Research Security

UNC Charlotte’s faculty, staff, students, and visitors must comply with U.S restrictions that have been placed on foreign entities. These restrictions could affect academic activities and partnerships. So it is vital to consult UNC Charlotte’s Office of Research Protections and Integrity (ORPI) before beginning any international collaboration.

a. How do I know if a foreign university is a restricted entity?

Some foreign universities and research institutions, including those in China and Russia, are under U.S. and international restrictions. Individuals might also be on a restricted party list. It’s important to screen for restricted parties before starting any activity, even if previous interactions with the same entity didn’t involve a screening.

UNC Charlotte uses Visual Compliance screening software to check foreign entities. If you’re unsure whether a foreign entity is restricted, reach out to the Office of Research Protections and Integrity (ORPI) before proceeding. ORPI can conduct restricted party screenings upon request.

More information on restricted parties is available on ORPI’s Export Control website.

b. Which countries have comprehensive Office of Foreign Assets Control (OFAC) sanctions?

• Cuba 
• Iran 
• North Korea 
• Syria 
• Ukraine: Crimea, Donetsk, and Luhansk regions

Most activities involving comprehensively sanctioned countries/regions require a license from the Office of Foreign Assets Control (OFAC). If you plan to work with a foreign university in one of these countries/regions, please contact the Office of Research Protections and Integrity (ORPI) for guidance.

Additional information about U.S. sanctions are available on ORPI’s Export Control website.

Things to take into account:

1. If your travel involves a sanctioned country or restricted entity, refer to FAQ 1.

2. All UNC Charlotte affiliates must register their international travel with the Division of Business Affairs. This ensures that the university can reach you in an emergency and provide assistance. For more information visit the Office of International Programs website.

3. Follow UNC Charlotte’s data security guidelines if bringing electronic devices.
4. If someone else is covering your travel expenses, disclosure may be needed:

• Public Health Service funding (e.g., NIH, CDC, AHRQ, etc.), sponsored travel must be disclosed in your annual COI disclosure in Niner Research.
• In a research collaboration that requires a time commitment, contact the Office of Research Services (ORS) about your disclosures to federal funding agencies.

Consider these points before speaking at a foreign university:

1. Refer to FAQ 2 for international travel guidance.
2. If the foreign university is classified as a restricted entity (refer to FAQ 1a), contact the Office of Research Protections and Integrity (ORPI).
3. If the foreign university is located in a sanctioned country (refer to FAQ 1b), contact ORPI.
4. If there is compensation, you must disclose it in your Niner Research Conflict of Interest disclosure form.
5. Is the foreign university covering your travel expenses or providing a per diem? If affirmative, please refer to FAQ 2(4) for potential disclosure requirements.
6. If you’ll receive any title, even honorary, disclose it in your biosketch for federal funding agencies, see FAQ 6.

1. Is the foreign university a restricted entity (refer to FAQ 1a)? If yes, consult the Office of Research Protections and Integrity (ORPI).
2. Is the foreign university in a sanctioned country (refer to FAQ 1b)? If so, contact ORPI promptly.
3. Will you share materials, data, or code with the collaborator? If yes, you may need agreements like a material transfer agreement (MTA). Contact the Office of Research Services (ORS) or the Office of Research Protections and Integrity (ORPI) to make appropriate arrangements. If any materials are leaving the U.S., reach out to ORPI for export controls review.
4. Will UNC Charlotte be funding the collaborator, or vice versa? If yes, work with ORS to establish a sponsored research agreement.
5. Will the collaborator significantly contribute to an NIH-funded project outside the U.S.? If yes, you may need NIH approval. Contact the ORS.
6. Will you receive materials or resources from the collaboration? If yes, disclose in your funding agency submissions. Contact ORS for more info.
7. Will you publish collaboratively? If yes, disclose in your funding agency submissions.
8. Is the collaborator part of a talent recruitment program? Some agencies may require security risk mitigation.
9. Will there be travel to the foreign university? Check FAQ 2 for details.

A. If the visitor is funded by a foreign institution, must I disclose this to my funding agencies?

If the visitor’s funding will support your research, you may need to disclose this. This entails reporting them as an “in-kind resource” in Other Support or Current & Pending Support, or within the Facilities and Resources section for the proposed project. For NIH and Department of Energy grants, it’s mandatory. For NSF grants, it is required for senior/key personnel if hosting the visitor involves a time commitment from them.

B. Can I host a visitor affiliated with a restricted entity?

Typically yes, but you must follow the disclosure rules in FAQ 5a. Additional review and approval might be needed, and a risk mitigation plan might be required. Review FAQ 1a and consult with the Office of Research Protections and Integrity (ORPI) for guidance.

C. Can I host a visitor from a comprehensively sanctioned country?

Typically yes, if you meet the disclosure rules in FAQ 5a. However, there might be export control restrictions. See FAQ 1b and visit ORPI’s Export Control website for more details.

D. I get funding from NASA. Are there any special rules?

Yes, there are. Since 2011, NASA cannot fund any work involving collaboration with China or Chinese-owned entities, even if it’s not funded directly. So, if you’re hosting a visitor from a Chinese institution, they cannot join your NASA project. You can find more details in NASA’s PRC FAQ for ROSES.

1. Is the foreign university a restricted entity? If yes, seek guidance from the Office of Research Protections and Integrity (ORPI).
2. Is the foreign university in a sanctioned country? If yes, contact ORPI.
3. Do I understand the reasons and expectations of the appointment offer?
4. Do the appointment requirements align with UNC Charlotte’s conflict of commitment policy? Check the Conflict of Interest website.
5. Do I need approval for a titled and paid appointment outside UNC Charlotte? Refer to University Policy: 102.1.
6. Does the appointment contract allow termination? Are there unusual authorship or affiliation requirements?
7. Have I disclosed the appointment or affiliation in Niner Research through my Conflict of Interest disclosure form?
8. If consulting on research, disclose it as Current or Pending Support.
9. For NIH-funded projects, include the agreement in Niner Research. Other funders may also request to review the agreement.
10. Include the appointment or affiliation in your Biographical Sketch submitted to funding agencies.

For questions about appointments, contact the Office of Research Services (ORS).

Any funding designated for research activities at UNC Charlotte must be processed through the Office of Research Services (ORS). This office assists faculty with the pursuit, acquisition, and management of extramural funding. If you’re unsure whether the funding is a gift or a grant, contact the Office of Research Services (ORS) for guidance.

Furthermore, if you’re asked to serve as the principal investigator for funding from a source outside of UNC Charlotte, University Policy 101.24 requires you to disclose it for further review.

Lastly, disclose any research resources available to you, whether within UNC Charlotte or elsewhere, in your disclosures to federal funding agencies.

According to federal legislation, a “malign foreign talent recruitment program” is defined as follows:

A) Any activity that offers compensation in cash, travel compensation, honorific titles, or career boosts, in exchange for one or more of the following:

1. Sharing intellectual property, data, or other nonpublic information funded by the U.S. government to a foreign government or related entity without permission..
2. Mandating recruitment of trainees or researchers for participation in the program.
3. Starting a laboratory or company, or accepting a faculty position or employment, in violation of the conditions of a federal award.
4. Making it hard to end a contract except for very extraordinary reasons.
5. Asking for commitments that make it hard to fulfill a U.S. federal award, or cause overlap/duplication.
6. Requiring funding from foreign governments.
7. Forbidding acknowledgment of the recipient institution (e.g., UNC Charlotte) or the U.S. federal research agency sponsor, contrary to university policies or award terms.
8. Keeping participation in the program secret from U.S. funding agencies or UNC Charlotte.
9. Creating conflicts of interest or commitment contrary to standard award terms and conditions.

B) And:

1. A foreign country of concern (FCOC) or an entity based in a FCOC, whether directly sponsored by the FCOC or not.
2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain NDAA Act Section 1286(c)(8).
3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain NDAA Section 1286(c)(9).
4. an entity on a US government restricted entity list (see Consolidated Screening List and contact exportcontrol@charlotte.edu for additional information.)

The “CHIPS and Science Act,” forbids taking part in such programs for those getting federal research funds. If you’re considering an invitation that fits these criteria, contact the Office of Research Protections and Integrity for guidance.

Lately, the U.S. Government has voiced concerns about certain countries, especially China, posing increased risks to U.S. national and economic security. These concerns involve the possible misuse of U.S. exports by entities in China, including some Chinese educational institutions, and China’s military-civil fusion strategy. This strategy aims to blend China’s civilian research and business sectors with its military and defense sectors. According to the U.S. Government, China implements this strategy by directing its research universities to work on military-related research and development.

In reaction to these concerns, the U.S. has placed more limitations on China, including export limits on Chinese universities and research centers (as mentioned in FAQ 1a) and restrictions on China’s semiconductor and supercomputer industries. U.S. funding agencies may also scrutinize activities related to China more closely and ask for extra documentation (appointment letters, collaboration agreements, etc.) These U.S. policies are adapting to changing global situations.

UNC Charlotte researchers can engage in activities with counterparts and institutions in China as long as they follow disclosure requirements in the provided FAQs and comply with U.S. laws. However, if the proposed activity poses a higher risk (like dealing with restricted entities, sending samples, or working in sensitive sectors), it needs extra scrutiny and may require compliance procedures to reduce risks. For questions or concerns about activities involving China, contact the Office of Research Protections and Integrity for further guidance.

It’s important to understand that the concerns mentioned mostly involve actions linked to the Chinese government. We must ensure researchers with ties to China aren’t unfairly stigmatized or discriminated against during increased scrutiny of interactions with China in higher education. UNC Charlotte is dedicated to creating a discrimination-free environment and fostering diversity and inclusivity for everyone. Anyone with concerns about prohibited activities should report them to the Human Resources Office.

If any law enforcement officer contacts you about UNC Charlotte work matters and seeks access to non-public materials, wants to discuss university business, or asks you to meet to discuss university business, immediately direct them to the Office of Legal Affairs. If you get a subpoena for UNC Charlotte documents, immediately send the subpoena to the Office of Legal Affairs. The Office of Legal Affairs will handle the University’s response. After informing the Office of Legal Affairs of the contact, reach out to the Office of Research Protections and Integrity for additional guidance.