This report, produced collaboratively by the Council on Governmental Relations (COGR), the Association of American Universities (AAU), and the Federal Demonstration Partnership (FDP), addresses the growing prevalence and complexity of restrictive clauses in federal research awards to U.S. universities. These "troublesome clauses" often limit the publication of research findings and restrict the participation of foreign nationals in federally funded projects, practices that stand in contrast to the federal government's stated commitment to the openness of fundamental research as anchored in National Security Decision Directive 189 (NSDD-189). The report compares data from surveys conducted in 2003-2004 and 2007-2008 across 20 leading research universities, finding not only a persistence in the frequency of publication and foreign national restrictions but also a marked increase in the variety and total number of restrictive clauses, such as those related to export controls and intellectual property. The Department of Defense (DOD) emerges as the primary source of such clauses, particularly through flow-downs from industry contractors, with the Defense Federal Acquisition Regulations Supplement (DFARS) 7000 clause cited as especially prevalent.
The expansion of restrictive terms beyond research contracts, now frequently appearing in grants and cooperative agreements, underscores a broader trend towards greater governmental control over university research, often resulting in prolonged negotiations or outright rejection of awards. The proliferation and inconsistency of these clauses have significant implications: they jeopardize academic freedom, impede the inclusion of international researchers, and may incur compliance burdens that threaten universities’ ability to engage effectively in federally funded research. The report identifies key issues, such as the conflict between academic openness and security-driven restrictions, the adverse effects on research progress and student participation, and the challenges of ensuring consistent interpretation and compliance across institutions. To address these challenges, the authors propose a series of recommendations, including reforms to federal contracting regulations, enhanced clarity and training for contracting officers, selective use of export control clauses, and stronger education efforts within the university community. Ultimately, the report contends that constructive collaboration between the federal government and research universities is essential to balance national security concerns with the preservation of the open academic environment fundamental to scientific advancement.
