Export Controls - Openness of the University Research Environment

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Openness of the University Research Environment

Many of the UC policies cited here are summarized in the University Contract and Grant Manual, Chapter 1, Academic Policy. The Manual can also be accessed on the UCOP website at:

Appropriate Research: Starting with Section 1-320, the University Regulation Number 4 establishes the basis upon which the University will agree to perform research under contract with external sponsors. There are two related sections: Section 2 which states that the research must lead to new knowledge and Section 5 which states that the right of publication and ownership of the research results is reserved to the University. Section 1-330 then expands further on the principles underlying Regulation 4. The important element is that the University does not perform proprietary research that only advantages the sponsor; while a given sponsor may fund the research, the research results will be widely disseminated, perhaps to the advantage of the competitors of the sponsor.

Publication of Results: Section 1-410 is the section on the publication policy. Given that this policy establishes University-wide standards, the policy recognizes that in exceptional circumstances the University may authorize exceptions to the policy. Given the University management of two DOE-funded laboratories that conduct classified research, one of the listed circumstances that can justify an exception is: "security considerations in the national interest are involved." On a practical basis, this is interpreted to mean when classified contracts are accepted. Most of the campuses, including the Berkeley campus, have adopted local policies that state that classified work may not be conducted on campus. There are a number of UC Office of the President statements to this effect, as well.

Ownership and Use of Results: Section 1-420 is a Presidential statement on ownership of research results, reflecting some problems with the University being able to publish the results that can occur when a restrictive rights in data clause is accepted. Section 1-430 is the Academic Senate Resolution on Freedom to Publish. The State of California has also passed certain resolutions on the University publication policy and acceptance of restrictions. The text of Assembly Concurrent Resolution, along with a useful summary of the University's publication policy can be found on the web at:

NSDD 189: Another University statement of policy can be found in the C&G Memo about the National Policy on Transfer of Scientific, Technical and Engineering Information and Selected Agency Statements on Publication of Research Results. Consistent with national policy, the position of the University is that the appropriate form of restrictions on publication or dissemination of research is classification. The memo is on the web at:

Citizenship Restrictions: An important corollary to the openness of the academic environment and freedom to publish is that controls based upon citizenship are also unacceptable. Foreign graduate students, post docs, and visiting scholars are an integral part of the University research environment. Restrictions based on citizenship status would be administratively impossible to implement as well as contrary to our policies on open dissemination of research finding. The Policy on Acceptance of Funds Restricted to US Citizens is at: