International Collaborations and Export Controls
International Collaborations and Export Controls
U.S. Embargoes and Sanction Programs
Generally, collaborations between university personnel and scholars at foreign institutions or organizations do not require export licenses unless they involve export controlled or restricted research, or involve scholars from sanctioned countries.
Before engaging in international collaborations, the University needs to determine if export licenses are required and to verify that the foreign individuals and/or organizations are not blocked or sanctioned by the U.S. government.
The Office of Foreign Assets Control (OFAC) is responsible for enforcing all U.S. embargoes and sanction programs. Depending on each country's embargo or sanction program, different activities may or may not be prohibited without a specific government authorization or license.
The OFAC sanction programs fall into three categories:
- Comprehensive Sanctions. In general, under comprehensive sanctions programs, ALL interactions and activities are prohibited, including exporting to, importing from, financial transactions of any kind, and/or providing services of any kind. While essentially all interactions with comprehensively sanctioned countries are prohibited, there is an exception for informational materials that allows certain transactions to occur. See Informational Materials and Publishing Activities.
- Limited Sanctions. Under limited sanctions programs only some activities (e.g., importation of items) are prohibited.
- Regime or List-Based Sanctions. Regime or List-Based sanctions are targeted against specific individuals identified by the Treasury Department and referred to as Specially Designated Nationals (SDNs) or are targeted against specific groups of people usually associated with a governmental body or regime.
Below are the countries currently under U.S. sanction along with an indication of the sanction program in place. For additional information on a specific sanction program see OFAC Sanction Program Summaries.
Comprehensive: Cuba, Iran, Sudan
Limited: Burma/Myanmar, Ivory Coast (Cote d'Ivoire), Libya, North Korea, Russia, Syria
Regime/List: Balkans/Yugoslavia, Belarus, Congo (Democratic Republic), Liberia, Iraq, Zimbabwe
Informational Materials, Publishing Activities, and Educational Activities
OFAC has a few general license(s) that specifically allow for activities in support of publishing and/or marketing of informational materials and some educational activities.
The need for a license is determined on a case by case basis.
Examples when a license may be required:
1. A U.S. person attending any conference in a sanctioned country.
2. Provisioning or providing services to a person/entity who is in a sanctioned country.
3. Substantive enhancement of any information that are not fully created and in existence in the public domain.
4. Teaching services, including online programs (see Embargoed/Sanctions Implications for Online Courses), to people located in a sanctioned country, including, but not limited to, instruction, reviewing any work, and grading the work.
5. A license may be required if collaboration requires importing data/materials for analysis in the U.S., even if fundamental research and published, when the results will be provided to someone in sanctioned countries (e.g. characterization of material and providing the results to a researcher in a sanctioned country).
Please reach out for assistance before moving forward.
ANTI-Boycott Regulations
The EAR incorporates anti-boycott provisions which prohibit U.S. persons from participating in unsanctioned boycotts or restrictive trade practices. These laws are enforced by BIS, and more specifically by the Office of Anti-boycott Compliance (OAC). The applicable regulations are at 15 C.F.R. § 760.
The laws prohibit certain activities including:
- Agreements to refuse or actual refusal to do business with or in Israel, or with blacklisted companies.
- Agreements to discriminate or actual discrimination against other persons based on race, religion, sex, national origin.
- Agreements to furnish or actual furnishing of information about business relationships with or in Israel or with blacklisted companies.
- Agreements to furnish or actual furnishing of information about the race, religion, sex, or national origin of another person.
There are certain, limited exceptions to this list of prohibitions. Additionally, U.S. persons asked to engage in the prohibited activities are required to report the request to BIS.
If you encounter any boycott language in a UCCS activity or contract, please contact the Office of Sponsored Programs and Research Integrity, contact Michael Sanderson via email at exportcontrol@uccs.edu, or the Office of University Counsel for assistance in determining whether an exception is applicable and if reporting to BIS is required.
IRS ANTI-Boycott Items to Consider
The Internal Revenue Service (“IRS”) maintains a separate set of boycott rules and regulations that require annual reporting of operations in or related to boycotting countries, as well as receipt of, and action in response to, boycott requests. These laws deny some foreign tax benefits to persons who cooperate with certain boycott requests. It also requires annual reporting by UCCS of business activities in boycotting countries. The Treasury Department publishes a list of countries requiring cooperation with an international boycott in the Federal Register each quarter.
If UCCS personnel are engaging in any operations in or related to boycotting countries, report such operations to the UCCS Controller’s Office. The IRS defines “operations” broadly to include purchasing, leasing, financing, extracting, constructing, transporting, contract negotiating, site selecting, and other activities. Operations must be reported even if no boycott requests are received.
All members of the UCCS community must refuse to cooperate with a boycott and report any boycott request immediately to UCCS Legal Counsel.
Countries which may require participation or cooperation with an international boycott can be found in the Federal Register. (See countries below; subject to change)
- Iraq
- Kuwait
- Lebanon
- Libya
- Republic of Yemen
- Saudi Arabia
- Syria
- Qatar
Penalties:
- Fines (up to $1,000,000 on individuals or companies for a criminal anti-boycott violation, or the greater of $300,000 per violation or twice the value of the underlying transaction).
- Imprisonment (up to twenty years).
- Denial of export privileges.
- Denial of all or part of foreign tax benefits.
Examples:
The following actions and agreements when undertaken to further an unapproved boycott would violate U.S. anti-boycott laws:
- A collaboration with a foreign university to jointly offer an academic program in which the agreement includes a provision to restrict participation by Israeli citizens.
- Answering “yes” or “no” to the question, “Do you do any business in Israel?” where the purpose of the question is to comply with an unapproved boycott.
- A full professorship that does not permit the appointment of a Jewish person.
See also the Comparison of U.S Department of Commerce and U.S. Treasury Anti-boycott Laws and Regulations/Guidelines.
Restricted Party Screenings & Navigating Existing Collaborations with Restricted Parties
The federal government maintains lists of restricted parties (individuals and organizations). Collaborating with restricted parties can create export control risks, including federal violations, as well as raise your risk profile.
Federal funding agencies are conducting foreign influence security reviews on researchers, even for fundamental research projects. The risk matrices vary by agency, and the restricted party lists change over time, so please get in touch with Mike Sanderson, the campus export control officer (ECO), in the Offices of Sponsored Programs and Research Integrity (OSPRI) to conduct regular screenings. Below are the answers to some commonly asked questions about restricted party screenings.
How can you request Restricted Party Screenings for your collaborators?
Email exportcontrol@uccs.edu to request Restricted Party Screenings for any current or future collaborators including potential appointments, international collaborations including co-authors, and international conference organizers, etc. The screenings will identify if a person or organization is on a U.S. restricted list.
What happens if you are associated or affiliated with a restricted party?
Every situation is different, so please contact the campus ECO for consultation and guidance. In addition, if you are sponsoring a research visitor and their home institution gets added to a restricted list, contact the ECO for guidance.
When a collaborator is from a restricted entity, what can you do with them?
This is too broad to cover comprehensively in an FAQ; contact the campus ECO for specific guidance. You cannot send (mail, fax, email) items (i.e., materials, substances, equipment, technical data, and unpublished data) to a denied entity without an export control license. However, the federal government will likely deny the license request (i.e., there is a presumption of denial).
Collaborating with an individual from a restricted entity—particularly if located in a country of concern (China, Iran, North Korea, and Russia)—is a high-risk activity. Such collaboration on a federally funded project is likely prohibited by the award language and could also impact your future funding. It's important to be aware of these risks and to take necessary precautions.
What should you do if you are midstream on a collaboration with a restricted party?
As soon as possible, discuss the situation with the campus ECO. There are research integrity considerations in addition to research security concerns (malign foreign influence, risk profile impact, etc.). For example, we do not advise taking someone’s name off a potential publication. This could trigger research integrity issues and be perceived by federal funding agencies as concealing a foreign collaborator. However, do not send or provide anything to the restricted entity as it may need an export control license. You may be able to finish the manuscript without violating export control law, but please discuss it with the campus ECO.
Can I provide feedback on a paper initiated and led by a person from a restricted entity?
This is an individual decision based on a benefit/risk analysis. What is the benefit to you and UCCS? Is there any overlap with your federal funding? Would you be listed as a co-author? Depending on the answers, this activity may raise your risk profile with federal funding agencies.
Should I accept travel reimbursement or funding from a restricted party?
Consult with the campus ECO, but generally speaking, the answer is, “No.” Doing so may be a violation of federal law and may raise your risk profile with federal funding agencies. You cannot pay a restricted entity or party without advance federal authorization (e.g., a license or license exception).
What criteria do federal agencies use to assess a researcher’s security risk profile?
Examples of risk matrices used by funding agencies include the DOD Risk Matrix (reference pages 9-12) and the Army Risk Matrix. Other agencies have similar matrices, but the Army’s is the least risk tolerant. According to the DOD, simply co-authoring should not be the basis for the rejection of a proposal. However, some universities have reported rejections that appeared to be based on co-authorship and have appealed the decisions. On the other hand, the NSF has stated that simply co-authoring a paper will not raise your risk profile. NSF is rolling out their NSF research security reviews in 2025 with a pilot – starting with quantum technology.
What are examples of key restricted lists (note that the below list is not exhaustive)?
DOD 1286. The 1286 List includes foreign institutions that have been confirmed as engaging in problematic activity as described in Section 1286(c)(8)(A) of the NDAA for FY 2019. The DOD regularly updates the 1286 List on their Academic Research Security webpage.
BIS Entity List. The Bureau of Industry and Security (BIS) publishes the names of foreign persons – including entities (businesses, research institutions, government, and private organizations) and individuals, that are subject to specific license requirements for the export, reexport and/or transfer (in-country) of specified items. These persons comprise the Entity List (ELT), which is found on Supplement No. 4 to Part 744 of the Export Administration Regulations (EAR). Entities included on this list are referred to as denied entities.
Australian Unitracker. The “Unitracker” is not a denied entity list per se. It is a list compiled by an Australian think tank with funding from the U.S. State Department’s Global Engagement Center. In some instances, but not all, Australian entities may eventually appear on a U.S. government-denied list.
What does it mean if one of my collaborators or their home institution shows up on a denied list?
From an export control perspective:
- The U.S. Government requires that U.S. institutions obtain a federal license to share (ship, mail, or transfer) anything with a denied entity or 1286 entity. There is also a presumption of denial – the U.S. government will almost certainly deny the license.
- The U.S. government may occasionally grant visas for individuals who are affiliated with a denied entity or 1286 entity. If a visitor affiliated with a denied entity or 1286 entity is in the U.S. on a valid visa, you may generally collaborate with the individual on fundamental research. But the visitor cannot share items (data, equipment, materials, anything) with a denied entity (i.e., their affiliated institution). If the visitor returns to a denied or 1286 entity institution or leaves the U.S. and remains affiliated with the denied entity, you cannot collaborate with them without a license.
- The visitor may not be able to work on federally funded projects; and collaborating with them, including publishing papers, may impact your future federal funding. The federal government has various risk matrices for federal researchers, and one of the high-risk indicators is collaborating with restricted parties. Some awards may have prohibitions in the award terms.
- Working with or collaborating with a person associated with a denied or 1286 entity is an extremely high risk from a foreign influence perspective. It may negatively impact your future federal funding, particularly with the DoD. However, you will want to make sure you properly disclose any affiliations because under reporting this information can be problematic and violate federal law.
Can you collaborate with an organization on the Australian Unitracker?
You can collaborate with entities that are only on the Australian Unitracker (i.e., they are not also on a U.S. restricted list). However, you need to be mindful when shipping or sending anything outside the U.S. Collaborations need to be reported to federal agencies (see the OSP International Shipping webpage). Any collaboration with a person associated with any university or organization from a country of concern (China, Iran, North Korea, and Russia) may likely impact your risk profile.
What do you need to disclose in your UCCS Conflict of Interest disclosure?
- All foreign and domestic Significant Financial Interests (e.g., payments, equity, reimbursed travel);
- All external positions and appointments (e.g., board service, visiting or honorary appointments, serving as a PI, or teaching outside of UCCS);
- Any research support as directed in the Disclosure Form
- Any participation in a foreign talent recruitment program, malign or otherwise.
Disclosure is required at time of employment, annually, and within 30 days of acquiring or becoming aware of a new relationship or financial interest. More information can be found in the Conflict of Interest page.
What do you need to disclose to funding agencies?
- All foreign and domestic academic, professional, and institutional positions and appointments must be included in your biosketch per agency requirements.
- All current and pending support, including grants, contracts, agreements, in-kind support, and external support for students and postdoctoral fellows
- Any research performed outside of UCCS (e.g., via consulting or other appointments)
- Any participation in programs sponsored by foreign governments, instrumentalities, or entities, including talent recruitment programs must be listed in your Current & Pending Support.
Federal agencies vary on when this documentation is required. Review the OSPRI Other Support Disclosure website to learn more.
What is a Foreign Talent Recruitment Program and a Malign Talent Recruitment Program?
A Foreign Talent Recruitment Program (FTRP) is defined by OSTP as "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."
A Malign Foreign Talent Recruitment Program could be briefly described as an FTRP that is sponsored, directly or indirectly, by a foreign country of concern (currently China, Iran, North Korea, and Russia). However, there may be additional factors to consider.
Additional guidance on how to identify a potential Malign Foreign Talent Program can be found on the OSPRI Other Support Disclosure website. If you are receiving compensation (of any kind – monetary or non-monetary, including honorariums) from a designated country of concern (China, Iran, North Korea, or Russia), review the page referenced above and reach out to the campus ECO.
Who can you contact with questions?
Contact Mike Sanderson for Restricted Party Screenings, as well as general questions about talent programs or other international engagements. If you have any questions related to disclosure, contact UCCS HR.
Additional International Collaborations Resource
- UCCS - International Affairs Office
- UCCS - State Authorization Website
- International Travel and Export Controls
- International Shipments and Export Controls
- Guidance on Working with Iranian Collaborators
- U.S. Department of Commerce – Office of Antiboycott Compliance (OAC)
Questions? Contact the Office of Sponsored Programs and Research Integrity (OSPRI) at exportcontrol@uccs.edu for assistance with export control questions before engaging in any international collaborations.