International Collaborations
Researcher Reference Guide: Protecting Your Name and Your Research in Publications
Scientific research is a global undertaking, and international engagement is of fundamental importance to Berkeley Lab. By investing in our work, sponsors, the American public, and the U.S. government trust us to advance our mission with integrity and careful attention to potential risks. Maintaining this trust requires transparency about all collaborators on a research project, particularly when partnerships involve institutions or individuals subject to research security or export control considerations.
This quick reference helps to ensure that risks can be avoided or mitigated when working with sensitive collaborators, institutions, or countries. Awareness of such risks is essential, as research funders increasingly scrutinize publication records as a key factor in funding decisions. There are no restrictions on the vast majority of international research collaborations in fundamental research. However, the checks below will help identify potential risks associated with a collaboration and ensure that appropriate risk-mitigation measures and Lab support are available to you.
- Know Your Collaborators
- Past or present collaborations with entities of concern may impact your research funding.
- Prior to engagement, it is recommended to screen all collaborators and their affiliated institutions in Visual Compliance—a tool that checks individuals and institutions against restricted-party and sanctions lists—to confirm they are not of concern. This is particularly recommended for institutions located in Countries of Risk. Request a free Visual Compliance account here.
- Review collaborator affiliations, funding sources, and foreign ties to ensure they do not pose potential concerns. For example, such funding may be disclosed in the Acknowledgements section of recent publications (see the Acknowledgements section below for further guidance).
- Ensure that your point of contact in a larger collaboration keeps you updated on who else is involved in the research as the work progresses.
- Request Authorship Approval
- Inform your collaborator that your approval is required before your name appears on any publication. This should be standard practice, including for situations where your contribution to a study is more narrow in scope.
- In particular, for co-authors located in Countries of Risk, it is recommended to screen all anticipated co-authors and their affiliations in Visual Compliance before accepting authorship.
- Consider Country or Research Topic Risks
- Apply heightened scrutiny to risks of unauthorized transfer of intellectual property when collaborating with individuals or institutions located in embargoed, sanctioned countries, or Countries of Risk (COR).
- Be mindful of publications in sensitive research areas, as research sponsors may apply increased scrutiny. Examples include the subject areas on the S&T Risk Matrix.
- Verify the Openness of Your Research
- Confirm the work is intended for open publication and qualifies as fundamental research or publicly available information.
- Ensure that no sponsor restrictions, approval requirements, or limitations on dissemination or participation are in effect.
- Exclude export-controlled or proprietary data from your publications if you have not received clearance for their release. For additional information, visit the Export Control Website.
- Review Publication Acknowledgements
- Verify that author affiliations and contribution statements accurately reflect each author’s contributions.
- Confirm all financial support is accurately listed and align with your line management on how to cite programs and funding sources.
- Review acknowledgements by other authors for potential concerns, including references to support from malign foreign government talent recruitment programs. Funding acknowledgements to sources outside established fundamental research funders (such as the NIH, NSF, or their international equivalents) may raise concerns.
- Complete Required and Recommended Training
- Complete all required training on time, including:
- Research Security Training at Berkeley Lab and the University of California (UC Learning Center)
- Introduction to Export Controls Training (ECO 0110)
- Complete all required training on time, including:
- Seek Guidance and Support
- If any of these checks suggest an increased risk, or when in doubt, pause and consult with the Research Compliance Office (RCO). Transparency about these risks is important, and together we can find solutions and possible risk mitigation in support of your research.
- For questions related to research security, foreign talent programs, funding sources, or publication matters: researchsecurity@lbl.gov
- For questions related to export compliance, restricted party screening, or Visual Compliance: exportcontrol@lbl.gov
- If any of these checks suggest an increased risk, or when in doubt, pause and consult with the Research Compliance Office (RCO). Transparency about these risks is important, and together we can find solutions and possible risk mitigation in support of your research.
FAQs
General
Is this a mandatory requirement?
No, this is a voluntary requirement.
Why should the identified due diligence steps be performed?
Federal research funders do review past publications of applicants for research security concerns, and this list aims to identify and potentially mitigate such concerns prior to publication.
What are the potential implications of conducting collaborative research with restricted entities?
International collaborations in fundamental research are an important part of research. However, research funders increasingly scrutinize publications for research security concerns, and these may impact future research funding. For example, the Department of War has issued a decision matrix for fundamental research that suggests that even co-authorship with other researchers participating in malign foreign talent recruitment programs or co-authorship with individuals on the DOW Prohibited Entity List will require risk mitigation measures before a grant can be issued. Collaboration with researchers from restricted entities outside of fundamental research results intended for publication also violates export control laws.
I don’t have the capacity to complete the recommended due diligence for all my collaborations—where should I prioritize my efforts?
In academia, most restricted entities are situated in Countries of Risk. Focusing due diligence on those collaborations will cover a large part of these risks. By their nature, malign foreign talent recruitment programs have recipients internationally. Building a quick habit of reviewing the acknowledgement section for potential red flags can be a simple step that requires minimal effort.
If I spot a concern, am I still allowed to take part in the effort?
There are no prohibitions against fundamental research collaborations subject to this checklist. However, research security concerns around the undue transfer of intellectual property to entities of concern may lead to reputational harm or may impact future research funding. These concerns may apply even to fundamental research.
What if one collaborator in a large international collaboration poses a concern?
There is no one-size-fits-all approach, as each situation depends on its specific circumstances. Raising concerns early helps determine the most appropriate path forward. For guidance, please contact the Research Compliance Office.
Visual Compliance and Restricted Party Screening
How do I get access to Visual Compliance to perform Restricted Party Screening (RPS)?
For new accounts, navigate to https://accounts.visualcompliance.com/register.aspx and register using your Berkeley Lab email address. To sign in, navigate to https://accounts.visualcompliance.com/login.
Who can help me with RPS in my division?
Every division has an assigned Export Control Liaison (ECL) who can assist you. You can find your division’s ECL contact information on this Export Control Liaison List.
What training resources are available for RPS?
Within 24 hours of registering for a Visual Compliance account, you will receive an email from the Export Compliance Office with training resources. Additionally, the Export Compliance Office hosts an annual live training for all Visual Compliance users.
Do I have to screen the same party I previously screened again to ensure their current RPS status?
No. Visual Compliance has a feature called “dynamic screening”, which continuously rescreens all RPS searches performed by a user. If a previously screened party appears on a newly updated restricted party list, Visual Compliance will send the screener an email notification about the potential match. If your review confirms a positive match and you need assistance in resolving it, escalate to exportcontrol@lbl.gov.
Due Diligence
Do our concerns apply to all foreign talent programs or only certain ones?
These concerns apply to malign foreign talent programs. These are typically tied to Countries of Risk.
If you are unsure about a program’s status, please contact researchsecurity@lbl.gov for guidance.
Am I allowed to collaborate with researchers from institutions in a Country of Risk on fundamental research intended for publication?
Yes, however, DOE rules restrict you from receiving anything from these collaborators, including equipment, honoraria, travel payments, “free” postdocs or graduate students, and other support.
Risk Mitigation and Communications
What are user facilities doing to ensure they are not engaging in activities with restricted parties?
User facilities are performing RPS on the entities and collaborators involved in the work.
What are some of the outcomes from a spotted concern that is escalated to the Research Compliance Office?
Risk mitigation should emphasize transparency—such as clearly and accurately stating all acknowledgements in the publication. The goal is not to obscure potential concerns, but to address them openly. In some cases, it may also be appropriate to reassess the overall balance of risks and benefits associated with the collaboration.
How do I communicate these requirements to collaborators outside the Lab without creating friction or distrust?
The goal of research security is to enable open, fundamental research collaborations while safeguarding against the improper transfer of intellectual property. These principles are widely recognized and adopted by a broad range of international partners. Any specific concerns will be addressed collaboratively when raised with the Research Compliance Office.