BACKGROUND
Since early 2018, there has been heightened awareness and increased activity related to the issue of foreign influence in academia within the federal government and amongst our peer institutions. Federal funding agencies have issued new requirements and guidance, federal law enforcement agencies have increased prosecutorial activity, and Congress has signed new legislation and sought information on how the academic research community is responding to this evolving issue.
The U.S. Government has expressed serious growing concerns regarding inappropriate influence by foreign entities over federally funded research (see Sources below). One issue that has moved to the forefront is the failure of federally-funded researchers at U.S. institutions to disclose their relationships and activities with foreign institutions and funding agencies. Several Federal agencies have indicated that failure to disclose foreign relationships and activities may jeopardize eligibility for future funding.
UNM encourages international collaborations, but it is important for our investigators to be transparent about their foreign relationships and activities. UNM Office of the Vice President for Research ( vpr@unm.edu ) has compiled the following information to provide guidance and resources to remind UNM researchers of their compliance obligations to federal sponsors.
Our approach is detailed more fully in the FAQs and other related tabs on the side panel.
This website is the first in a series of training and awareness tools that is being developed for the UNM research community to better understand the evolving compliance landscape.
News & Events
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-21-073.htmlNew NIH Guide Notice – effective date May 25, 2021
“In an effort to support strong collaboration between Federal research agencies, NIH has made every effort to align the Biographical Sketch (Biosketch), Other Support format page and Application Form Instructions with the guidance issued by the Office of Science and Technology Policy Joint Committee on the Research Environment.
As a result, this Guide Notice informs the extramural community that NIH has updated its application forms and instructions to support the need for applicants and recipients to provide full transparency and disclosure of all research activities, foreign and domestic.”
LETTER FROM THE PROVOST
Dear Colleagues,
At the University of New Mexico, we know that free and open exchange of information and ideas improves the work that our faculty, staff and students do to advance discovery, creativity and innovation. This openness includes international collaboration, which extends our reach in research and educational opportunities to a global community, and brings the knowledge and talents of the world to New Mexico. UNM has a long history of supporting cooperation and collaboration with global partners and welcomes students, faculty and researchers from all over the world.
Over the last decade, and with growing frequency, federal agencies that support research, as well as federal intelligence and security agencies, have expressed concern about systematic programs mounted by some foreign governments to unduly influence and capitalize on U.S. taxpayer funded research to obtain a competitive advantage in critical areas of research and innovation. These concerns include some foreign talent programs run by countries seeking to exploit U.S. technology by recruiting faculty from U.S. institutions to share appointments with institutions abroad. To protect US interests, many agencies, including NSF, NIH, DOE and DOD, have issued revised requirements and guidance for disclosing potential conflicts of commitment and conflicts of interest related to support from foreign governments or other foreign entities. Failure to observe these regulations can have, and in some high-profile cases has had, significant legal consequences for individual researchers and for the university.
We want to remind all UNM faculty, staff and students involved in research of their responsibility to follow all funding agency disclosure requirements. Disclosure requirements are not new, and federal agencies are updating regulations and policies to support protection of critical technologies, controlled information and intellectual property, and to limit undue influence.In many cases, agencies have revised disclosure and reporting requirements for documents that list professional appointments and affiliations (e.g., biosketches and CV’s) as well as documents that list current and pending support, including non-monetary support (e.g, in-kind support).
In short, please ensure that you are transparent, thorough and complete when disclosing to NIH, NSF, DOD and DOE, and other granting agencies. Disclosing all of your other sources of funding and professional affiliations is the best path. Principal Investigators are personally responsible for the completeness and accuracy of their documents, even if others have provided assistance in preparing those documents.
If you have questions about what to disclose and how, contact the offices below:
- Office of Sponsored Projects (osp@unm.edu
) or Faculty Research Development Office (frdo@unm.edu) @unm.edu>) @unm.edu> - Office of Research & Compliance for COI in Research matters.
- Export Control for Export Control Regulations.
- Industrial Security Department for awareness training and foreign travel briefings.
Thank you for your outstanding contributions to building UNM’s research enterprise.
James Paul Holloway
Professor of Nuclear Engineering
Provost & Executive Vice President for Academic Affairs
FAQs
Federal agencies have communicated significant concerns around protecting the American research enterprise from undue foreign influence. While foreign influence has not been completely defined by the federal government, its core concerns involve maintaining the United States’ economic competitiveness and national security. The FBI and other federal government agencies have expressed concern that some foreign actors, particularly foreign state adversaries, are seeking to acquire U.S. academic research and information illicitly or illegitimately in order to advance their scientific, economic, and military development goals through the exploitation of the culture of collaboration and openness on university campuses. More specifically, NIH has identified three areas of concern: diversion of intellectual property; peer reviewers inappropriately sharing confidential information on grant applications; and failure of researchers at NIH-funded U.S. institutions to disclose substantial resources from other organizations, including foreign governments.
Even though most collaborations are acceptable and encouraged, based on current expectations by the federal agencies, if in doubt on whether to disclose, sponsoring agencies encourage disclosure.
This varies by federal sponsor, but generally
- Appointments to external entities (whether paid, unpaid, adjunct, voluntary, or honorific) should be disclosed in your biosketch;
- Resource provisions made available to a researcher in support of, or related to, all your research endeavors, regardless of whether they have monetary value, are disclosed, depending on sponsor, in ‘other support’ or ‘current and pending support’ or ‘Facilities, Equipment and Other Resources’ documents, either at time of proposal or in annual reports;
- Performance of any significant scientific element or segment of a project outside the United States, either by the recipient or by a researcher employed by a foreign organization, regardless of whether grant funds are expended, should be disclosed in the proposal or by an approval request to the federal funding agency prior to the initiation of the engagements;
It depends on the level of activity of the foreign author: If the author performed a limited part of the work (e.g. ran some statistics), and the paper does not acknowledge any foreign funding, you should be prepared to answer a question regarding the author’s role but don’t need to do anything else. If the foreign author acknowledges funding for his or her work limited work, that funding should be included as Current and Pending Support or Other Support for the PI in proposals and progress reports If the work done by the foreign author is significant then it constitutes a Foreign Component, which requires prior approval by NIH. If the foreign collaboration was described in the funded proposal, it is already approved. If it was not in the proposal, prior approval must be requested from the grants management official before initiating the collaboration.
Yes. All faculty are required to disclose. Outside activities require pre-approval by your unit/department, and disclosure to sponsors. This includes work during off-duty periods. Disclosure is necessary because it may affect how a sponsor views your other commitments relative to performing work for them. When in doubt, disclose the engagement to your College and to your sponsor.
You must disclose any foreign students, postdoctoral candidates, and other trainees including visiting scholars on sponsored research. If they are performing work outside the United States, this creates a Foreign Component. If they are working in the United States but receiving any support from a foreign entity, this constitutes ‘Other Support.’ This disclosure also includes students who are ‘volunteers’ (i.e., who are not UNM enrolled students but are foreign students here in a voluntary capacity (Other Support) or are students in another country that are provided to a UNM researcher to do work there (Foreign Component)).
You do not need to disclose unless they are conducting research in a foreign country, which would require sponsor approval as a Foreign Component. If they are being paid by someone other than UNM, or are volunteers, that would be reportable as Other Support and should be reported as normally required by the sponsor. For example, for NIH that would be in the next RPPR or final technical report if funding is ending.
NSF guidance in the 2020 version of the Proposal & Award Policies & Procedures Guide (PAPPG) guide is clarified to make clear that all appointments and resources available to a researcher in support of their research efforts must be disclosed.
These may be disclosed on the proposal cover page, in the “International Activities Country Names” box, and an explanation/justification must be provided in the project description. Substantial collaborations not included in the budget should be described in the Facilities, Equipment and Other Resources section of the proposal. Appointments at a foreign entity should be disclosed in the biosketch and include any titled academic, professional, or institutional position whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary). Current and pending support information must be provided through use of an NSF-approved format for each individual designated as senior personnel on the proposal. Current and pending support includes all resources made available to an individual in support of, and/or related to, all of his/her research efforts, regardless of whether or not they have monetary value. Current and pending support also includes in-kind contributions (such as office/laboratory space, equipment, supplies, employees, students). In-kind contributions not intended for use on the project/proposal being proposed also must be reported.
Honoraria are routinely provided at international conferences for invited speakers, etc., and Faculty need to comply with IRS regulations in reporting this on their taxes. If your travel is being paid for by a foreign source, report any large honoraria (>$5k), especially if it is from China or some other near peer competitor. Faculty should disclose these as part of their disclosure when applying for federal awards. https://handbook.unm.edu/c130/
Other Support
Yes, 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. 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. 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)
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.
Err on the side of disclosure. Federal agencies require complete and accurate reporting of all sources of research support, financial interests and affiliations, both foreign and domestic. If you have any questions about whether something should be reported, please contact the Program Officer.
NIH takes the issue of protecting the integrity of U.S. biomedical research seriously. If noncompliance is identified, potential action by NIH may include withdrawing approval of the Program Director/Principal Investigator or other researchers contributing to the NIH award, imposing specific award conditions, disallowing costs, withholding future awards including the possibility of suspending or terminating the award, per NIH Grants Policy Statement, Section 8.5.
Presenting at an international conference in a U.S. sanctioned country may be viewed as providing a prohibited “service” under U.S. sanctions regulations. You should consult with the Office of Export Control prior to presenting to determine if a license is required. Generally, any presentation to an international audience should be limited to the following:
- information that is already published;
- information already in the public domain; and/or
- information consistent with that conveyed by instruction in catalog courses and associated teaching laboratories at U.S. institutions of higher education.
Depending on the nature of the data and the related technology, exchange of data with foreign collaborators may require a license. Please contact the Office of Export Control who can review the data and the country of the collaborator to determine whether there are any restrictions, or if a license is required. A Data Use Agreement may also be needed to facilitate the transfer of data to a collaborator. Please reach out to the Office of Sponsored Projects for additional assistance with Data Use Agreements.
It depends on the nature of the collaboration and the underlying activities. Specific authorization in the form of a license from the U.S. government may be required. It may be possible to secure a license to allow for such a collaboration in certain limited circumstances (e.g. when the reason for the individual or entity’s inclusion on the list is unrelated to the proposed collaboration). However, the license must be secured before any such collaboration is initiated and any restrictions outlined in the license must be strictly followed. Please contact the Office of Export for assistance.
Information released at an open conference, meeting or webinar is considered published and excluded from certain controls. “Open” means that all technically qualified members of the public are eligible to attend, and attendees are permitted to take notes or otherwise make a personal record (not necessarily a recording) of the proceedings and presentations. An “open” conference can charge a registration fee reasonably related to cost, and can limit actual attendance, as long as attendees either are the first who have applied or are selected on the basis of relevant scientific or technical competence, experience, or responsibility. However, certain sensitive information cannot be shared via open conference or webinar. Evaluation is case-specific. Thus, it is recommended that you contact the Office of Export Control to review your circumstances.
An export license may be required to ship or hand-carry items or equipment out of the U.S. The need for a license is dependent upon the nature of the equipment, as well as the end-use, recipient, and destination of the equipment. Additionally, even temporary export of equipment to some locations may incur customs tax obligations. Due to complexities of the requirements you should consult the Office of Export Control for assistance regarding shipping or traveling with equipment internationally.
Foreign Components (NIH Specific)
No, the concept of “Foreign Component” is specific to NIH as defined here https://grants.nih.gov/grants/policy/nihgps_2013/nihgps_ch16.html
A foreign component is the performance of a significant scientific element of the NIH-supported project outside of the United States. Once a recipient determines that a portion of the project will be conducted outside of the U.S., the recipient then will need to determine if the activities are considered significant. If both criteria are met, then there is a foreign component.
When making determinations about significance, the element of the project that is being conducted outside of the United States should be evaluated within the context of the project as a whole. Some examples of activities that may be considered a significant element of the project include, but are not limited to:
- Collaborations with investigators at a foreign site anticipated to result in co-authorship
- Use of facilities or instrumentation at a foreign site
- Receipt of financial support or resources from a foreign entity
Generally, no. If you have concerns please contact Office of Sponsored Projects for clarification.
This is unique to each situation and depends upon specific details surrounding a particular activity. For instance, one model could be that a PI on an NIH grant may have an appointment and a lab at a foreign university. The research being done at the foreign lab is unrelated to the PI’s NIH project. This would not qualify as a foreign component of the NIH research, as the foreign work is not part of the NIH-funded project. However, it is a resource made available to the researcher in support of their research. Therefore, it must be reported as Other Support.
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.
No, a “Foreign Component” exists only if the research activities occur outside of the United States.
Since specific circumstances may vary, it would be best to discuss with your NIH Program Officer.
In general, no. The first step in determining whether research constitutes a foreign component is to evaluate whether a portion of the research is being conducted outside of the United States. In this case, since all of the work is being conducted in the US, there would be no foreign component. However, this must be reported as Other Support. All in-kind resources, which includes visitors or employees who are paid directly by outside resources, should be disclosed as Other Support.
Reporting Conflicts of Interest (FCOI)
There has not been any changes to federal COI mandates to date. NIH/PHS issued a clarification that researchers are expected to disclose, among other things, their foreign affiliations with, and activities at, foreign non-profit research centers and public institutes and entities, even if they are exempt from disclosing the same type of affiliations/activities for domestic non-profit and public entities. If you have any questions on COI disclosures, please contact Office of Research & Compliance COI unit at (505) 277-1045 or coiresearch@unm.edu
Integrity of Peer Review Process
Officially-designated members include appointed members, temporary ad hoc members, the Scientific Review Officer, and NIH staff with a need to know. Applications, proposals, and confidential meeting materials cannot be shared with anyone who is not a member of the study section where those documents and information are being reviewed.
If NIH determines that you committed a bona fide breach of confidentiality in the peer review process, they could contact you and your institution, and ask you to step down from an appointed term of service on a study section. Depending on the severity of the breach, the NIH may refer the matter to the NIH Office of Management Assessment and possibly to the Office of the Inspector General in the Department of Health and Human Services, which could result in further administrative actions such as debarment or even criminal penalties. If the matter is referred to these authorities, the NIH would be unlikely to contact you or your institution first, as it now involves possible criminal violations.
Information about possible breaches of confidentiality come to the NIH in numerous ways. Often, an applicant will report that data, figures or text from his or her grant application appears in a publication authored by a reviewer on the panel where the application was reviewed. Additionally, this may also constitute research misconduct in the form of plagiarism. NIH sometimes learn about breaches of confidentiality from other reviewers, colleagues and students of reviewers, or even members of the media. NIH also has internal controls to monitor access to NIH computer systems.
How to Disclose
How is UNM meeting this requirement?
- At the proposal stage, OSP will continue to collect and submit the CV or Bio-sketch, Current and Pending support and any other documents that require this type of disclosure as listed in the solicitation for each sponsor.
- Some sponsors both private and public (mostly DOE) include provisions in awards that require PI to report any involvement in foreign government talent recruitment program. Any required action will be communicated to the PI by OSP staff.
Faculty Responsibility
- All forms submitted to OSP as part of the proposal record must be complete and accurate and include both paid and unpaid collaborations or projects.
Responsible Offices
Main campus Office of Sponsored Projects
(osp@unm.edu)
HSC Office of Sponsored Projects
(hsc-preaward@salud.unm.edu)
Section 117 Requirement
Over 30 years ago, Congress enacted Section 117 of the Higher Education Act of 1965 (HEA) in light of concerns about the growing financial relationship between U.S. universities and foreign sources. Congress balanced academic freedom and national security by mandating financial transparency through required reporting of contracts with and gifts from a foreign source that, alone or combined, are valued at $250,000 or more in a calendar year.
New Reporting Requirements will include:- Required identification of donors,
- Expanded definition of institutions,
- Expanded definitions and information requirements for foreign sources,
- Identification of intermediaries, and
- Detailed information on foreign contract restrictions.
Dept of Education guidelines on reporting
https://ifap.ed.gov/electronic-announcements/062220ReminderRprtOwnerContrlContrctsGiftsForeignSrcDept of Education Report
October 20, 2020https://www.ed.gov/news/press-releases/us-department-education-uncovers-vast-underreporting-foreign-gifts-and-contracts-higher-education-institutions
Section 117 Disclosure Submission Form
Over 30 years ago, Congress enacted Section 117 of the Higher Education Act of 1965 (HEA) in light of concerns about the growing financial relationship between U.S. universities and foreign sources. Congress balanced academic freedom and national security by mandating financial transparency through required reporting of contracts with and gifts from a foreign source that, alone or combined, are valued at $250,000 or more in a calendar year.
The University of New Mexico has a process by which we collect foreign source gifts and contracts that are routed through the various UNM accounting offices (i.e. UNM Foundation, the Office of Sponsored Projects and Contract and Grant Accounting, Global Education Office, etc.). In the event a foreign source gift or contract is received directly by a department or PI, in connection with research done at UNM, and wasn’t first routed or approved by a UNM accounting office, we require that information be disclosed using the newly created Section 117 Disclosure Submission Form. This form was created based on the Department of Education’s Foreign Gift and Contract Disclosure Form, and is intended to fulfill the reporting and compliance requirements of Section 117. Please report any monetary gifts or contracts received from a foreign source, regardless of dollar amount. If the gift or contract received was routed through a UNM accounting office or UNM Foundation, there is no need to complete the disclosure form, as this information is being captured and reported by the responsible accounting office.
Submit Disclosures here
Note
Please note that Section 117 Reporting requirements have different disclosure responsibilities required of the PI.
For more information contact
Jeremy Hamlin
Associate Controller
Email: jhamlin@unm.edu
Phone: 277-7721
Email: jhamlin@unm.edu
Phone: 277-7721
Reporting Conflicts of Interest
To meet current federal mandates on reporting foreign interests, activities, and affiliations though conflict of interest (COI) programs, researchers engaged in UNM research need to submit their COI disclosures in accordance with principal UNM policies governing COI, namely: UAP 3720, Faculty Handbook Policy E110, Faculty Handbook Policy E80. Also, UNM’s faculty researchers have to abide by the Faculty Handbook Policy C130 on conflicts of commitment. UNM offices which enforce these various policies will collect all pertinent information needed for addressing COI and, where applicable conflicts of commitment, through their existing forms and processes. These UNM offices may report foreign (and domestic) associations disclosed on their forms to the sponsoring agencies, if required by the sponsoring agencies or export control rules.
To date, there have not been any changes to federal regulations on COI. NIH/PHS issued a clarification that researchers are expected to disclose, among other things, their foreign affiliations with, and activities at, foreign non-profit research centers and public institutes and entities, even if they are exempt from disclosing the same type of affiliations/activities for domestic non-profit and public entities.
For questions on COI disclosures for research that occurs on Main and Branch Campus
Office of Research & Compliance COI unitTel: (505) 277-1045
For questions on COI disclosures for research that occurs on HSC Campus
HSC Compliance Office COI unitTel: (505) 272-6433
Agency Specific Disclosure Requirements
In August 2018, Director of the National Institutes of Health (NIH) Francis Collins issued a Foreign Influence Letter to Grantees and testified to the Senate Health, Education, Labor, and Pensions Committee regarding concerns about systematic programs of foreign influence in U.S. research.
NIH Protecting U.S. Biomedical Intellectual Innovation WebPage [NEW 7.16.2020]
NIH and the biomedical research enterprise have a long history of International collaborations with rules of engagement that allow science to advance while also protecting intellectual capital and proprietary information of the participating countries. These rules of engagement also are designed to limit bias in the design, conduct, and reporting of NIH-supported research. This page describes actions that NIH, institutions, and researchers can take to protect U.S. biomedical intellectual innovation. The principles described here align with those announced by the White House's Office and Science and Technology Policy in June 2020.
NIH Director Collins Dear Colleague Foreign Influence Letter
In December 2018 and June 2019, the NIH Advisory Committee to the Director (ACD) released a report entitled ACD Working Group for Foreign Influences on Research Integrity identifying recommendations around communication and awareness; risk mitigation; and monitoring, actions, and consequences.
Other Support: Expanded List of Reportable Items
In July, NIH issued NOT-OD-19-114 clarifying and reminding the research community of NIH policies on Other Support and Foreign Components.
Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components NOT-OD-19-114 July 10, 2019
Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components NOT-OD-19-114 July 10, 2019
The updated definition includes “all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant.” It should be noted that in their FAQs, NIH indicates that foreign collaborations that “directly benefit” an investigator’s research must be reported even if the investigator is not involved and the project is not funded with NIH dollars.
What, Where, & When to Submit
| What to Disclose | Where to Disclose | When to Disclose |
| Outside Appointments, both paid and unpaid | Biosketch | Proposal, RPPR |
| International Collaborations with a Foreign Component |
|
|
| Related sources of support including post-docs and visiting scholars funded by foreign sources, in kind resources provided by other institutions, and foreign grants the investigators | Other Support | Proposal, RPPR |
| International Collaborators in your lab (not key personnel) | Personnel report in RPPR | RPPR only if effort exceeds month |
| Outside professional activities, including financial interests received from a foreign entity. This requirement is distinct and in addition to the reporting of other support and foreign components to the NIH. | UNM conflict of interest in research disclosure. | at the time of the proposal submission, annually, and/or within 30 days of any material changes, acquiring new interest/s, or commencing new activity that merits disclosure. |
National Science Foundation [NSF]
NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support - Posted 6/15/2021
NSF Commissioned JASON Report
NSF commissioned the report to enhance the agency’s understanding of the threats to basic research posed by foreign governments that have taken actions that violate the principles of scientific ethics and research integrity. With the official receipt of the report, NSF will now begin the process of analyzing its findings and recommendations.
NEWS ALERT: US National Science Foundation reveals first details on foreign-influence investigations [NEW July 2020] https://www.nature.com/articles/d41586-020-02051-8
“The US National Science Foundation (NSF) has for the first time released figures on the actions it has taken against researchers found to have violated rules on the disclosure of foreign ties. Since 2018, the agency has reassigned, suspended or terminated grants, forced institutions to return funds or barred researchers from applying for future funding in 16–20 cases in which rules weren’t followed, according to Rebecca Keiser, the agency’s first chief of research security strategy and policy. All of these were cases in which the NSF’s Office of Inspector General, an independent body responsible for oversight of the agency and its grant recipients, had investigated and made recommendations on how to handle sanctions. Separately, the inspector-general referred an undisclosed number of criminal and civil cases involving fraud and nondisclosure to the US Department of Justice. Furthermore, in the past two months, seven universities have contacted the NSF directly with information on faculty members who might have violated rules.”
NSF- Statement of The National Science Board on Security and Science October 23, 2018 NSB-2018-42
Proposal & Award Policies & Procedures Guide January 2020
NSF Dear Colleague Research Protection Letter 7.11.19
The NSF Dear Colleague letter outlined a few steps it is taking to mitigate the risks in concert with other agencies and stakeholders. Highlights from the letter:
- Citizenship Requirements
- To ensure that NSF is applying consistent standards to all staff members, each of whom has access to sensitive merit review and other information, we issued a requirement in April 2018 that rotators working onsite at NSF must be U.S. citizens or have applied for U.S. citizenship.
- Disclosure Requirements
- Since 1978, NSF has required senior project personnel on proposals to disclose all sources of support, both foreign and domestic.
- Proposal and Award Policies and Procedures Guide
- A renewed effort is now underway to ensure that existing requirements to disclose current and pending support information are known, understood, and followed.
- For example, in May, we published in the Federal Register a proposed clarification of our proposal disclosure requirements (open for public comment through July 29). Our draft NSF Proposal and Award Policies and Procedures Guide includes clarifications regarding reporting requirements for both current and pending support and professional appointments.
- To streamline the process for providing these disclosures to NSF, we are proposing use of an electronic format for submission of biographical sketches, including disclosure of all appointments. As currently envisioned, this will become effective in January 2020. We are also working to develop an electronic format for disclosure of current and pending support information.
- Foreign Government Talent Programs
- Finally, we are issuing a policy making it clear that NSF personnel and IPAs detailed to NSF cannot participate in foreign government talent recruitment programs. There is a risk that participation in foreign government talent recruitment programs by NSF personnel and IPAs will compromise the ethical principles that bind us. Moreover, such participation poses significant risks of inappropriate foreign influence on NSF policies, programs, and priorities, including the integrity of NSF's merit review process—risks we simply cannot accept.
Department of Defense [DOD]
"In his September 16, 2019. letter to the research community. Dr. Kelvin Droegemeier, Director of the White House Office of Science and Technology Policy (OSTP), described a new OSTP-led interagency Joint Committee on the Research Environment (JCORE).
DoD is an active participant in JCORE, and in its sub-committee on Research Security, which is initially focused on coordinating four lines of Federal effort:
- coordinating outreach and engagement
- disclosure requirements for participation in federally funded research
- best practices for academic research institutions
- methods for identification, assessment, and management of risk
This work will help agencies that fund Federal research to develop common standards for identifying and adjudicating conflicts of interest and conflicts of commitment from these disclosures. It will also help agencies that fund Federal research to clarify consequences for failing to make these disclosures."
“The National Defense Authorization Act (NOAA) for FY 2019, Section 1286, pages 443- 445, directs the Secretary of Defense to establish an initiative to work with academic institutions who perform defense research and engineering activities: 1. To support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security; and 2. To limit undue influence, including through foreign talent programs, by countries to exploit United States technology within the Department of Defense research, science and technology, and innovation enterprise.”
Effective immediately, unless an exception applies or a waiver is granted, contracting officers shall not enter into or renew a contract for the procurement of—
- An unmanned aircraft system (UAS), or any related services or equipment, that—
- Is manufactured in the People’s Republic of China or by an entity domiciled in the People’s Republic of China;
- Uses flight controllers, radios, data transmission devices, cameras, or gimbals manufactured in the People’s Republic of China or by an entity domiciled in the People’s Republic of China;
- Uses a ground control system or operating software developed in the People’s Republic of China or by an entity domiciled in the People’s Republic of China; or
- Uses network connectivity or data storage located in, or administered by an entity domiciled in, the People’s Republic of China; or
- A system for the detection or identification of a UAS, or any related services or equipment, that is manufactured—
- In the People’s Republic of China; or
- By an entity domiciled in the People’s Republic of China.
This prohibition does not apply to procurements for the purposes of: counter-UAS surrogate testing and training; or intelligence, electronic warfare, and information warfare operations, testing, analysis, and training.
This class deviation implements the procurement prohibition under section 848 of the National Defense Authorization Act for Fiscal Year 2020 (Pub. L. 116-92).
| What to Disclose | Where to Disclose | When to Disclose |
| Outside Appointments, both paid and unpaid | Biosketch | Proposal |
| Related sources of support | Other Support | Proposal |
| Outside professional activities, including financial interests received from a foreign entity. This requirement is distinct and in addition to the reporting of other support and foreign components to the NIH. | UNM conflict of interest in research disclosure. | at the time of the proposal submission, annually, and/or within 30 days of any material changes, acquiring new interest/s, or commencing new activity that merits disclosure. |
On December 13, 2019, DOE issued Order 142.3A that removed an exemption to a foreign national approval process for institutions of higher education. Prior to this change, institutions of higher education were not required to obtain DOE approvals for foreign national participants conducting fundamental research.
On September 4, 2020, DOE issued Order 486.1A. DOE t has included a requirement in certain awards that require their review and approval of all foreign nationals (as defined by DOE, anyone who is not a U.S. citizen by birth or naturalization) supporting the project. This requires submission of additional documentation to DOE for each foreign national on the project.
A separate policy covering university-based grantees is expected to follow. It should be noted that DOE views participation in a foreign talent program a conflict of interest that needs to be reported.
| What to Disclose | Where to Disclose | When to Disclose |
| Identification of Potential Conflict of Interest |
Proposal: BioSketch |
Proposal |
| Foreign Talents program | Proposal: Current and Pending Support. | Proposal |
The Office of Science and Technology Policy issued a letter to the research community on September 16, 2019 regarding efforts to ensure openness, transparency, reciprocity, and security in international scientific collaborations. OSTP is working on:
- coordinating outreach and engagement with Federal agencies, academic research institutions, companies, non-governmental organizations, researchers, and students;
- establishing and coordinating disclosure requirements for participation in federally funded projects;
- developing best practices for academic research institutions; and
- developing methods for identification, assessment, and management of risk.
Other Support
NIH
NIH issued Guide Notice target="target="_blank">NOT-OD-19-114 on July 10, 2019 to remind investigators about the need to report foreign and domestic activities relevant to their sponsored projects through careful documentation of other support, foreign components, and adherence to financial conflict of interest reporting processes.
NIH requires this information to prevent scientific, budgetary, or commitment overlap, and to ensure proper oversight of financial conflicts of interest before and while NIH funds are being expended. NIH views these updated instructions as “clarifications” rather than policy changes, although in practice there do seem to be some significant revisions, including:
Please ensure that you are properly reporting to NIH. Please review this Guide Notice and its accompanying FAQs carefully so that your NIH proposals, just-in-time submissions, and continuation progress reports are fully accurate and complete. As a PI/PD or as senior/key personnel, note that you remain personally responsible for the completeness and accuracy of your documents, even if departmental research administrative staff have assisted you in document preparation.
NSF
NSF issued a Dear Colleague Letter: Research Protection on July 11, 2019 clarifying multiple steps NSF is taking to mitigate risks from “activities threatening our research community, such as certain foreign-government-sponsored talent recruitment programs.” NSF has proposed clarification of the proposal disclosure requirements and reporting requirements for both current and pending support and professional appointments. Those clarifications are included in the Proposal and Award Policies and Procedures Guide (NSF 20-1). Effective January 2020, NSF also proposes to use an electronic format for submission of biographical sketches, including disclosure of all appointments, and disclosure of current and pending support information.
DOE
On December 13, 2019, DOE issued Order 142.3A that removed an exemption to a foreign national approval process for institutions of higher education. Prior to this change, institutions of higher education were not required to obtain DOE approvals for foreign national participants conducting fundamental research.
On September 4, 2020, DOE issued Order 486.1A. DOE t has included a requirement in certain awards that require their review and approval of all foreign nationals (as defined by DOE, anyone who is not a U.S. citizen by birth or naturalization) supporting the project. This requires submission of additional documentation to DOE for each foreign national on the project.
A separate policy covering university-based grantees is expected to follow. It should be noted that DOE views participation in a foreign talent program a conflict of interest that needs to be reported.
DoD
DOD released a letter on October 10, 2019 addressed to the academic community describing threats to our collaborative research environment by foreign governments and outlining steps taken by DOD and other federal agencies to protect the integrity of the research enterprise. Specifically, DOD reiterates the need for research personnel to fully disclose conflicts of interest and commitment as follows: “all research and research-related educational activities conducted through DOD research grants, cooperative agreements, technology investment agreements, and other non-procurement transactions require key-personnel to disclose all current and pending projects, time commitments to other projects, and funding sources at the time of application.”
OSTP
The Office of Science and Technology Policy issued a letter to the research community on September 16, 2019 regarding efforts to ensure openness, transparency, reciprocity, and security in international scientific collaborations. OSTP is working on: (i) coordinating outreach and engagement with Federal agencies, academic research institutions, companies, non-governmental organizations, researchers, and students; (ii) establishing and coordinating disclosure requirements for participation in federally funded projects; (iii) developing best practices for academic research institutions; and (iv) developing methods for identification, assessment, and management of risk.
Foreign Talent Program
Although other countries participate in the 225 foreign talents programs, the vast majority are supported by the Chinese Communist Party. It serves as a reminder that ALL support foreign and domestic must be disclosed. Foreign support means from all foreign countries.
China’s Talent Recruitment Plans.
While China has created and manages more than 200 talent recruitment plans, the Thousand Talents Plan originally set out to recruit 2,000 high-quality overseas talents, including scientists, engineers, entrepreneurs, and finance experts. The plan provides salaries, research funding, lab space, and other incentives to lure experts into researching for China. According to one report, by 2017, China dramatically exceeded its recruitment goal, having recruited more than 7,000 “high-end professionals,” including several Nobel laureates. The Chinese Communist Party (the “Party”) plays a lead role in administering the Thousand Talents Plan. The Party recognized the need to control overseas talent recruitment efforts to ensure the program served its priorities. The Party created a “complex system of administration and oversight to coordinate its recruitment efforts.” The Party is able to “exert exceptional” levels of control over the Thousand Talents Plan and other talent recruitment plans. To ensure control, Thousand Talents Plan members sign legally binding contracts.
Contracting with the Chinese Government.
Thousand Talent Plan members sign legally binding contracts with Chinese institutions, like universities and research institutions. The contracts can incentivize members to lie on grant applications to U.S. grant-making agencies, set up “shadow labs” in China working on research identical to their U.S. research, and, in some cases, transfer U.S. scientists’ hard-earned intellectual capital. Some of the contracts also contain nondisclosure provisions and require the Chinese government’s permission to terminate the agreement, giving the Chinese government significant leverage over talent recruitment plan members. These provisions are in stark contrast to the U.S. research community’s basic norms, values, and principles. Annexed to this report are Chinese talent recruitment plan contracts that illustrate exactly what talent recruitment plan members agree to when they become members. From: Threats to the U.S. Research Enterprise: China’s Talent Recruitment Plans
Additional Resources
Importance of Disclosing
For researchers, comprehensive disclosure ensures transparency and bolsters credibility, while on the other hand, failing to disclose can invite otherwise undue scrutiny, jeopardize funding or career opportunities, and could even result in legal prosecution. UNM and its primary funders of sponsored research urge you, in the strongest terms possible, to disclose information about any and all other support, foreign components, or current and pending support, whether it’s provided through an organization or directly to you as an individual, as well as reporting all projects and activities that require a time commitment.
Latest from the Federal Government
- Foreign Interference in NIH Funding and Grant Making Processes: A Summary of Findings From 2016 to 2021
- Foreign Interference in NSF Funding and Grant Making Processes: A summary of findings from 2019 to 2021
Security Concerns in the News
- MIT Professor Arrested and Charged with Grant Fraud
- Former Emory University Professor and Chinese “Thousand Talents” Participant Convicted and Sentenced for Filing a False Tax Return
- University of Arkansas Professor Arrested for Wire Fraud
- Former Cleveland Clinic Employee and Chinese “Thousand Talents” Participant Arrested for Wire Fraud
- Former West Virginia University Professor Pleads Guilty to Fraud That Enabled Him to Participate in the People’s Republic of China’s “Thousand Talents Plan”
- Researcher at University Arrested for Wire Fraud and Making False Statements About Affiliation with a Chinese University
Available Training
As this page evolves, information on training will be updated here. But for now if you have questions that cannot be answered with the information on this portal, please contact Deb Kuidis, UNM's Industrial Security Officer at dkuidis@unm.edu
Thank you
Core Support Offices
Questions on "What", "Where and "When" to disclose
Main campus Office of Sponsored Projects
(osp@unm.edu)
Health Sciences Center Office of Sponsored Projects
(hsc-preaward@salud.unm.edu)
Faculty Research Development Office
(frdo@unm.edu)
Questions on Conflict of Interests
Office of Research & Compliance for Conflict of Interest in Research
(coiresearch@unm.edu), 505-277-1045
Questions on Export Control / Industrial Security including other General Disclosure questions
Export Control for Export Control Regulations
export@unm.edu, 505-277-2968
Industrial Security Department
dkuidis@unm.edu, 505-277-2058
Relevant Federal Agency Websites
- National Science Foundation (NSF): https://www.nsf.gov/pubs/2019/nsf19200/research_protection.jsp
- Department of Defense (DOD): https://rso.tamus.edu/wp-content/uploads/2019/10/DOD_201910.pdf
- Department of Energy (DOE): https://www.directives.doe.gov/directives-documents/400-series/0486.1-BOrder-a/@@images/file
- National Institution of Health (NIH) https://grants.nih.gov/grants/guide/notice-files/NOT-OD-19-114.html
Website Changes
Submit a ticket to
https://ovpritsupport.unm.edu-OR-
Grace Faustino
Email: gfaustin@unm.edu