Skip to content

International Research and Compliance – Sample Scenarios

On this Page

Example Scenarios

To better understand and fully consider the layers of compliance when working abroad or with international collaborators and institutions, please review the scenarios below.

The issue: A European post doc working in the lab of a Penn faculty member has support from the 1000 Talents Recruitment program from an institution in China.

The action: Contact the export control office to determine if the organization is on the restricted party list.

If not:

  • PI must immediately disclose the support to the NIH/NSF
  • PI must disclose the support on any DoD proposals
  • Current or future funding from DoE could be at risk

If so:

  • ORS will determine if licenses are required to carry out the research
  • School will assess whether research on sensitive topics in the labs must be restricted or require additional licensing
  • PI must immediately disclose the support to the NIH/NSF
  • PI must disclose the support on any DoD proposals
  • Current or future funding from DoE could be at risk
  • Potential scrutiny by FBI

The issue: A faculty member plans to attend a conference in Iran

The action: Contact the export control office well ahead of time so that the appropriate license can be obtained (licensing can take several months and a license is even required when giving a virtual presentation).

Travel with a ‘clean’ computer in order to avoid unintended export control violations.

Do not access sensitive information on campus networks remotely while traveling.

If the faculty member attends the conference without the appropriate licenses: Contact the Export Control Office.

This is a violation of U.S. export control laws, even if the information presented at the conference is already published or the area is not a sensitive technology, and even if the faculty member is traveling on a non-U.S. passport.

The action: Contact ORS who will determine if the company is on the Department of Commerce Entity List, has been found to be in violation of US sanctions or is a subsidiary of a company on the List or in violation.

VPR will consult with other Penn offices if the proposed activity poses large institutional risk, including reputational risk.

The issue: A foreign post doc comes to Penn to work with a faculty member.

The action: If the topical content includes sensitive technology, ensure screening occurs to determine if the institution that the student/post doc was previously affiliated with is on the restricted party list or will be funded by a restricted entity while at Penn.

If so:

  • ORS will determine if export licenses are required to carry out the research
  • School will assess whether research on sensitive topics occurs in other research groups for which access must be restricted or require additional licensing

Consult your BA or the Export Control Office for screening assistance.

The issue: A foreign institution wants to establish a relationship on the basis of an academic MOU.

The action:

  • Contact Penn Global Support Services for assistance including agreement review and restricted party/institution screening
  • Route agreements through Penn’s Research Inventory System (RIS) if this is a research agreement
  • Deans have signatory authority for academic MOUs;
  • ORS/PCI/OCR are signatories to research related agreements

If the partner is on the restricted party list and the topical content is related to sensitive technology, export control office will assess whether visitor access to export controlled information, equipment, or software requires licensing or must be restricted.

If the latter, develop security measures to ensure compliance.

The issue: I am a Principal Investigator on an NIH grant and have an appointment and a lab at a foreign university. The research being done at the foreign lab is unrelated to my NIH project.

The action: Since resources are made available to you in support of your research, this must be reported as Other Support. However, this would not qualify as a foreign component of the NIH research, as the foreign work is not part of the NIH-funded project.

The issue: I am a Principal Investigator on a federal award to a domestic university and have an unpaid appointment at a foreign university. At the foreign site I have access to lab space, research materials, and staff.

The action: This appointment must be reported as Other Support. While monetary compensation is not received, the lab space, materials, and staff are resources provided in support of and/or related to the research efforts and must be disclosed. Other payments, such as travel or living expenses must also be reported. NIH, NSF, and DoD require applicants to list all positions and scientific appointments, both domestic and foreign, that are held by senior/key personnel that are relevant to an application.  This includes affiliations with foreign entities or governments, such as titled academic, professional, or institutional appointments, whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).

Related FAQs

What is the NIH definition of a foreign institution?

NIH defines a foreign institution as an organization located in a country other than the United States and its territories that is subject to the laws of that country, regardless of the citizenship of the proposed Program Director/Principal Investigator.

A researcher at my institution has a 9-month appointment. S/he spends two months at a University outside of the United States during the summer conducting research under a foreign award. Does this count as Other Support?

Yes, this would be considered Other Support. Available resources in support of and/or related to an investigator’s research endeavors should be disclosed, even if they relate to work that is performed outside of a researcher’s appointment period.

As part of a collaboration effort with a colleague at a foreign institution, we are submitting a joint application for funding to a foreign entity. Does this need to be disclosed in my federal grant applications?

Please consult with the Office of Research Services regarding the internal approval process. In addition, you must disclose all such applications in your “Current and Pending” or “Other Support” page.

Do all federal agencies have defined foreign components?

No, the concept of “Foreign Component” is specific to NIH.

I am a PI on an NIH award to a domestic university. I will have a visiting fellow joining my lab whose salary will be supported by a foreign university. Do I need NIH prior approval before the fellow can work on my NIH funded research?

Since specific circumstances may vary, it would be best to discuss with NIH Program Officer.

I have a collaborator from another country who will work in my NIH-funded laboratory on my NIH project but receive no salary from my NIH grant. Is this considered a foreign component?

No, a “Foreign Component” exists only if the research activities occur outside of the United States.

View All FAQ's