Global scientific collaboration continues to be of fundamental importance to Berkeley Lab’s mission, and much of our success is based on engagements with colleagues both in the U.S. and abroad. But as an employee, you have some important responsibilities to ensure our collaborations and interactions are appropriate and permitted by federal law.
Existing DOE policies since 2020 require the disclosure and prior approval of all foreign sponsored or affiliated activities and appointments, in particular with the four “countries of risk”: China, Iran, North Korea, and Russia. This applies to all Berkeley Lab employees, as well as to affiliates and R&D subcontractors who are doing work at a DOE-affiliated site. These requirements do not apply to users working under a User Facility Agreement at our user facilities.
Also, in accordance with DOE Order 486.1A, any participation in a foreign government talent recruitment program supported by one of these countries of risk is prohibited for both employees and affiliates. You must immediately disclose any participation in such a program.
Activities that must be disclosed to the Research Compliance Office at rco@lbl.gov for further review include, but are not limited to:
- Participation in talent recruitment programs
- Employment
- Academic, professional, or institutional appointments or positions whether or not remuneration is received, and whether they are full-time, part-time, dormant, or voluntary (including adjunct, visiting, or honorary appointments).
- Other support, direct and indirect, including private and public sources of funding or income. For researchers, other support includes resources made available, directly or indirectly, in support of their professional R&D efforts, regardless of whether or not they have monetary value or are in-kind. This includes visiting students and other affiliates hosted in your group that are supported by a country of risk and that support your professional R&D efforts.
In-kind support under a fundamental research collaboration for the sole purpose of co-authorship to be made publicly available does not need to be declared unless any of the other items covered by the order apply, including the above.
If any of the above applies to you, or may potentially apply to you, or if you are not sure whether it does, please contact the Research Compliance Office (RCO) at rco@lbl.gov.
DOE Order 486.1A is complex, so please contact the RCO if you have any questions. The Lab’s priority is to assist employees to be in compliance with all requirements of this Order. Failure to disclose participation in an activity outlined in the order could result in disciplinary action, up to and including termination.
Berkeley Lab is committed to engaging in international collaborations and engagements while ensuring that we fulfill our responsibilities to protect U.S. government-funded intellectual property and disclose our activities. An open, transparent, collaborative, and inclusive research environment is key to our success and remains a cornerstone of our mission.
A comprehensive FAQ is available on the Research Compliance Office website.
