Update: UCOP International Affiliations Mandate
Author : danika-pritchard | Published Date : 2025-06-27
Description: Update UCOP International Affiliations Mandate Kairi Williams Assistant Vice Chancellor Research Administration Compliance Brian Warshawsky Director Research Ethics Compliance RAC FORUM February 28 2024 Topics Recap President
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Transcript:Update: UCOP International Affiliations Mandate:
Update: UCOP International Affiliations Mandate Kairi Williams, Assistant Vice Chancellor, Research Administration & Compliance Brian Warshawsky, Director, Research Ethics & Compliance RAC FORUM February 28, 2024 Topics Recap: President Drake, August 28, 2023 1. Enhanced Review and Approval Process 2. Inventory of International Collaborations 3. Routine Reporting of Affiliations Guidance on 1. Issued November 20, 2023 Guidance on 2. Issued February 1st, 2024 Due Date May 1st, 2024 Berkeley Implementation plans - Enhanced Review & Approval Process Partnering Offices - SPO, IAO, UDAR, GEO Intake focus on Countries of Concern Emerging Technologies reviewed by RAC Operationalizing the review process SOPs Tools - Intake Form Research Security Review Form Risk Assessment form draft General Review Export Control Review Disclosure Review Legal Review Potential Need: Technology IRB Submission Process TBD Record Retention/Systems of Record Challenges - Fundamental Research, General Review, Proposal notifications Questions RECAP - President Drake, August 28, 2023 Letter to Chancellors & LBNL UCOP International Affiliations Mandate 1. Enhanced Review and Approval Process 2. Inventory of International Collaborations 3. Routine Reporting of Affiliations Formula for “in-scope” activities Institutional Level Affiliations and Agreements Emerging Technology Country of Concern Requires “Enhanced Review and Approval” by UCOP Affiliations and Agreements Engagements Affiliations Collaborations Agreements including but not limited to: non-federal proposals and sponsored research agreements (SPO, IAO) gifts (UDAR) international agreements and MOUs (GEO, IAO, SPO, RAC) Institutional vs. Individual Does not include individual collaborations, visits or travel Countries of Concern include Democratic People's Republic of Korea (North Korea) Islamic Republic of Iran People's Republic of China (including Hong Kong and Macau) Qatar Russian Federation Saudi Arabia United Arab Emirates International Engagement Enhanced Review & Approval Guidance Guidance Issued November 20, 2023 Defines the criteria expected of UC locations to meet the new UCOP Presidential Mandate on international engagements. This includes a robust Research Security Review Criteria to be performed by the location before completing a Submission Form to request Enhanced Review and Approval from UCOP. Defined Elements of the Review Criteria include: General Review Export Control Review Disclosure Review Legal Review International Engagement Enhanced Review & Approval Guidance (Continued) Described options include: Assigning the review to an official with the relevant knowledge, experience, and duties; Convening a committee or other group to share the review responsibilities, including establishing a “Technology IRB” comprised of subject matter experts; Creating a process that completes all the Review Criteria through various processes and areas of responsibility,
