Countries of Concern
Overview
Federal laws, regulations, and research sponsors use several country-based designations when establishing research security, disclosure, participation, funding, export control, and other requirements.
Terms such as Foreign Country of Concern, Country of Risk, and other sponsor-specific designations do not necessarily have the same definition or apply to the same activities. The countries included, requirements imposed, and individuals or organizations affected depend on the applicable federal authority or sponsor requirement.
A country designation does not, by itself, mean that all research activities involving that country are prohibited. It may, however, trigger additional disclosure, review, screening, authorization, or other requirements depending on the research activity and applicable federal requirements.
The Office of Research Security (ORS) assists researchers in identifying which country-related requirements apply to a proposed or ongoing research activity.
Foreign Countries of Concern
The CHIPS and Science Act established the term Foreign Country of Concern for certain federal research security requirements.
The current definition includes:
- People's Republic of China
- Democratic People's Republic of Korea (North Korea)
- Russian Federation
- Islamic Republic of Iran
- Any other country determined to be a country of concern by the U.S. Department of State
This designation is used in several federal research security requirements, including requirements related to foreign financial support, malign foreign talent recruitment programs, and certain federally funded research activities.
The specific requirement should always be reviewed because the designation may apply differently depending on the applicable law, regulation, or federal sponsor policy.
Sponsor-Specific Country Designations
Federal research sponsors may establish additional country-based requirements or use terminology that differs from the general Foreign Country of Concern definition.
These requirements may affect:
- Research collaborations
- Foreign appointments and affiliations
- Foreign-sponsored research or other foreign support
- Participation in foreign talent recruitment programs
- International travel
- Access to research information or technology
- Research agreements
- Disclosure and certification requirements
- Eligibility for certain federally funded research activities
Researchers should follow the requirements of the federal sponsor supporting the research.
Department of Energy — Countries of Risk
The U.S. Department of Energy (DOE) maintains a Countries of Risk designation for purposes of certain DOE research security requirements.
DOE currently identifies the following Countries of Risk:
- People's Republic of China
- Russian Federation
- Islamic Republic of Iran
- Democratic People's Republic of Korea (North Korea)
- Belarus
DOE requirements associated with Countries of Risk may apply to certain appointments, affiliations, collaborations, talent recruitment programs, travel, or other activities involving DOE-funded research.
Because DOE requirements are program- and activity-specific, researchers supported by DOE should consult applicable award requirements and ORS before engaging in activities that may be affected by these restrictions.
Countries of Concern and Research Activities
Country-based designations may affect research differently depending on the applicable federal requirement, sponsor, organization, and activity.
For example, a designation may result in:
- Additional disclosure or certification requirements.
- Restrictions associated with certain foreign talent recruitment programs.
- Sponsor review of certain foreign appointments, affiliations, collaborations, or support.
- Additional institutional review or Restricted Entity Screening.
- Restrictions on certain federally funded activities.
- Export control or sanctions requirements.
- Additional requirements associated with international travel, research agreements, information sharing, or technology transfer.
The presence of a country on a federal research security list does not mean that every individual, university, company, or other organization associated with that country is restricted.
Requirements should be evaluated based on the specific activity, organization, individual, sponsor, and applicable federal authority.
Countries of Concern and Restricted Entities
Country-based designations and restricted entity lists serve different purposes.
A country designation identifies countries covered by a particular federal law, regulation, policy, or sponsor requirement.
A restricted entity designation applies to particular organizations or individuals identified by the U.S. Government under sanctions, export control, national security, research security, procurement, or other authorities.
An organization located in a Country of Concern is not necessarily a restricted entity. Likewise, an organization located outside a Country of Concern may appear on a U.S. Government restricted party or restricted entity list.
ORS conducts Restricted Entity Screening when appropriate to determine whether an individual or organization is subject to applicable U.S. Government restrictions.
Countries of Concern, Sanctions & Export Controls
Research security country designations are separate from U.S. economic sanctions and export control requirements.
A country may be subject to sanctions or heightened export control restrictions regardless of whether it appears on a particular research security country list. Similarly, designation as a Foreign Country of Concern does not by itself determine whether a particular export, transaction, collaboration, or other activity is prohibited.
Research activities involving sanctioned destinations, restricted parties, controlled equipment, software, technology, or technical information should be evaluated under the applicable sanctions and export control requirements.
For activity-specific guidance, see Sanctions & Embargo Programs and the University's Export Control guidance.
Federal Sponsor Requirements
Country-related research security requirements vary among federal sponsors and may change as federal laws, regulations, policies, and award requirements evolve.
Researchers receiving or seeking federal research funding should review the requirements applicable to their sponsor and award, including requirements concerning:
- Current and pending or other support
- Appointments and affiliations
- Foreign components or collaborations
- Foreign financial support
- Foreign talent recruitment programs
- Research security certifications
- International activities
- Sponsor-specific restrictions or approvals
ORS can assist investigators and research teams in identifying sponsor-specific requirements that apply to their activities.
Frequently Asked Questions
Does involvement with a Country of Concern mean that a research activity is prohibited?
No. A Country of Concern designation does not automatically prohibit all research activities involving that country. The applicable requirements depend on the federal authority, sponsor, organization, individual, and proposed activity.
Are all organizations in a Country of Concern restricted?
No. Country-based designations and restricted entity designations are different. Organizations and individuals must be evaluated under the applicable federal requirements and restricted party lists.
Are Countries of Concern the same for every federal sponsor?
No. Federal laws and sponsors may use different terminology, country lists, and requirements. Researchers should follow the requirements applicable to the sponsor and research activity.
Why does DOE include Belarus?
DOE maintains its own Countries of Risk designation for purposes of certain DOE research security requirements. Its current list includes Belarus in addition to China, Russia, Iran, and North Korea.
Are Countries of Concern the same as sanctioned or embargoed countries?
No. Research security country designations, economic sanctions, and export control restrictions arise under different federal authorities and should not be treated as interchangeable.
Does ORS prohibit collaborations based solely on the country involved?
No. ORS identifies applicable research security, export control, sanctions, sponsor, disclosure, and institutional requirements. Whether a particular activity may proceed depends on the applicable requirements and the circumstances of the proposed activity.
Research Activities & Guidance
Planning a specific research activity? Visit Research Activities & Guidance for activity-based guidance on international collaborations, international travel, foreign-sponsored research, conferences and professional activities, international transfers, sharing research information, and other activities that may involve country-specific requirements.
Research Activities & Guidance
Need Assistance?
Country-related research security requirements depend on the applicable federal authority, research sponsor, participating organizations and individuals, and proposed research activity.
The Office of Research Security can assist researchers in identifying applicable research security, sponsor, disclosure, export control, sanctions, and institutional requirements.