The AAU/COGR Task Force report examines the growing prevalence and impact of restrictive clauses—termed “troublesome clauses”—in U.S. research awards, particularly those that limit the dissemination of research findings or the participation of foreign nationals without prior approval. Despite the long-standing federal policy articulated in National Security Decision Directive 189 (NSDD 189)—which asserts that fundamental research should remain unrestricted except when national security requires formal classification—the Task Force found that, starting in 2001, educational institutions have increasingly received federal contracts and subcontracts containing publication restrictions (notably DFARS 252.204-7000) and foreign national limitations. The report is based on a systematic review by 20 leading research universities, assessing 138 instances of such clauses that threaten the “fundamental research” exemption under federal export control laws, thereby jeopardizing openness, international collaboration, and educational missions.
Analysis revealed that these clauses are widespread, especially in Department of Defense (DoD) and security-related agency agreements, and are particularly problematic in research subcontracting situations where industrial or commercial partners pass down federal restrictions to universities. Negotiations to remove or modify these clauses are often protracted—75% requiring over a month, with some stretching to half a year or longer—and their presence leads universities to decline awards or seek burdensome export licenses, stalling research progress and harming faculty and student researchers. Most participating institutions maintain policies against accepting restrictions on publication or foreign national involvement, aligning with the intent of NSDD 189, yet they frequently face pressure to compromise these principles. The Task Force recommends that federal agencies and industrial partners strictly observe NSDD 189, refrain from imposing such restrictions on fundamental research, and avoid passing federally mandated restrictions to university subawardees involved in basic research. They further urge collaborative engagement between universities, sponsors, and government agencies to resolve these issues and protect the national interest in open scientific scholarship and innovation.
