Research Activities & Guidance
Overview
The Office of Research Security (ORS) has developed activity-based guidance to help faculty, staff, and students identify research security, international research, export control, research information protection, cybersecurity, sponsor, contractual, disclosure, and institutional requirements that may apply to University research activities.
Researchers planning a specific activity should begin with the guidance below. Because research activities may involve more than one area, researchers may need to consult more than one guide. Each guide identifies common considerations, explains when to contact ORS, and links to related guidance and resources.
ORS helps researchers identify and address applicable requirements before activities begin and as research circumstances change. ORS does not approve or prohibit most research activities but works with researchers and other University offices to identify requirements, coordinate institutional reviews when needed, and support responsible, compliant research.
Need Assistance?
| Service | Description |
|---|---|
| Request a Research Security Review | Submit a research activity to ORS for review when research security, international research, export control, information protection, sponsor, or other requirements may apply. |
| Schedule a Consultation | Meet with ORS to discuss research security, international research, export controls, research information protection, or sponsor requirements. |
| Contact ORS | Ask a question or request guidance before beginning a research activity. |
Restricted Entity Screening
Certain research activities may require screening of individuals and organizations against U.S. government restricted party and entity lists. Screening may be relevant when working with collaborators, sponsors, companies, visitors, vendors, or other research partners in the United States or abroad.
Restricted Entity Screening helps identify restrictions, licensing requirements, sponsor requirements, or other research security considerations that may apply to a proposed activity.
CONDUCT A RESTRICTED ENTITY SCREENING
LEARN ABOUT RESTRICTED ENTITY SCREENING
Critical & Emerging Technologies
Research involving a Critical or Emerging Technology (CET) may warrant additional consideration in connection with international research activities, particularly when combined with foreign collaborations, restricted entities, Countries of Concern, sponsor requirements, or other research security factors.
Identification of a research area as a CET does not, by itself, mean that the research or technology is restricted or export controlled.
International Collaborations & Engagements
These guides support research activities involving collaborators, organizations, funding, agreements, visitors, and the international exchange of research information and technology.
| Research Activity | Description |
|---|---|
| International Collaborations | Guidance for planning, establishing, conducting, and managing research collaborations with international researchers, institutions, companies, and organizations. |
| Foreign Sponsored Research | Guidance for proposing, conducting, and managing research funded or otherwise supported by foreign governments, universities, companies, foundations, or other foreign organizations. |
| Foreign Military and Defense Organizations | Guidance for planning, conducting, or supporting research involving foreign military organizations, military universities, defense research institutes, or other organizations affiliated with a foreign military. |
| International Visitors | Guidance for planning, hosting, and supporting international faculty, researchers, students, visiting scholars, and other research visitors. |
| Foreign Person Participating in Research | Guidance for employing foreign national faculty, staff, postdoctoral researchers, and students participating in research activities. |
Research Agreements & Sponsorship
These guides support research projects and activities that may involve external funding or support, research agreements, partnerships, or other circumstances that establish research security, export control, information protection, access, publication, cybersecurity, disclosure, or other project-specific requirements.
| Research Activity | Description |
|---|---|
| Sponsor & Agreement Requirements | Guidance for reviewing and complying with research security, export control, information protection, publication, and other project-specific requirements contained in sponsor solicitations, award terms, and research agreements. |
| Student-Led & Independent Research | Guidance for independent research, student-led projects, design and competition teams, capstone projects, and other student activities that may involve controlled technologies, restricted information, external support, international participation, or other research security requirements. |
| Department of Defense (DOD) SBIR/STTR Research | Guidance for proposing, conducting, and managing Department of Defense SBIR and STTR research and collaborations involving small businesses. |
| Faculty Startup Companies | Guidance for conducting research involving faculty startup companies and related outside activities that may require research security, disclosure, conflict of interest, contractual, or export control review. |
International Travel
These guides support research-related travel outside the United States and associated research security, export control, cybersecurity, and sponsor requirements.
| Research Activity | Description |
|---|---|
| International Travel | Guidance for international travel involving research, teaching, field work, conferences, or other University activities. |
| International Travel Loaner Laptop Program | Guidance for requesting and using a University-approved loaner laptop for international travel. |
| Working Remotely from Outside the United States | Guidance for conducting University research or research-related work while located outside the United States. |
Professional Activities
These guides support conferences, meetings, seminars, workshops, professional service, external appointments, and other scholarly activities that may involve research security, export control, sponsor, or institutional requirements.
| Research Activity | Description |
|---|---|
| Conferences, Professional Activities & External Appointments | Guidance for participating in conferences, meetings, seminars, workshops, professional societies, external appointments, teaching, lectures, and other scholarly activities involving international organizations or conducted outside the United States. |
| Hosting Conferences, Meetings & Seminars | Guidance for planning and hosting conferences, meetings, seminars, workshops, symposia, and other scholarly events involving international participants, speakers, visitors, or organizations. |
| Publishing & Presenting Research | Guidance for publishing, presenting, and otherwise publicly sharing research, including considerations related to authorship and contributions, affiliations, research support, sponsor requirements, publication restrictions, protected research information, export controls, and international collaborations. |
Research Information, Data & Technology
These guides address research security and export control considerations involving research equipment, materials, software, technology, and external research services.
| Research Activity | Description |
|---|---|
| Working with Government Information | Guidance for receiving, accessing, using, storing, sharing, and protecting government information, including CUI, FCI, Government-Furnished Information (GFI), and other government-controlled information. |
| Working with Proprietary & Confidential Research Information | Guidance for receiving, accessing, using, storing, sharing, and protecting proprietary or confidential research information received from sponsors, collaborators, companies, universities, and other external organizations. |
| Working with NIH Controlled-Access Data | Guidance for requesting, accessing, receiving, storing, using, and sharing controlled-access data obtained through NIH repositories. |
| Sharing Research Information | Guidance for sharing research information, data, software, technology, technical information, presentations, publications, or other research outputs with collaborators, sponsors, companies, government agencies, or other third parties. |
| Data Protection Plans | Guidance for developing, implementing, and maintaining sponsor-, contractual-, or institutionally required Data Protection Plans. |
| Secure Research Computing | Guidance for research requiring secure research computing environments, specialized storage, controlled access, or sponsor-required cybersecurity safeguards. |
| Software & Encryption | Guidance for developing, acquiring, using, sharing, storing, or transferring software, source code, encryption, and related technologies. |
Research Equipment, Materials, Technology & Services
These guides address research security and export control considerations associated with acquiring, using, protecting, and transferring research equipment, materials, software, technology, and external research services.
| Research Activity | Description |
|---|---|
| Purchase of Research Equipment, Materials, Software & Technology | Guidance for purchasing research equipment, materials, software, technology, chemicals, biologics, and other items that may require research security or export control review. |
| External Research Services & Service Providers | Guidance for using external laboratories, testing or sequencing services, data analysis or computing services, research platforms, consultants, and other third-party services that may receive, process, store, or access research information, data, samples, materials, software, or technology. |
| Protect Export-Controlled Equipment, Technology, & Information | Guidance for protecting export-controlled equipment, materials, software, technology, technical information, and other research assets from unauthorized access. |
| International Transfers (Shipments, Hand-Carry & Electronic Transmissions) | Guidance for shipping, mailing, hand-carrying, or electronically transferring research equipment, materials, software, technology, technical information, or research information internationally. |
| Using Process Design Kits (PDKs) in Research | Guidance for receiving, accessing, and using semiconductor Process Design Kits (PDKs) in research activities. |
| Drones (UAS) in Research | Guidance for purchasing, operating, transporting, and using unmanned aircraft systems (drones) in research. |
Sanctioned & Embargoed Countries
These guides support research activities involving countries and destinations subject to U.S. economic sanctions or embargo requirements.
| Research Activity | Description |
|---|---|
| Sanctions & Embargo Programs | Guidance for understanding U.S. sanctions programs and conducting research activities involving sanctioned destinations. |
| Cuba | Country-specific guidance for research, travel, collaborations, shipments, and other activities involving Cuba. |
| Iran | Country-specific guidance for research, travel, collaborations, shipments, and other activities involving Iran. |
| Russia | Country-specific guidance for research, travel, collaborations, shipments, and other activities involving Russia. |
Reference Guides & Resources
Researchers may also find the following ORS resources helpful.
| Resource | Description |
|---|---|
| Restricted Entity Screening | Learn how organizations and individuals are screened against U.S. government restricted party and entity lists before certain research activities. |
| Federal Sponsor Risk Matrices | Compare sponsor-specific research security expectations for common international research activities and identify activities that may require additional review or sponsor notification. |
| Export Control Reference Guides | Learn about export control regulations, classifications, Technology Control Plans, Restricted Entity Screening, sanctions, shipping, travel, and other export compliance topics. |
| International Research Reference Guides | Learn about the federal research security framework, sponsor-specific requirements, Critical & Emerging Technologies, Countries of Concern, Foreign Talent Recruitment Programs, Restricted Entity Screening, and other international research concepts. |
| Research Information Protection & Cybersecurity Reference Guides | Learn about research information classification and protection, government information, privacy, cybersecurity, physical security, and federal safeguarding requirements applicable to research information. |
| Disclosure & Transparency Reference Guides | Learn about Current & Pending (Other) Support, Foreign Components, foreign talent recruitment programs, conflicts of interest, organizational conflicts of interest, and other sponsor disclosure and transparency requirements. |
| Federal Research Security Framework | Access official federal policies, directives, implementation guidance, standards, executive orders, and other government resources that establish and support the U.S. research security framework. |