International Collaboration Considerations

August 2023 Newsletter

Stony Brook University's Research Security Program

The program was created to assist faculty with compliance requirements (i.e., export control, disclosure, international travel, international activities and cybersecurity) by providing information, guidance and resources. This inter-disciplinary program is a collaboration between many university-wide offices in response to campus policies, sponsor requirements and federal regulations.

This newsletter series will highlight different areas of the program with targeted discussions and case studies to assist the campus community with compliance. Contact Susan Gasparo, Director of Research Security at susan.gasparo@stonybrook.edu for assistance or questions.

International Collaborations Considerations

The SBU community collaborates with international parties for university-related business (e.g., research, sabbaticals, hosting visitors, publications, sharing research materials, conferences, student exchange program) and these collaborations should be reviewed for the identification of any risks to the individual and the University. In the last issue, we looked at international travel considerations. In this issue, we will look at international collaborations that happen while you are still physically located in the U.S.

When planning your international collaboration consider the following:

Who are you collaborating with?
What countries are involved?
What will you be doing?

Who Are You Collaborating With?

The U.S. government maintains lists of individuals and entities (institutions, companies, organizations) that have been determined to act in a manner that is of a national security concern. It is important to determine (1) if the individual and/or their institution (or employer) appears on any U.S. government lists and (2) if so, how that may affect your collaboration.

NEW LIST! Department of Defense

FY22 Lists Published in Response to 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232).

Foreign institutions that have been confirmed as engaging in problematic activity;
Foreign talent programs that have been confirmed as posing a threat to the national security interests of the U.S

Department of Commerce, Department of State and Department of Treasury (collectively "Restricted Parties")

Denied Persons List. Individuals and entities that have been denied export privileges.
Entity List. Parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations.
Unverified” List. Parties where the Bureau of Industry and Security (Department of Commerce) has been unable to verify the end-user in prior transactions.
Debarred List. Parties who are barred from participating directly or indirectly in the export of defense articles, including technical data or in the furnishing of defense services for which a license or approval is required by International Traffic in Arms Regulations.
Nonproliferation Sanctions. Parties that have been sanctioned under various statutes.
Specially Designated Nations and Blocked Persons. Individuals and organizations deemed to represent restricted countries or known to be involved in terrorism and narcotics trafficking.

Screening Resources

Department of Defense List

Beginning on page 17 of the Department of Defense document Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education.

Department of Commerce, Department of State and Department of Treasury Lists

The University has software (Descartes Visual Compliance) to assist in screening for restricted parties. How to conduct a Restricted Party Screening (RPS) which includes instructions on how to register for Descartes Visual Compliance.
U.S. International Trade Administration Consolidated Screening List offers additional information about these government lists and a free access screening tool.

Screening Review

What to do if you get an Exact or Potential Match? If you want to collaborate or otherwise engage with an entity or individual that appears on any of these lists contact the Director of Research Security for a complete review of the proposed activity.

What Countries Are Involved?

The U.S. government maintains a variety of programs and laws to further foreign policy and national security goals. It is important to determine (1) if the individual and/or their institution (or employer) is in a country of concern and (2) if so, how that may affect your collaboration.

Sanction Programs

Sanctioned Countries (see Office of Foreign Asset Controls): targeted restrictions on persons, economic sectors or activities (e.g. Balkans, Belarus, Hong Kong, Iraq, Venezuela).
Embargoed Countries: Cuba, Iran, North Korea, Russia, Syria, and the Crimea, Donetsk and Luhansk regions of the Ukraine (requires a license or documented license exception for most, and in some cases all, activities)

Countries of Concern

Countries of Concern as listed in recent federal legislation. China, Iran, North Korea, and Russia

Country Review

Collaborations/activities with countries identified by the U.S. Government as higher risk (e.g., embargoed, sanctioned, named as a country of concern) should be reviewed for risk to the researcher and the University, contact the Director of Research Security for assistance.

What Will You Be Doing?

Over the past few years, U.S. federal agencies and Congress have expressed increased concern over foreign influence in research activities at U.S. institutions of higher education. These concerns are primarily aimed at preserving economic competitiveness and national security interests. It is important to understand (1) the individual aspects of your collaboration and (2) if there are any federal or sponsor regulations that affect the collaboration.

International Collaborations (without leaving the U.S.) common activities:

Research collaborations should meet the definition of Fundamental Research. International research collaborations that may fall outside of fundamental research include technology that is subject to the export control regulations, emerging technologies, verbal or written restrictions on dissemination or foreign national participation, inclusion of confidential/proprietary information.

Note: International collaborations cannot be for military or defense applications (including defense services), these would require a license from the U.S. government.

Publication collaborations (e.g., co-author, reviewer) should be based on open, basic research. Publications should accurately reflect affiliations, contributions, and support. If you have federal funding understand the agency's policy on when and how to cite funding. See also University Recommendations on Authorship.

Visitors invited to campus to collaborate on research or receive training should only partake in activities that are consistent with their approved visas. Research and training should limited to open basic research and research methods. Individuals who wish to host visitors must follow the University's Guest/Visitor Policy.

Send research materials (e.g., materials, biologics, prototypes, equipment, software, data) as part of a collaboration. Senders are required to understand the intended use and application of the research materials that they are sharing (regardless of medium for sharing). Research materials shared may require an export license, other government authorization, or use of an agreement (see Material Transfer Agreements and Data Use Agreements). For the most part, research materials cannot be sent to Restricted Parties (discussed above) or embargoed countries.

Collaboration Reviews

Collaborative activities should be reviewed in the context of what is being done and with whom.

**Export Control Regulations still apply - even if it is Fundamental Research*!**

Export control regulations are country based and control activities such as:

Transfer of materials, technology or equipment (physical, electronic, visual, oral)
Military End Use (transfer of any technology or item that the discloser/sender has reason to believe will be used for a military purpose)
Defense Service (even if using publicly available information)
Emerging/Sensitive Technologies (e.g., semi-conductor regulations)

*Fundamental Research exclusion only applies to the information resulting from the research project that is intended to be made publicly available!

Federal Funding: Reporting and/or Prior Approval

Depending upon federal sponsor, this may include some or all of the following:

Biosketch (all appointments)
Current & Pending (funded and unfunded)
Other Support (all resources, including in-kind)
Collaborator List
Progress Reports (including identifying collaborations over the past year)
Prior approval of foreign components, consultants, subawards
Prior approval for international travel

Targeted Discussion: Case Studies for International Collaborations

Who are you collaborating with?
What countries are involved?
What will you be doing?

These are all very important questions when you engage in international collaborations. Below are a few case studies meant to highlight some common scenarios.

If you have any questions, contact the Director for Research Security

Case Study #1

A University professor would like to collaborate with a colleague. They have a shared research interest and believe that their work will complement each other. They have created a joint research project and each party will support their own costs. They plan on joint collaborations!

Discussion: Before starting this collaborative activity.

Our university professor should make sure that:

Collaborator and/or collaborator's university are not a Restricted Party.
Does not include any embargoed country or country of concern.
Scope of work and each partner's responsibilities are well defined.
If intellectual property is a possibility, then ownership rights have been discussed and agreed upon (international laws will apply).
Authorship has been agreed upon.
Data, materials, or confidential information that need to be transferred/shared are identified.
Necessary university agreements and/or approvals are in place (Review the International Research Activities page).

Actions may include discussion with:

Research Security Program

Collaboration with restricted party, embargoed country or country of concern
Project that is not fundamental research
Projects that are in the area of emerging technologies
Projects that include military /defense technologies/defense services

Office of Sponsored Programs

Collaboration that intersects with federally funded research
Agreement for unfunded collaboration, subaward (incoming/outgoing)

Intellectual Property Partners

Transfer of materials or sharing of confidential information
Questions regarding intellectual property

Chair and/or Dean

Approval of resources/effort

Case Study #2

A University professor receives a message from a colleague asking them to review a manuscript.

Discussion: Before starting to review the manuscript

Ensure that the colleague (and their university) is not a Restricted Party, in (or usually located in) an embargoed country or country of concern. These circumstances are flags that need to be reviewed in closer detail for any prohibitions from either the U.S. federal government or university policy.
Reviews should be conducted in accordance with generally accepted peer review principles for your field.
Caution: providing insight on how to improve the research study, design or outcomes may require an export authorization from a U.S. federal government agency depending upon the country and the discipline.

Case Study #3

A University professor receives an email from a postdoc who wants to come to the professor's laboratory as a visiting scholar for a year.

Discussion: Before sending the invitation

If the person is unknown to you, are you able to confirm who they are and that they have the background/experience that they state they have?

If you do not know them and cannot verify who they are, do not respond and contact the Research Security Program.
If you know them or can verify who they are, then continue with your review. Consider the following:
- - - Are they (or their home institution) a Restricted Party?
  - What will they have access to? Do you have research projects with restrictions on publications and/or foreign nationals? Do you have export-controlled equipment, materials or technology/technical data in your lab?
  - Will they participate in any of your federally funded research projects?

Discussion:

In general, visiting scholars are able to partake in the activities that are allowable by their visas. Faculty who want to host visiting scholars should understand SBU's Guests/Visitors Policy. Additional guidance about visiting scholars and visas can be found on SBU's Visa and Immigration Services website. Note: Participation in federally funded research projects may require prior sponsor approval.