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Recommended Principles to Guide Academy-Industry Relationships

American Association of University Professors

Publication Year: 2014

The reputation of a college or institution depends upon the integrity of its faculty and administration. Though budgets are important, ethics are vital, and a host of new ethical problems now beset higher education. From MOOCS and intellectual property rights to drug industry payments and conflicts of interest, this book offers AAUP policy language and best practices to deal with all the campus-wide challenges of today's corporate university:Preserving the integrity of research and public respect for higher education.Eliminating and managing individual and institutional financial conflicts of interest.Maintaining unbiased hiring and recruitment policies.Establishing grievance procedures and due process rights for faculty, graduate students, and academic professionals.Mastering the complications of negotiations over patents and copyright.Assuring the ethics of research involving human subjects.In a time of dynamic change, Recommended Principles to Guide Academy-Industry Relationships offers an indispensable and authoritative guide to sustaining integrity and tradition while achieving great things in twenty-first century academia.

Published by: University of Illinois Press

Title Page, Copyright Page

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pp. i-ii


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pp. iii-iv

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pp. v-viii

The American Association of University Professors (AAUP) hereby issues this comprehensive report, Recommended Principles to Guide Academy-Industry Relationships. Work on this project began prior to the 2013 organizational...

Glossary of Acronyms and Abbreviations

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pp. ix-xii

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Summary of Recommendations

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pp. 1-24

The American Association of University Professors (AAUP) has drafted these principles to encourage universities and their faculties to adopt stronger, more comprehensive rules to guide sponsored research on campus and to manage...

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pp. 25-116

In 1915, the American Association of University Professors warned of the risks to higher education from the influence of “commercial practices in which large vested interests are involved.”2 The 1915 Declaration warned of “a real danger that pressure from vested...

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Detailed Discussionof the 56 Recommended Principles

As noted in the Summary of Recommendations, throughout this report the AAUP defines a financial interest to be “significant” if it is valued at or above $5,000 per year and it is not controlled or managed by an independent entity such as a mutual or pension fund. This definition is consistent with the definitions and de minimis...

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Part I: General Principles to Guide Academy-Industry Relationships University-Wide (1–7)

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pp. 118-135

the university must preserve the primacy of shared academic governance in establishing campuswide policies for planning, developing, implementing, monitoring, and assessing all donor agreements and collaborations, whether with private industry, government, or nonprofit...

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Part II: General Principles for Academic Education and Training (8–10)

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pp. 136-140

Students, postdoctoral fellows, adjuncts, and junior researchers participate in a variety of industry-sponsored activities, both on and off campus. Such collaborations— working in an industry-sponsored lab on campus, a professor’s start-up company off site, or a corporate lab—offer attractive professional...

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Part III: General Principles for Management of Intellectual Property (IP) (11–21)

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pp. 141-162

The management of inventions, patents, and other forms of intellectual property (IP) in a university setting warrants special guidance because it bears directly on the university’s core values, including principles of academic freedom, scholarship, research, and the transmission of knowledge to the public...

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Part IV: General Principles for Management of Conflicts of Interest (COI) and Financial Conflicts of Interest (FCOI) (22–31)

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pp. 163-188

We have already discussed conflicts of interest at many points in this book, most thoroughly in “A Brief History of Efforts to Address Financial Conflicts of Interest at US Universities and Academic Medical Centers” under Risk 5 in the Introduction. This section will necessarily repeat some points in order...

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Part V: Targeted Principles: Managing COI in the Context of Clinical Care and Human Subject Research (32–35)

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pp. 189-193

With the welfare of patients and research subjects always of utmost concern, academic institutions should give COI in the areas of clinical care, pre-clinical research,527 human subject research, and animal research close scrutiny, regulation, and oversight.528 The integrity of science and the moral imperative of...

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Part VI: Targeted Principles: Strategic Corporate Alliances (SCAs) (36–48)

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pp. 194-212

An SCA is distinct from an Industrial Research Consortium (IRC), in which it is customary for a group of some ten or more companies to pay yearly membership fees to jointly fund a broad research goal or technology development objective that all the subscribers have a common interest...

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Part VII: Targeted Principles: Clinical Medicine, Clinical Research, and Industry Sponsorship (49–56)

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pp. 213-229

As the Introduction explains, numerous academic and medical groups have warned about FCOI and industry influence in biomedicine. These include the AAU, the AAMC, the Federation of American Societies for Experimental Biology, the latter in both 2006597 and 2008.598 All have issued guidelines...

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Appendix A

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pp. 230-246

In a number of cases, translating these principles into handbook language required only adopting declarative in place of imperative language. Thus we replaced “the university should” with “the university will” or “the university should prohibit” with “the university prohibits” when appropriate. We also...

Appendix B

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pp. 247-268


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pp. 269-356

Back Cover

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p. BC-BC

E-ISBN-13: 9780252096587
Print-ISBN-13: 9780252038242

Page Count: 368
Publication Year: 2014