The Association of American Universities (AAU) was founded in 1900 by a group of fourteen universities offering the Ph.D. degree. The AAU currently consists of fifty-nine American universities and two Canadian universities. Approximately half are public institutions and half are private (UW-Madison is a member).
The association serves its members in two major ways. First, it assists them in developing national policy positions on issues that relate to academic research and graduate and professional education. Second, it provides them with a forum for discussing a broad range of other institutional issues, such as undergraduate education."
One research issue important to the AAU is science and security, including export controls:
- Joint Association Response on Proposed Changes to Export Control Lists, 7 Feburary 2011.
- AAU Leaders Applaud Administration's Planned Export Control Reforms, 30 August, 2010.
- President Outlines Reforms of Export Control Policies, 30 August 2010.
- Associations Reiterate Opposition to Immigration Service Collecting Export Control Information, 29 July 2010.
- DOD Policy Memo on Protecting Exemptions for Fundamental Research, 24 May 2010.
- AAU-COGR Comment on USCIS Plan to Add Export Control Question to H-1B Visa Applications, 9 April 2010.
More information and history on AAU involvement in export control issues: Including comments, letters, press releases, presentations, 1985-2008.
AAU published reports on federal research policy, the role university research, university technology transfer, restrictive research clauses, and more.
National security controls and university research:
Information for investigators and administrators.
Prepared by the Association of American Universities for the Department of Defense-University Forum. Washington, DC, AAU, 1987. 10p. Available in the Schwerdtfeger Library.
"The COGR is an association of research universities. COGR's primary function is to help develop policies and practices that fairly reflect the mutual interest and separate obligations of federal agencies and universities in federal research and training. COGR deals mainly with policies and technical issues involved in the administration of federally sponsored programs at universities. The Council concerns itself with the influence of government regulations, policies and practices on the performance of research conducted at colleges and universities. As part of this process, COGR provides advice and information to its membership, and makes certain that federal agencies understand academic operations and the burden their proposed regulations might impose on colleges and universities."
Joint Comment Letter [from COGR, AAU, APLU, AAAS] to Department of State on Proposed Changes to the Munitions List, 8 February 2011.
COGR Publications on Export Controls:Includes COGR comment letters, presentations, brochures, position statements, 2000-2006.
Summary of the ITAR dilemma (15 November 2000). Prepared by the Council on Governmental Relations. Washington, DC, COGR, 15 November 2000.
Export controls and universities: Information and case studies. Prepared by the Council on Governmental Relations. Washington, DC, COGR, 2004. This brochure attempts to provide relevant information about export controls and how they affect the academic research enterprise. It does not claim to be a manual of university research administration, nor does it offer model policies.
Committee on Homeland Security and Export Controls of The National Academies, Board on Global Science and Technology, Policy and Global Affairs & Division on Engineering and Physical Sciences: The Committee on Homeland Security and Export Controls will conduct a study and prepare a report on the impact of export controls on the DHS mission to strengthen the U.S. security envelope abroad. The committee will examine the current impact of export controls on the research, development and eventual foreign deployment of S&T Directorate programs, and will also assess the effectiveness of factoring export controls into programmatic decision-making within DHS.
Beyond "Fortress America": National Security Controls on Science and Technology in a Globalized World. Prepared by the National Research Council, Committee on Science, Security and Prosperity, Committee on Scientific Communication and National Security, Development Security and Cooperation, Policy and Global Affairs. Washington, DC, National Academies Press, 2009. 170p.
The Space Studies Board Quarterly Bulletin Volume 13, Issue 4, October-December 2002.
The Chair's column features a look at our history of international cooperation and competition in space -- how policies, national and NASA's, have influenced both. The Board Director's column looks at accomplishments and challenges, one of which is the impact of export controls on scientific cooperation. See: Collected Columns of Board Chairs, 2000–2003 p.53
The Space Studies Board Quarterly Bulletin Volume 13, Issue 2, April-June 2002. In this issue, the Board Director's Column focuses on export controls and their impact on international scientific cooperation. See: Collected Columns of Board Chairs, 2000–2003 p.31
Space Studies Bulletin Volume 11, Issue 1, March 2000. "Over the past year the Space Studies Board, and especially its Committee on International Space Programs, has grown concerned about the impact of evolving implementation of export control regulations on the conduct of international space cooperation..." See: Collected Columns of Board Chairs, 1994–2000
Communication and National Security
A report prepared by the Panel on Scientific Communication and National Security Committee on Science, Engineering and Public Policy. National Academy Press, 1982. "The Panel.....was asked to examine the various aspects of the application of controls to scientific communication and to suggest how to balance competing national objectives....." The text is informative and provides a good overview. The appendixes are of special interest covering voluntary restraints on research, historical context of security concerns, role of foreign nationals in universities, letter from five university presidents, correspondence between State Department and University of Minnesota and M.I.T. restricting visitors.
National Security Decision Directive 189 National Policy on the Transfer of Scientific, Technical and Engineering Information Issued September 21, 1985 by President Ronald Reagan. "This directive establishes national policy for controlling the flow of science, technology, and engineering information produced in federally-funded fundamental research at colleges, universities, and laboratories." The policy defines fundamental research and restates that the mechanism for control of information that might affect national security is classification.
Headquartered in Washington, D.C., the Center for Strategic and International Studies (CSIS) provides strategic insights and policy solutions to decision makers in government, international institutions, the private sector, and civil society.
The time is right for export control reform. Defense Industrial Initiatives Current Issues, CSIS, May 2010.
Toward a U.S. export control and technology transfer system for the 21st century. Defense Industrial Initiatives Group, CSIS, May 2008.
Security controls on scientific information and the conduct of scientific research: A white paper of the commission on scientific communication and national security. CSIS, 2005.
Preserving America's strength in satellite technology: A report of the CSIS satellite commission. Washington, DC, CSIS, April 2002. The United States can no longer take its preeminence in space for granted. A global market in commercial satellite services and the appearance of new competitors in satellites and space create an increasingly challenging environment. This study proposes new policies to better manage commercial space for national security. Executive Summary.
Science and security in the 21st century: A report to the Secretary of Energy on the Department of Energy Laboratories. CSIS, 2002. The policies and practices of the U.S. Department of Energy (DOE) risk undermining its security and compromising its science and technology programs. This is the overarching finding of the Commission on Science and Security, tasked by DOE to assess the challenges faced in operating premier scientific institutions in the twenty-first century, while protecting and enhancing national security.
Letter from National Security Advisor Condoleezza Rice to CSIS saying that the Administration intends to review NSDD-189 and update the policy, but in the interim, it remains in effect and the NSC will ensure that it is followed. 1 November 2001.
Computer exports and national security in a global era. CSIS, 2001. The study is divided into four chapters: A New Context for Controls; Proliferation and Cooperation; Multilateral Cooperation on Export Controls; and Computer Technology and National Security.