POLICY ON CLASSIFIED AND OTHERWISE RESTRICTED RESEARCH
JOHNS HOPKINS UNIVERSITY
October 23, 2005
Executive Summary
As part of the commitment to its public service mission, the Johns Hopkins University endorses
faculty participation in research in the national interest. At the same time, however, the
University’s commitment to openness in documentation and dissemination of research results
precludes the pursuit of classified research or the use of classified information within the
academic enterprise. Thus no classified research will be carried out on any academic campus
of Johns Hopkins nor will classified information be used to satisfy the criteria for any academic
degree requirements, faculty appointments, or faculty promotions. Further, Johns Hopkins will
not accept other restrictions on research or research information related to non-statutory
classifications. An exception to this policy is the Applied Physics Laboratory, which is not an
academic division, and has a distinct mission that makes it an appropriate venue for classified
research.
2
POLICY ON CLASSIFIED AND OTHERWISE RESTRICTED RESEARCH
1. Introduction
The mission of the Johns Hopkins University is “to educate its students and cultivate their
capacity for life-long learning, to foster independent and original research, and to bring the
benefits of discovery to the world.” The University’s endeavors in educating students and
advancing knowledge are fundamental to the well-being of the nation, and to the security of our
people. Johns Hopkins is dedicated to academic freedom and to the public documentation and
dissemination of the knowledge that it creates. A free and open academic environment is an
essential element in fulfilling the Johns Hopkins research and educational missions, and in
achieving the University’s ultimate objective of contributing to the benefit of the public.
Conversely, policies or practices that inhibit the free exchange of ideas, by limiting scholarly
interchange, can markedly restrain both the advancement of knowledge and its productive use.
In pursuing its public service mission the University and its faculty may find it important to
engage in research in the national interest where restrictions may be imposed on access to and
documentation and dissemination of information. In these cases, the specific research may be
characterized as “classified” or “sensitive.” Restrictions on these projects create potential
conflicts with the academic values of this institution. A university policy on research under
these conditions must be in accord with the basic academic principles of Johns Hopkins while,
at the same time, providing the opportunity to engage in research in the national interest that
the University, its faculty and staff deem important.
2. Policy
This policy applies to all academic divisions of Johns Hopkins. The Applied Physics
Laboratory (APL) is a non- academic division of the University largely conducting research for
the government and is exempted from the restrictions of this policy. APL is a secure facility
authorized by the Defense Security Service to conduct classified research projects on behalf of
the University.
The following section outlines Johns Hopkins’ policy relating to information or projects that
potentially lead to restrictions on the free and open documentation and dissemination of
research information, or that may limit access by certain faculty, staff or students to the
research program. Classified research and sensitive information are defined in Section 3 of this
document.
3
A. Classified Research
Johns Hopkins is committed to its public service mission, and as part of that
commitment we support faculty participation in research in the national interest that on
occasion may involve classified information related to national security. However, the
fundamental values of the University make it imperative that the University’s academic
campuses provide an environment where free inquiry and documentation and
dissemination of information are rigorously maintained. Effective documentation and
dissemination of research results is one of the most important contributions that Johns
Hopkins can make to the nation.
Classified research will not be carried out on any academic campus of Johns Hopkins
University. Research programs using classified materials cannot be used to satisfy the
criteria for completion of academic degree requirements, faculty or scholarly
appointments, or promotions.
Any member of the research community at Johns Hopkins who is planning to
participate in a project conducted under the auspices of the University that may involve
classified research must first obtain approval from her/his divisional research
administration office on behalf of the University before submitting a proposal for the
project. This approval must include a plan for a non-academic site where the expected
research will be conducted.
B. Sensitive Information
Efforts have been made by some government agencies to impose restrictions on certain
research projects by requiring a review of research results prior to publication to ensure
there is not a disclosure of any “sensitive information.” These restrictions are proposed
despite the fact that there is no law or regulation defining or requiring restrictions on
“sensitive information,” and despite the fact that this information has not been classified
using accepted procedures. Proposed restrictions have included the manner in which
the results of the research project are compiled and disseminated, as well as prohibiting
access by foreign nationals to this information.
The University will not accept any contracts or grants for research projects with
restrictions imposed by sponsors that research should be reviewed for possible
disclosure of “sensitive information.” Information that is characterized as “sensitive”
will not be accepted for use in research projects on academic campuses nor will
“sensitive” information be held on those campuses. Research programs using
“sensitive” information cannot be used to satisfy the criteria for completion of academic
degree requirements, faculty or scholarly appointments, or promotions.
4
C. Research Sponsored by Industry
Research sponsored by industry at Johns Hopkins frequently involves requests by the
sponsoring organization to restrict the documentation and dissemination of the results of
the research. Under certain circumstances, Johns Hopkins is willing to consider
requests for restrictions proposed by industrial sponsors on open publication or
presentation of research results, and may permit delays in documentation and
dissemination of information in order to permit assessment of the potential of the
intellectual property for patentability.
D. Other Restrictions
Some restrictions on documentation and publication of research emanate from foreign
governments as part of their conditions for obtaining research visas or participating in
collaborative research with their nationals. Non-governmental actors such as
community leaders or non-governmental organizations may impose other restrictions.
The University carefully examines proposals involving research projects that could
possibly restrict documentation and dissemination of information or result in the
indefinite delay of publication. In general, the University will not agree to such
restrictions on the research except when ethical considerations could become an issue.
The sponsor’s right to review and reply may entail a reasonable delay in publication or
dissemination.
E. Consulting
The restrictions outlined in this policy are not intended to prevent members of the Johns
Hopkins faculty from acting in a private capacity as a consultant working with agencies
or other institutions on matters of a classified or proprietary nature.
F. Special Exceptions
Only under special conditions shall the University accept a classified project when there
are restrictions on the disclosure of its existence, its general nature, and its sponsor’s
identity. In such cases, a final determination for accepting such projects will be made
by the President of the University.
G. Applied Physics Laboratory
The Applied Physics Laboratory is a non-academic division with a distinctively different
mission that involves substantial work associated with national security and requires
access to classified information. The Applied Physics Laboratory provides a venue that
allows faculty from the academic divisions to participate in research with national
5
security significance. The University, through the President and the Board of Trustees
subcommittee on APL, provides management oversight of the direction and quality of
the APL program, including classified research and development.
H. Standing Committee on Research Information Practices
The University shall establish a Committee on Research Information Practices whose
purpose will be to review all matters concerning classified, “sensitive” and proprietary
research. The committee will have cognizance over the policy for classified, “sensitive”
and proprietary research areas. It will continue to review the federal policies and
practices as well as program requirements from various other funding sources, and
recommend an appropriate Johns Hopkins response to these issues. The Provost shall
appoint the members of the Committee.
3. Definitions and Terms
A. Classified Information
The government may classify information that is deemed to be important to the national
security interests of the United States. Classification is the means by which information
is restricted. The standard categories of classification include confidential, secret, and
top secret. Successive levels of classification imply a greater level of importance to
national security interests, and more stringent requirements for access or use of the
information. Several more restrictive levels of information have been added to this set
of classifications, but are only available under very special conditions. The categories
successively impose greater restrictions on the documentation and dissemination and
use of the information, as well as imposing more stringent requirements on persons who
wish to be authorized access to information in the respective categories. The process by
which individuals are granted access to the various categories of classified information
is deemed to be security clearance, and is conducted by the Defense Security Service.
B. Classified Materials
Classified materials can be any resources, equipment, or supplies utilized in a project
that contains classified research. These materials are most often (but not limited to)
computer disks used to compile information about the project as well as hardcopy
documents, forms, drawings, notebooks, cameras, tapes, chemicals, substances, or any
other resources related to a classified research project. All classified materials are kept
in containers that meet the specifications set forth in the National Industrial Security
Program Operating Manual as they apply.
6
C. Classified Research
Classified research is defined as research that has a security classification established by
an authorized agency of the federal government. An entire sponsored research project
or a specific section of a research project may be categorized as classified.
Classification requirements typically emerge due to certain contractual conditions, but
may, in some cases, arise after the research has been conducted as a result of the
extreme importance of the research results to national security.
Classification is not normally applied to basic research projects. It is more typically
used to limit use and dissemination of information about applied research or
development efforts.
Johns Hopkins University carries out a significant amount of classified research and
development at the Applied Physics Laboratory. As a result of their governance
responsibilities with respect to the University’s security program, a number of senior
university officers and trustees are required to have security clearances.
Johns Hopkins also maintains a facility security office to meet its security obligations.
A number of Johns Hopkins faculty and research staff hold security clearances in
connection with research programs in which they are engaged or in connection with
their roles as advisors in various government programs.
D. “Sensitive Information”
Most recently, government-contracting officials have identified certain research projects
where a review and approval of research results is required prior to publication to
ensure there is not a disclosure of any “sensitive information.” Restrictions on
publication of research results have included the manner in which the results of the
research project are compiled and disseminated, as well as the limitations on specific
research staff that have access to this information. Particular emphasis has been given
to restrictions that limit the access to this information to research staff who are not
foreign nationals. Inasmuch as there is no consistent understanding of or definitions
for the term “sensitive” across various government agencies, the requirements for the
institution, the principal investigator and the research team lack clarity.
E. Restrictions
Restrictions on research projects at Johns Hopkins are proposed on some occasions by
government agencies or other external funding organizations. These restrictions may
include the right to use the results of the research, the ownership of documents
produced in the work, or distribution of the information involved in the project. In
certain instances, the University may be requested to accept contracts prior to receiving
7
the award that require specific controls over the dissemination of the results of the
research. For example, funding agencies frequently attempt to restrict publication of
research results by requiring agency approval rather than a simple review. In other
cases, the external funding entity may place limits on who may participate in a
sponsored project based on factors such as national origin. There are circumstances
where funding institutions may attempt to impose restrictions that are in direct conflict
with the University’s federally approved rules.
