Offering an innovation and entrepreneurship (I&E) program to industry partners across a range of research areas provides many benefits to the university and participating companies. It also could open the door to certain risks. Where I&E program research themes overlap critical and emerging technologies* and I&E program participants are from countries of concern,** special risks are created that require enhanced review and diligence. Risks like loss of federal funding opportunities and reputational harm must be considered. I&E program managers are advised to review their inventories of research projects, data, and technologies available to program participants and carefully vet prospective participants. Prospective participants might not be accepted into the program based on UC Berkeley’s vetting processes. UC Berkeley’s research security and export control guidance, linked below, should be reviewed. Experts are on hand for consultations.
- UC Berkeley’s Principles of International Engagement
- Research Security
- Export Controls
- Managing and Reporting Foreign Influence in Sponsored Research
- How to Conduct Restricted Party Screening
Definitions
*Emerging technologies "as listed by the Department of Commerce, Bureau of Industry and Security in 83 FR 58201, including but not limited to Artificial Intelligence (AI) and Machine Learning, Quantum Information/Sensing, Semiconductor and Microelectronics, Biotechnology, and other areas that can be identified by your Export Control Officer (ECO) based on evolving federal government classification of emerging technology important to national security." (Drake August 28, 2023 letter)
**Countries of concern "include Qatar, Saudi Arabia, United Arab Emirates, the People's Republic of China (including Hong Kong and Macau), the Democratic People's Republic of Korea (North Korea), the Russian Federation, and the Islamic Republic of Iran. See e.g., Section 19221 of the CHIPS and Science Act of 2022 [42 U.S. Code § 19221]; Section 117 of the U.S Higher Education Act of 1965; and https://www2.ed.gov/policy/highered/leg/institutional-compliance-section-117.pdf" (Drake August 28, 2023 letter)
- Note: This list differs from export control lists. Be sure to check both.
- Note: China does not include Taiwan. China does now include Hong Kong and Macau.