process that led to your decision. We also strongly encourage you to engage with the Senate in consultation on the desirability of reinstating the 1989 Guidelines or on the structure of a replacement policy that will also contain appropriate safeguards such as those in Sec. 13 of the 1989 Guidelines.
We will welcome an opportunity for further discussion of these issues with you.
Sincerely,
Joe Kiskis
Vice President for External Relations
on behalf of the Board of the Council of UC Faculty Associations
enclosure: Excerpt from Sec. 13 of the 1989 Guidelines on University-Industry Relations
cc: Academic Senate Chair William Jacob, Provost Dorr, CIO Bachher, Senior Vice President and Chief Compliance and Audit Officer Sheryl Vacca, and Vice President Steven Beckwith.
From Sec. 13 of the 1989 Guidelines on University-Industry Relations:
"Primarily because of its need to be even handed in its support of faculty members and in its openness to competing commercial enterprises, the University has not arranged for investment in firms whose products derive from University research, when the principal purpose is to promote faculty inventions. If the University were to be an equity participant in the work of one or more faculty members, it could be seen as favoring those faculty members, and could be in conflict with the University's role to support scholarship and allocate institutional resources in an even-handed manner. Moreover, this kind of relationship with certain companies could preclude or inhibit research sponsorship by other competing companies.
"Guideline: In general, it is not appropriate for the University to invest directly in enterprises when such investment is tied to the commercial development of new ideas created or advanced through University research."
UC Provost Aimée Dorr responds:
Dear Professor Emeritus Kiskis:
Thank you for your email of July 6 to President Janet Napolitano regarding the Council of UC Faculty Associations' (CUCFA) concerns over the rescission of the Guidelines on University-Industry Relations. The President asked that I respond on her behalf, and I am pleased to do so.
Let me begin by noting that the action was the culmination of a thoughtful, ongoing process that included consultation with several groups. Although many elements of the Guidelines on University-Industry Relations are articulated elsewhere in UC policies, you may be interested to know that we are preparing a new, detailed guidance document that covers and expands upon most of the subject matter of the Guidelines. Although no objections were raised at the time, recent media concerning Guideline 13, in particular, has prompted additional discussions with Senate and campus leadership. The Academic Council and Council of Vice Chancellors for Research are now reviewing carefully the detailed guidance document, and my office will work closely with them to address any concerns they may have. I expect the guidance to be issued soon after reviews are completed.
Additionally, with respect to Guideline 13, we are developing a framework under which any investment in the development of new ideas created through University research would take place going forward, and we are consulting with the Academic Senate and campus leadership in the development of that framework.
Your thoughtful inquiry and CUCFA's willingness to engage in the discussion of our research policies and practices demonstrate the genuine shared governance that helps make the University of California great.
Sincerely,
Aimée Dorr, Provost
Executive Vice President-
Academic Affairs
cc: President Napolitano
Academic Senate Chair Jacob
Chief Investment Officer Bachher
Senior Vice President Vacca
Interim Vice President Tucker
CUCFA Vice President Kiskis replies:
August 10, 2014
Aimée Dorr
Provost & Executive Vice President
1111 Franklin Street, 12th Floor
Oakland, CA 94607
Dear Provost Dorr,
Thank you for your response of August 4. We are pleased to hear that you have initiated a process of consultation regarding policy on University-industry relations. We trust that no policy changes have yet been made and that outcomes regarding the substantive policy concerns raised in our previous letter and the letter of July 29 from Senate Chair Jacob, will be a product of that consultation. Indeed we anticipate that, as with other policy matters that are appropriate for Senate consultation, any proposed changes will be sent to the Senate for its full review, which as you know, includes dissemination to the Divisions on the campuses for their comment.
In your email to us, you mentioned that there was consultation with several groups preceding the President's announcement in June. Her comments and the press release refer to a "working group." We would like to know the membership of this working group and are asking to see the official charge of the group and the reports it has issued, if any, regarding University-industry relations. We look forward to hearing from you.
Sincerely,
Joe Kiskis
Vice President for External Relations
on behalf of the Board of the Council of UC Faculty Associations