International Collaborations
Science is a global endeavor, and CU Boulder researchers are encouraged to build collaborative networks with scientists and scholars around the world. International partnerships play a vital role in advancing scientific discovery, innovation, and the exchange of knowledge.
At the same time, there are growing risks when engaging with certain foreign institutions and organizations. As a research university, CU Boulder is responsible for understanding and managing international collaborations connected to university research activities and must comply with U.S. Export Control laws, federal regulations, research security mandates, university policies, and sponsor-specific requirements.
If you are a CU Boulder researcher working on a federally funded project, please see new campus guidance on international collaboration, with specific attention to new requirements from NASA, NIH and NSF.
What Is a Collaboration?
Collaborations may be defined as the exchange of scientific information and the performance of academic activities (research, teaching, presenting, discussing, working at another university, etc.).
A research collaboration may include, but is not limited to, one or more of the following:
- Participating in the research design
- Collecting, sharing, or analyzing data
- Outlining, writing, or editing a manuscript intended for publication
- Sharing research results prior to pre-publication editorial review
- Designing, fabricating, improving, or testing equipment together
- Discussing potential future efforts/opportunities
- Traveling in support of the above actions
CU Boulder recognizes that researchers do not always have direct control over, or a substantive collaborative relationship with, every co-author on a publication. Federal agencies increasingly consider co-authorship when evaluating international collaborations and research security, although agency requirements differ. Some agencies may view co-authorship as evidence of collaboration in certain circumstances, while others consider it as one factor among many. Because each situation is fact-specific, researchers with questions about whether a publication or co-authorship may have compliance implications should consult the Office of Research Security and Export Control (ORSEC).
Important:
To comply with applicable U.S. laws, regulations, and federal sponsor requirements related to research security and international collaboration, CU Boulder prohibits collaborations that are restricted or prohibited under those requirements.
This includes activities involving individuals or entities identified on applicable U.S. government restricted or denied party lists when such collaborations are prohibited by law, regulation, or sponsor policy.
Applicable lists include, but are not limited to, the Office of Foreign Assets Control (OFAC) Specially Designated Nationals (SDN) List, the Bureau of Industry and Security (BIS) Entity List, the BIS Military End User (MEU) List, the DoD Chinese Military Companies List, and other federal restricted or denied party lists, as well as sponsor-specific prohibitions, as applicable.
Because applicable restrictions vary by federal agency, sponsor, and type of activity, questions regarding proposed collaborations or the applicability of these requirements should be directed to the Office of Research Security and Export Control (ORSEC).
CU Boulder’s stance is in accordance with Sec. 10636 of the CHIPS and Science Act of 2022, NSPM-33 and NSF’s Prohibition on Collaborations with Restricted Entities. Due to the risks of exposing controlled information and potential for research security risks during international collaboration, and adherence to U.S. Export Control laws, limited exceptions will be made.
To comply with applicable U.S. laws, regulations, and federal sponsor requirements related to research security and international collaboration, CU Boulder prohibits participation in Malign Foreign Talent Recruitment Programs (MFTRPs). See Sec. 10632 of the CHIPS and Science Act of 2022.
All international shippers and travelers must follow the CU Boulder International Shipping and Hand-Carry Policy; failure to follow the international shipping process or international hand-carry process, or failure to provide complete and accurate information to CU Distribution Services or OEC may lead to corrective or disciplinary action, up to and including termination of employment or affiliation with CU Boulder.
What Steps Should Researchers Take Before Engaging in an International Collaboration?
Restricted Party Screening: Contact orsec@colorado.edu to conduct a screening to check if any proposed collaborators or institutions are listed on U.S government restricted or denied party lists.
Understand Export Control and Research Security Requirements: Review applicable research security and export control requirements. Contact orsec@colorado.edu if an activity may involve export control or research security requirements. ORSEC will be able to provide further information and guidance.
Update Disclosure Reports: Complete an updated CU Boulder DEPA form with information about the collaboration and update any other sponsor-required reports or disclosures.
Restricted Party Screening
All potential international collaborators (individuals, entities, and countries) should be screened by ORSEC using U.S. Government Restricted Party Lists prior to engagement.
Restricted Party Screening must be conducted for the following situations:
- International collaborations
- Visitors, visiting scholars, or visiting graduate students
- Awards or agreements with foreign entities
- International shipments
- International Travel and Hand-Carrying of Items Abroad
- Paying foreign persons or entities (for purchases, travel, reimbursement, etc.)
This includes activities involving individuals or entities identified on applicable U.S. government restricted or denied party lists when such collaborations are prohibited by law, regulation, or sponsor policy.
Applicable lists include, but are not limited to, the Office of Foreign Assets Control (OFAC) Specially Designated Nationals (SDN) List, the Bureau of Industry and Security (BIS) Entity List, the BIS Military End User (MEU) List, the DoD Chinese Military Companies List, and other federal restricted or denied party lists, as well as sponsor-specific prohibitions, as applicable.
Because applicable restrictions vary by federal agency, sponsor, and type of activity, questions regarding proposed collaborations or the applicability of these requirements should be directed to the Office of Research Security and Export Control (ORSEC).
CU Boulder’s stance is in accordance with Sec. 10636 of the CHIPS and Science Act of 2022, NSPM-33 and NSF’s Prohibition on Collaborations with Restricted Entities. Due to the risks of exposing controlled information and potential for research security risks during international collaboration, and adherence to U.S. Export Control laws, limited exceptions will be made.
Understand Export Control and Research Security Requirements
The exchange of scientific information and the performance of academic activities (research, teaching, presenting, discussing, working at another university, etc.) with international collaborators may involve export control and research security requirements if it involves certain activities or entities.
How to Assess Collaborations for Export Control Implications
International research collaborations and activities that may have export control requirements could include:
- collaborators that include people or entities from a sanctioned country
- collaborators that include people or entities that are considered a restricted party
- research that involves the transfer of physical items, technical data, or software*
- any transfers that could meet the definition of a defense service
- collaboration involving subject matter included in the Critical and Emerging technologies list
- collaboration on controlled or restricted research
See page 19 of NSF SECURE Center FRAME: Risk Assessment Framework for more export control considerations.
Contact orsec@colorado.edu if an activity may involve export control or research security requirements. ORSEC will be able to provide further information and guidance.
*Any item shipped or hand-carried outside the U.S. needs to be assessed by ORSEC for export control compliance. The Fundamental Research Exclusion does not apply to tangible materials.
All international shippers and travelers must follow the CU Boulder International Shipping and Hand-Carry Policy; failure to comply with this process can result in disciplinary action
How to Assess Collaborations for Research Security Implications
NSF commissioned JASON, an independent scientific advisory group, to conduct a report in 2019 titled “Fundamental Research Security.” Within this report, JASON provides examples of questions that researchers and institutions should consider before engaging in an international research collaboration. Review the questions below to assess the risk of an international collaboration.
- Describe the engagement succinctly and without jargon. Is it fundamental research? If not, work with ORSEC to determine if there are any federal restrictions.
- Are the terms of the engagement made clear in writing? Have all the participants been identified? Are all participants known to the PI and the PI’s institution?
- Are all the participants’ conflicts of interest and commitment documented?
- Are there any aspects of the engagement that are not to be disclosed to any of the participants? If so, what is the reason?
- Is there any aspect of the engagement that seems unusual, unnecessary or poorly specified?
- Where do the funds and other resources needed for the activity come from?
- Is it clear what each party is providing?
- Are all of the tangible assets of the engagement, existing or to be generated (e.g., data, metadata, profits, equipment, etc.), known? How will they be shared? Who decides how they are allocated?
- How does a participant end their engagement?
- Are scholars expected to reside away from their home institutions as a part of the engagement? If so, how are they chosen for participation in the engagement?
- What are the reporting requirements back to home institutions or organizations?
- Who will control the dissemination of the resulting fundamental research?
- Is there a risk to U.S. national security?
- What are the political, civil and human rights risks?
- Is there a risk to U.S. national competitiveness?
- Will export control compliance be assured?
- What are the intellectual property risks?
- Are there clear data and publication policies?
- What is the early termination risk?
- What is misrepresentation risk?
- Is there a risk to the institution’s community and core values?
- What is the risk to institution of not engaging?
See page 11 of NSF SECURE Center FRAME: Risk Assessment Framework for more research security considerations regarding international collaborations.
Disclosures & International Collaborations
CU Boulder and sponsors have requirements for disclosing external professional activities, including international research collaborations. Use the resources below to ensure compliance with university policies and sponsor disclosure requirements.
- See page 11 of NSF SECURE Center FRAME: Risk Assessment Framework for more research security considerations regarding disclosure of external professional activities.
What Is a Foreign Talent Recruitment Program (FTRP)?
A foreign talent recruitment program is any program, position or activity that includes:
- compensation in the form of cash, in-kind compensation—including research funding, promised future compensation, complimentary foreign travel, things of inconsequential value, honorific titles, career advancement opportunities, or other types of remuneration or consideration
- directly provided by a foreign country at any level (national, provincial or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country
- to an individual, whether directly or indirectly stated in the arrangement, contract or other related documentation.
Researchers and students are required to seek guidance from ORSEC prior to agreeing to participate in any program or activity or accepting an appointment to any position sponsored by a foreign country or entity.
What is a Malign Foreign Talent Recruitment Program (MFTRP)?
Contact orsec@colorado.edu and use the resources below to assess whether a Foreign Talent Recruitment Program is considered Malign.
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