The University of Nebraska-Lincoln is committed to its faculty, staff, students, and collaborators in facilitating open and publicly accessible research and scholarly activities both domestically and internationally. International collaborations are encouraged and the majority are not of concern. However, researchers are strongly urged to disclose and be transparent regarding their involvement in activities of this nature. This is important because restrictions may be placed on research activities at UNL in the interest of national security or protection of trade. This is especially true when federal funding is involved.
Issues surrounding foreign influence and international activities in research has been an evolving topic in recent years, in which the U.S. Government has shown growing concern. In general, researchers should assess the benefits and consider potential risks of an international collaboration. If you are involved in or are interested in participating in an international activity, the following questions and table are provided as a beginning, quick reference.
Weighing International Collaboration Benefits and Risk
These questions are provided as a starting point to help researchers identify productive international collaboration opportunities , and mitigate concerns. As you review these questions, in relation to an international activity you may be considering, if you are not able to clearly answer the questions, if it seems the work primarily benefits the other institution (not UNL), and/or or you are unsure of any aspect of the activity, please reach out to the RCS Office for guidance: 402-472-6965 or squinn@unl.edu
- What are the expected benefits of the collaboration to UNL, your professional progress, the research community and the country (U.S.)?
- Is it a true collaboration – will both sides contribute meaningfully and benefit intellectually?
- Is the engagement fundamental research? Is the research basic and applied where the results are ordinarily published and shared broadly? If not, what are the collaborating institution’s policies around creating the engagement? Do the policies include attempts to restrict open publication of results?
- Are the terms of the engagement clear, in writing (translated to English), and can be reviewed by UNL administration? Does any aspect of the engagement seem unusual, unnecessary, or poorly specified? Have all senior participants and their affiliations been identified?
- Are intellectual property rights clear? Have you discussed any ownership possibility or concerns with NUtech Ventures?
- Where do funding and resources come from? Is it clear what each party is providing? Has or will UNL Sponsored Programs be involved in processing an award or portion thereof? Or, will you be paid personally? Being paid personally potentially implies that this activity is not part of your institutional responsibilities, so you should be mindful if personal payments or other forms of remuneration are being offered and ensure you are asking for approval prior to acceptance.
- Are all participants’ conflicts of interest and commitment documented? Are there any aspects of the engagement that are not to be disclosed to any participants? If so, why?
- Are all tangible existing or to-be-generated assets of the engagement known, such as data, metadata, and profits? How will assets be shared? Who decides how they are allocated?
- Are visits in each direction part of the engagement? Are scholars expected to reside away from their home institutions? If so, how are they chosen for participation in the engagement?
- What are the reporting requirements to home institutions or organizations?
- Who will control the dissemination of resulting research?
- How would you, as a participant, end the engagement? Are you not able to end the engagement or is it unclear?
- How long is the engagement going to be and is it compliant with NU/UNL Conflict of Commitment policies or federal sponsor policies on Conflict of Commitment, Biosketches, and Other Support?
If You … You Should …
We want to ensure UNL faculty, staff, and students are aware of different considerations for international collaborations and the resources available to navigate them. Policies and procedures are already in place for the campus to comply with export control regulations, reporting foreign research support and collaborations, intellectual property/invention reporting, international travel reporting, and personal financial interests associated with both foreign and domestic entities. With the heightened sensitivity on these issues nationally, we wish to remind you of your obligations to report on international research and scholarly activities. The following is a list of resources and reporting requirements:
If you … | You should … | RCS Involvement |
---|---|---|
… have been invited to participate or are currently participating in a foreign talent recruitment program (e.g. foreign 1000 talents program, young scholar 1000 talents plan, etc.), or work with Huawei or a subsidiary of Huawei. | … not proceed or agree to participate. These programs are prohibited at UNL. … alert your Department Dean/Chair/Supervisor about the invitation. … contact Research Compliance Services (RCS) to discuss the invitation and help navigate any concerns and/or where the invitation is coming from. | -The RCS Office keeps up to date on any developments in federal guidelines and regulations around foreign talent programs. In coordination with the Institutional Official, these activities are reviewed on a case by case basis. |
… have travel reimbursed or sponsored by a foreign entity, individual or government | … contact Research Compliance Services to discuss conflict of interest or export control concerns … comply with the UNL travel policy, submit the trip to Firefly, and complete an international travel checklist via NuRamp if requested … disclose the relationship in your COI/COC disclosure | -The Export Control Program (ECCP) reviews certain international travel checklists and performs necessary screenings and follow up – ITS has laptops available for researchers to borrow for UNL related international travel to help ensure data is protected or not traveled with if sensitive -Conflict of Interest (COI) staff review and screen all disclosures, international entities, and works with employees to complete reporting of reimbursed or sponsored travel |
… have a foreign entity propose an institutional partnership with UNL or a consulting relationship with you | … contact Research Compliance Services to discuss conflict of interest disclosure needs and/or export control concerns … contact Global Partnerships & Initiatives to discuss whether an institutional partnership may be appropriate | -The RCS Office works closely with Global Partnerships & Initiatives to support the mission of connecting Nebraska to the world by reviewing collaborations and helping to streamline the development of international relationships -The ECCP can provide screenings as appropriate for agreements, other relationships, purchases and/or shipments of materials and equipment |
… have an active or proposed position with, or have been provided with funding by, a foreign institution | … disclose the relationship in your COI/COC disclosure … disclose the relationship to the Office of Sponsored Programs and ensure your Other Support/Biosketch is updated in accordance with research sponsor requirements. … contact the Export Control Compliance Program to perform a review | -The ECCP works closely with Sponsored Programs, NUtech, IBC, IRB, and COI areas to screen, review, and approve international relationships or work The ECCP can provide screenings as appropriate for agreements, other relationships, purchases and/or shipments of materials and equipment |
… have funding from DOE or DOD | … contact the RCS Office prior to starting any international collaboration, related to the research or otherwise. | -DOE and DOD have specific clauses that may limit international collaboration. The RCS Office provides support to Sponsored Programs to identify and negotiate such clauses and, if possible, works with the PI to develop an appropriate management or reporting strategy |
… have ownership interest in a foreign company | … disclose the relationship in your COI/COC Disclosure Form | -COI staff review and screen foreign companies and/or relationships disclosed via the COI/COC Disclosure Form |
… have any active research on campus (funded or un-funded) | … be sure to update your COI/COC disclosure at least annually or within 30 days of a change | -COI staff review all disclosures and screens any foreign companies, compensation, or other relationships disclosed via the COI/COC Disclosure Form -The ECCP works with the UNLPD building access team as necessary to secure labs working on restricted research -R&I and the RCS Office works with ITS as necessary to develop procedures to protect research data |
… want to host a visiting scholar, student, tour group, or other individual from a foreign entity | … work with the Office of Global Partnerships & Initiatives and the International Student and Scholar Office (ISSO) to complete any necessary pre-visit paperwork … contact Research Compliance Services to discuss export control concerns and complete screenings of individuals or entities … disclose the relationship to the Office of Sponsored Programs and ensure your Other Support/Biosketch is updated in accordance with research sponsor requirements | -The ECCP works with the International Student and Scholar Office (ISSO) to review H1B and J1 visa applications and works with faculty to ensure they are prepared to host an international student, scholar, or visitor -The ECCP works with the UNLPD building access team as necessary to secure labs working on restricted research -R&I and the RCS Office works with ITS as necessary to develop procedures to protect researcher data |
… have concerns or questions about a proposed collaboration or research project | … contact the Research Compliance Services office to discuss your questions | Contact Research Compliance Services at 472-6965 EC: exportcontrol@unl.edu COI: UNLCOI@unl.edu |
Foreign Talent Recruitment Programs (FTRPs) & Malign Foreign Talent Recruitment Programs (MFTRPs)
In addition to the above questions, there are some specific definitions and directives that UNL employees must be aware of in navigating foreign collaborations:
What is a Foreign Talent Recruitment Program?
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 non de minimis 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 documentation at issue.
These recruitment programs are often part of broader whole-of-government strategies to reduce costs associated with basic research while focusing investment on military development or dominance in emerging technology sectors. Not all talent programs are problematic; however, some federal agencies do not allow members of talent programs from countries of concern to participate in certain federal funding projects.
Members of talent programs that meet certain “malign,” criteria cannot apply for or participate in federally funded projects. Therefore, Faculty, staff, and students at UNL are prohibited from participating in Foreign Talent Recruitment Programs.
Reference: OSTP definition from the White House dated 15 February 2024.
What is NOT a Foreign Talent Recruitment Program?
Consistent with Section 10632(d) of the Act, a Foreign Talent Recruitment Program does not include the following international collaboration activities, so long as the activity is not funded, organized, or managed by an academic institution or a Foreign Talent Recruitment Program on the lists developed under paragraphs (8) and (9) of Section 1286(c) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232): Reference pages 17-21.
- Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
- Participating in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under current law;
- Advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request; and
- Engaging in the following international activities:
- Activities that are partly sponsored or otherwise supported by the United States such as serving as a government appointee to the board of a joint scientific fund (e.g., the U.S.- Israel Binational Industrial Research and Development Foundation); providing advice to or otherwise participating in international technical organizations, multilateral scientific organizations, and standards setting bodies (e.g., the International Telecommunications Union, Intergovernmental Panel on Climate Change, etc.); participating in a Fulbright Commission program funded in whole or in part by a host country government; or other routine international scientific exchanges and interactions such as providing invited lectures or participating in international peer review panels.
- Involvement in national or international academies or professional societies that produce publications in the open scientific literature that are not in conflict with the interests of the federal research agency (e.g., membership in the Pontifical Academy of Sciences or The Royal Society).
- Taking a sabbatical, serving as a visiting scholar, or engaging in continuing education activities such as receiving a doctorate or professional certification at an institution of higher education (e.g., the University of Oxford, McGill University) that are not in conflict with the interests of the federal research agency.
- Receiving awards for research and development which serve to enhance the prestige of the federal research agency (e.g., the Nobel Prize).
- Other international activities determined appropriate by the federal research agency head or designee
What is a Malign Foreign Talent Recruitment Program (MFTRP)?
Malign foreign talent recruitment programs are programs, positions or activities sponsored by a country of concern (China, Iran, North Korea or Russia) or by certain academic institutions. They include one or more of the following indicators:
- Engagement in the unauthorized transfer of intellectual property or other nonpublic information.
- Recruiting trainees or researchers to enroll in such program, position, or activity.
- Establishment of a laboratory, employment or appointment in a foreign country in violation of the terms and conditions of a U.S. federally funded research award.
- Inability to terminate program contract or agreement.
- Overcapacity, overlap or duplication.
- Research funding from the foreign institution’s government.
- Omission of U.S. home institution and/or funding agency acknowledgement.
- Nondisclosure of program participation.
- Conflict of interest and/or conflict of commitment.
It is not illegal to engage in malign foreign talent recruitment programs, but these activities are not allowed at UNL due to the concerns over this type of work and the significant funding restrictions the university and research personnel may face when engaging in a talent program. Additionally, the CHIPS Act has prohibited federal funding agencies from issuing awards to anyone who participates in a malign program.
The full definition from CHIPS and Science Act of 2022 is: The term ‘‘malign foreign talent recruitment program’’ means:
- (A) 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 non de minimis 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 the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual
- (i) engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
- (ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;
- (iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
- (iv) being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
- (v) through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
- (vi) being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
- (vii) being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the federal research and development award;
- (viii) being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
- (ix) having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
- (B) a program that is sponsored by
- (i) a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;
- (ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232); or
- (iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232).
Where do I disclose outside activities that involve foreign collaborations/entities etc?
- Please reference the RCS Conflict of Interest website for policies, FAQs, and guidance information.
- Disclose your outside professional activities and financial relationships, whether compensated or uncompensated, through the COI/COC Disclosure in NuRamp. Disclosures must include, but are not limited to, all work for, or financial interests in or received from, a foreign institution of higher education or the government or quasi-government organization of another country.
- Comply with all disclosure requirements related to public sharing of your research. These requirements will be detailed by the conflict of interest committee if you have a management plan regarding a financial conflict of interest in research. However, many sponsors, journals, presentations, and other publications also have expanded requirements for disclosure.
What if I’ve been asked to travel to another country for some research/related work?
- Please reference the International Travel Services website for policies, FAQs, and guidance information regarding international travel security and travel to high-risk countries.
- Comply with the University of Nebraska Travel Policy and completion of trip requests in Firefly.
Following completion of your pre-trip travel request in Firefly, you will receive an automated notification from NuRamp. If you are traveling to a country of concern, the notification will request that you also complete the Export Control International Travel Checklist. This checklist must be completed prior to your travel.
How do I establish an MOU or other agreement request with an foreign entity/institution?
Please reference the Office of Global Partnerships & Initiatives website for FAQs and guidance information.
What if I have foreign funding or U.S. funding that could be impacted by foreign research/activities?
- Please reference the Office of Sponsored Programs website for policies, FAQs and guidance information.
- Through updated Biosketches, CVs, and OtherSupport, disclose information to Sponsored Programs and federal funding agencies regarding all sponsored projects you may be involved in that include any foreign sources of funding.
- Report on foreign components (“the performance of any significant scientific element or segment of a project outside of the U.S. either by the recipient or by a foreign organization, whether or not grant funds are expended).” The following are considered foreign components:
- Research at a foreign site involving human subjects or animals;
- Extensive foreign travel for the purpose of data collection, surveying, sampling, and similar activities; and
- Activities that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country (e.g., through an impact on another country’s wildlife, population, or environment).
- Federal agencies may also consider the following activities as a foreign component:
- Collaborations with investigators at a foreign site anticipated to result in co-authorship;
- Use of facilities or instrumentation at a foreign site; and
- Receipt of financial support or resources from a foreign entity in connection with performance that occurs at a foreign site
- As a reminder, report all resources for research. This includes any research support you receive. Examples include, but are not limited to:
- Financial support from a foreign award for work conducted outside the U.S. and/or outside the investigator’s UNL appointment, whether received by an investigator or another organization;
- Equipment or research material provided by a foreign organization;
- Consulting relationships relating to your expertise; Work with visiting personnel who are supported by a foreign organization; or
- Funds received from a foreign recruitment program (e.g., China’s Thousand Talents Program or other “Talents Programs”).
- Individuals may not make arrangements or commitments that would contractually bind the University. Appropriate involvement, review, and approvals from the institution and applicable signatory official(s) is required.
Who do I contact if I have questions or concerns about intellectual property or outgoing materials?
- Please reference the NUtech Ventures website for policies, FAQs, and guidance information.
- Disclose intellectual property to NUtech in a timely manner, including any IP that involves international collaborations or involvement.
Who do I contact if I have questions or concerns about Export Controls and international activities that I’m engaging in?
- Please reference the RCS Export Control website for policies, FAQs, and guidance information.
- Comply with U.S. export control regulations when your work involves publication restrictions, traveling internationally, participating in international collaborations, restrictions from the sponsor or contract, using proprietary information or software, working with international faculty, staff, or students, hosting international visitors, shipping materials internationally, or engaging in international transactions.
- Compliance with these regulations also require that UNL will not host visitors, enter into contracts, do business, or engage in any activity with entities listed on a United States Government Restricted Party List. The Export Control Compliance Program can easily and quickly screen people and entities to ensure they do not appear on any such listing.