UC International Engagement Enhanced Review & Approval

With the changing landscape of research security and to proactively protect our intellectual property, strengthen collaborations, and uphold the integrity of our research enterprise, the University of California has implemented an enhanced review and approval process for international affiliations and agreements, which is outlined in the University of California President's letter to the Chancellors issued on August 28, 2023. This elevated review process requires a thorough review of international affiliations and agreements that involve both a country of concern (as defined by UCOP) and an emerging technology.

In summary, agreements with those characteristics will require a comprehensive campus review and require approvals by the VCR and Chancellor before submission to UCOP for final approval.

Key Details

Which Activities Require Enhanced Review?

Agreements, affiliations and collaborations linked to emerging technologies and involving countries of concern require UCOP’s review.

  • Agreements: Formalized commitments (written or oral) between UC Berkeley and external parties, which may include contracts, gift agreements, corporate sponsorship agreements, partnership agreements, grant agreements, service agreements, and memoranda of understanding.
  • Engagements: Institution-wide activities involving significant or meaningful interaction or exchange with international entities, which encompass Agreements, Affiliations, and Collaborations, including joint programs, research initiatives, gifts, and exchanges.
  • Affiliations: An association or relationship of continuing nature between UC Berkeley and another organization or individual in supporting academic, research, or professional development, often involving faculty, scholars, or students.
  • Collaborations: Structured partnerships that align with UC Berkeley’s mission but may pose heightened compliance risks.

To help determine whether an activity is within the scope of review, consult the International Engagement Decision Tree.

Countries of Concern

For purposes of the UC elevated review process, the countries of concern are:
  • China (including Hong Kong and Macau)
  • Iran
  • North Korea
  • Russia
  • Qatar
  • Saudi Arabia
  • United Arab Emirates

Emerging Technologies

Critical and emerging Technologies subject to review include areas outlined by the White House Office of Scientific Technology Policy (OSTP), such as:
  • Biotechnology (e.g., synthetic biology, neurotechnology).
  • Artificial intelligence (AI) and machine learning.
  • Quantum computing, advanced materials, and autonomous systems.

See the OSTP list for more. This list evolves based on federal updates. UC Berkeley remains committed to staying at the forefront of innovation while complying with applicable regulations. Consult Berkeley’s Export Control Office with questions about emerging technology areas.

Scope of Engagements

Only institution-level activities are considered Engagements — those undertaken on behalf of UC Berkeley. In-Scope Engagements are subject to the UCOP Enhanced Review process when the Engagement involves a Country of Concern and emerging technology. Examples include research partnerships, agreements signed by the campus, and even gifts.

Individual-level activities, such as faculty acting in their individual capacity, collaborating on an outside (non-Bekeley) research project or journal co-authorships, are considered Out of Scope and fall outside UCOP’s review but remain subject to oversight by UC Berkeley’s Export Control Office and subject to research security reviews to identify and mitigate relevant risks.

Note, all federally sponsored research projects (including grants or contracts, federally sponsored research with foreign subawards, or federally sponsored research with foreign-located collaborators) are considered Out of Scope (does not require UCOP Enhanced Review) even if they are institutional-level programs involving Countries of Concern and Emerging Technologies. Although, similar to Individual-level activities, they remain subject to oversight by UC Berkeley’s Export Control Office and subject to research security reviews to identify and mitigate relevant risks.

Contact

For any questions or if you believe your collaboration or affiliation is within scope, contact researchsecurity@berkeley.edu and complete the Research Security Intake Form. This form collects the information needed to perform a campus risk assessment for engagements involving both countries of concern and emerging technology. If you are considering an affiliation that may fall within scope for this UCOP Enhanced Review and Approval,note that the review process may take anywhere from a few weeks to several months, depending on its complexity.