International Affiliations/Foreign Engagements Guidance
Activities, Positions, Support and Affiliations from China, Russia, Iran and North Korea are prohibited or restricted and must be declared. Research and related activities in areas deemed sensitive by DOE are subject to restrictions on access by some foreign nationals. This requirement applies to any employee or affiliate at the Lab, and includes any support received by researchers at the Lab.
There are additional requirements and restrictions on international travel, hosting international visitors, and working with international sponsors. The Travel, FVA, SPO and Export Control offices can provide further guidance in these areas.
Foreign Government Talent Recruitment Programs
No employee or affiliate may participate in a Foreign Government Talent Recruitment program sponsored by the government of China, Russia, Iran or North Korea. This prohibition applies to anyone working on an R&D subcontract onsite. This does not apply to User Facility Users.
Other activities, positions, and affiliations sponsored by or affiliated with the government of China, Russia, Iran or North Korea are restricted for Lab (and DOE) employees. These activities, affiliations, etc require PRIOR authorization from the Lab and DOE. Authorization is a lengthy process, and approval is not guaranteed.
In principle, affiliates are not restricted or prohibited from engaging in activities sponsored by or affiliated with the government of China, Russia, Iran or North Korea. HOWEVER, read through the definition of Support before concluding that no restrictions apply.
Support from an organization sponsored by or affiliated with the government of China, Russia, Iran or North Korea is restricted for Lab (and DOE) employees, and requires the same advance approval from DOE as above. Support includes compensation, honoraria, travel payments, and similar provided to the employee, as well as resources such as materials, equipment, lab space, etc. SUPPORT ALSO INCLUDES visiting/affiliate students, post docs, and other labor whose effort is paid/supported by an organization sponsored by or affiliated with the government of China, Russia, Iran or North Korea.
Science and Technology Matrix
Subject matter experts at the Lab are responsible for reviewing each new research project to determine if it involves work in areas deemed sensitive by DOE. Restrictions apply to projects that are considered part of the Science and Technology Matrix. RCO will work with researchers and divisions to implement controls and access restrictions for foreign nationals for any sensitive projects.
Funding Proposals to Federal Sponsors
Support from all direct and indirect sources, including international sources, must be disclosed as part of the “Other Support and Biosketch” section. This includes indirect sources of support, such as fellowships provided to students and post docs supporting your research.
What activities do I need to declare?
Any activities, positions or support that falls under the categories above must be declared. Contact us if any of the above applies to you, or if you are not sure whether it does.
Can I host a post doc or grad student with a study abroad scholarship from one of these countries?
Generally not, as their effort is supported by a restricted source, and is considered support to your research. You must have prior approval through a DOE process in order to host such a visitor.
A university from one of these countries invited me as a visiting professor to conduct a six week series of lectures. The university would provide housing and compensation. May I accept the offer?
You must have prior approval through a DOE process before accepting such an appointment.
I collaborate with several international colleagues on a DOE funded research project. One of these colleagues is from a university in China, and they would like to visit to discuss research results and data. May I host them as a visitor?
Yes, as the collaboration is part of a DOE-funded project, and the colleague is performing their own research, you may host them. Other foreign visits and assignments rules apply – consult the FVA office for more information.
Does a scientist coming to a DOE laboratory to attend a workshop or conference need to disclose Foreign Government Sponsored or Affiliated Activity?
No, the Order does not apply to non-research activities such as workshop or conference attendance at the laboratory. These individuals must be performing R&D on-site to be covered by the Order.
Do laboratory scientists receiving travel honoraria for attendance at scientific conferences, including those sponsored by professional societies, with multiple conference sponsors including foreign countries of risk, need to report this?
Where there are multiple sponsors and the foreign country of risk entity is not the majority (greater than 50%) sponsor of the conference, no disclosure is required. However, it must be reported if the foreign country of risk entity is providing the honoraria directly to the laboratory scientists.
We have an R&D subcontract with another organization for a project. Sometimes the subcontractor employees come onsite to work on aspects of the project. Do any of these restrictions apply to the subcontractors working on our project?
The prohibition on participation in a foreign country of risk talent recruitment program applies to subcontractor staff if they perform R&D work; these restrictions are included as provisions in R&D subcontracts as standard practice. The restrictions related to Other Foreign Government Sponsored or Affiliated Activity do not apply to these individuals.
I have a joint appointment with another UC campus. Are my collaborators on campus prohibited or restricted from any activities with China, Russia, Iran or North Korea?
Prohibitions and restrictions only apply to your campus collaborators if they are Berkeley Lab affiliates.
I have a joint appointment with another UC campus. One of my graduate students has a scholarship to study in the US from one of these countries. Can I make them a Berkeley Lab affiliate in order to work with me on a project in my LBNL lab?
The graduate student’s effort is considered support to your research, and the source of their scholarship funding counts as support to you. If it is from a restricted source, you must have prior approval through a DOE process in order to host the graduate student as an affiliate at Berkeley Lab. Approval is not required if they work solely in your UC campus lab, solely supporting UC campus projects.