Research

Research Security and International Collaboration Policy

Policy Statement

Michigan Tech is committed to supporting international collaborations and partnerships as an important and necessary component of the research enterprise. While the University encourages international collaborations, it is also important to remain vigilant in protecting the security of the research enterprise. The U.S. Government has expressed serious concern regarding violations, and the threat of potential violations, of federal law and / or funding agency policies through activities conducted by federally funded researchers and / or their relationships with some foreign entities and individuals. Collaborations and relationships with high-risk entities or individuals, including some foreign governments, may violate the principles of national security or scientific integrity. These risks drive the need for policy and guidance.

Purpose

It is Michigan Tech’s policy that all individuals involved in research at Michigan Tech, including faculty, staff, and students, conduct their research-related activities and transactions in accordance with research-sponsor requirements, federal and state laws and regulations, and University policies and procedures. This policy supports Michigan Tech’s research security principles and describes the responsibilities of the University and its researchers in the identification and management of interactions and engagements with restricted parties.

Restricted Parties

Restricted Parties are entities or individuals considered to be of heightened concern or high-risk with respect to U.S. national security interests.  There are various lists and tools available (for the screening and identification of Restricted Parties) many of which are established and maintained by the U.S. Government. Interaction with any Restricted Party may require additional export licenses and permits, for example, for information and items that are designated as EAR99, and as such, not listed on the Bureau of Industry and Security Commerce Control List (CCL).  A careful review of any proposed transaction or activity with any Restricted Party is warranted.

Restricted Parties Screening

Prior to participating in a research collaboration, including any exchange of material or information; faculty, researchers, and staff at Michigan Tech should screen their collaborators (including people, academic institutions, governments, and companies) against the restricted parties lists. Screen for restricted parties before doing any of the following:

  • International research collaborations
  • Teaching courses abroad or online
  • Presenting at international conferences
  • Hosting international visitors
  • Exchanging materials, data, technical information, or money (screen recipients or sponsors)

For activities conducted according to University requirements for notification and approval, Restricted Party screening to identify restricted or high-risk entities and individuals is conducted by the University’s Research Security Office and other administrative offices as a part of the approval process for the listed activities/transactions: 

  • Individuals and their current and past institutional affiliations including both:
    1. visiting scholars, and 
    2. graduate students involved in, whether paid or unpaid, sponsored research activities subject to a foreign national restriction,
  • Foreign entities (including institutions, companies, and individuals) entering into contracts or agreements,
  • Foreign entities sharing or receiving technology,
  • Export-controlled purchases from foreign entities, and
  • Others, as otherwise required by law or University policy.

If desired, faculty, researchers, and staff may perform a restricted party screening pre-check early in their research planning by utilizing the Restricted Party lists and tools or by completing the International Collaboration Request form.

Entities and Individuals Identified as Restricted Parties

If screening results in the identification of a Restricted Party, the proposed interaction is either denied or will require further evaluation.

Denied Interaction

It is Michigan Tech’s policy to deny interaction with entities or individuals on the Denied Persons List or with members of the Seven Sons of National Defense Universities. As of June 2021, the Seven Sons of National Defense Universities are:

  • Beihang University,
  • Beijing Institute of Technology,
  • Harbin Engineering University,
  • Harbin Institute of Technology,
  • Nanjing University of Science and Technology,
  • Nanjing University of Aeronautics and Astronautics, and
  • Northwestern Polytechnical University.

High-risk Interaction

It is also Michigan Tech’s policy that an evaluation will be performed on a case-by-case basis for any proposed interactions with entities or individuals on any of the following lists:

Permitted interactions will be determined by the Export Control and the Associate Vice President for Research Administration offices, with input from the Vice President for Research, Chief Information Security Office, and Legal Counsel, as appropriate.

Requests for Reconsideration

Requests for reconsideration of a determination can be made to the Associate Vice President for Research Administration based on additional or new information obtained after the initial review. The request must be submitted by email within five (5) University business days of the initial determination and include a detailed description of the additional or new information. The request will be reviewed by the Associate Vice President for Research Administration and Facility Security Officer, with input from the others, as appropriate. A written response via email will be sent within a time frame that allows for a thorough analysis of all available information and also accounts for time sensitive issues identified in the request for reconsideration.

Foreign Government Talent Recruitment Program (FGTRP)

Based on the U.S. Office of Science and Technology Policy's National Security Presidential Memorandum 33 (NSPM-33), a foreign/international talent recruitment program (FGTRP) is an effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship, national origin, or full-/part-time status).

FGTRPs raise U.S. sponsor concerns when they appear to operate with the intent of acquiring proprietary technology or software, unpublished data and methods, or other intellectual assets to further the military and/or economic goals of a foreign government through actions including, but not limited to:

  • Incentivizing/compensating the FGTRP participant to relocate physically to a foreign country in order to import/acquire the proprietary technology, software, etc.;
  • Allowing for or encouraging the FGTRP participant to receive U.S. Federal research funds while concurrently working at and/or receiving compensation from a foreign institution for the same, or similar, work;
  • Directing FGTRP participants not to disclose their participation to United States entities;
  • Compelling FGTRP participants to enter into contracts that conflict with their responsibilities to, or that are disallowed by Michigan Tech.

Compensation may include cash, research funding provided directly to the individual and not through U-M, access to research facilities or other in-kind support, honorific titles, career advancement opportunities, promised future compensation, or other types of remuneration/consideration.

Michigan Tech researchers are advised that participation in an FGTRP must be disclosed to the university by contacting researchsecurity-l@mtu.edu, and to federal sponsors in Biosketches and Current & Pending/Other Support, as applicable.

Federal governments consider this disclosure in determining funding.  Failure to disclose participation in an FGTRP has resulted in legal action by the U.S. government against researchers who are engaged in federally-sponsored research.

Restricted Party Lists/Tools

There are multiple public lists/tools available to conduct restricted party screening, and include but are not limited to:

Department of Defense

History

Adopted: 9/21/2021.  Approved by Vice President for Research