Foreign Interests in Sponsored Programs
Our Commitment to Collaboration
The University of Washington is committed to international collaborative research, with partnerships and projects in over 130 countries. Our track record of collaborative research, coupled with strong individual research groups has kept the UW globally competitive and provided us opportunities critical to advancing science and to solving society’s most pressing issues. The quality of our researchers and students make the UW a leader in funding, quality and impact.
Our Commitment to Compliance
Our collaborative approach is one of our principal values, but it can expose us to foreign influence security risks and to those who would seek to exploit U.S. academic institutions, as evidenced by recently disclosed cases of academic espionage at several U. S. universities. We are dedicated to complying with all U.S. regulations governing international research collaborations, with the goal of mitigating our inherent vulnerabilities as an academic institution to ongoing and emerging threats to our national security, while preserving our ability to engage internationally.
Our Commitment to our Researchers
We will be providing regular guidance and resources including requirements for disclosure of all foreign collaborations, beginning with this communication. Look for announcements on the Research home page. We expect further guidance from the NIH soon, and from other federal sponsors after that. In conjunction with the Faculty Council on Research and the Research Advisory Board, we will be looking at how the UW, with our peers, define collaboration and how we can adapt research policy to this new understanding.
Foreign Interests in Sponsored Programs: What you need to know
As many of you are aware, there has been recent press and activities around national security with higher education and research organizations, including concern voiced about foreign threats to U.S. intellectual property as well as integrity of federally funded research endeavors. As a result, federal sponsors are working on guidance to mitigate these risks.
Information and guidance from select sponsors is collected here for reference. Other federal sponsors may have different requirements. Please check specific funding opportunity announcements and relevant agency grant policies for individual applications. We expect further guidance from sponsors and we will provide updates when they are available.
UW researchers whose research is supported with federal funding should update and maintain their current and pending support documentation. Make sure to include all sources of support, foreign or domestic, including scholarships or fellowships. When in doubt, err on the side of inclusion in current and pending support documentation.
Inform yourself of all sponsor requirements and follow all directions for content and format. Specific information is provided here for some major sponsors.
All individuals designated in an application as senior/key personnel must submit their “Other Support.” This is typically done at the “Just In Time” phase before an award is made. It is also required in progress reports, when key personnel are added or if there are changes in support from the original Other Support submission.
Other Support is defined as, “All financial resources, whether Federal, non-Federal, commercial or institutional, available in direct support of an individual’s research endeavors, including but not limited to research grants, cooperative agreements, contracts, and/or institutional awards.”
Interpret “financial resources” broadly. It is not just salary support an individual receives from another project, but also when the individual is devoting time to another project, unpaid, or receiving other forms of support, e.g.:
- Individual carries out research efforts under an appointment or affiliation with a foreign institution or entity and that institution provides support in the form of non-monetary resources.
- Individual commits measurable level of effort or holds position or scientific appointment, whether or not remuneration (or salary) is received. One example is an honorary, visiting or adjunct appointment at a foreign university.
- Resources and other support provided directly to the senior/key personnel for their research efforts (whether directly to the individual or through their institution).
- In-kind support, such as lab space, equipment or supplies. It can also take the form of selection to a foreign talent program or similar type program.
- Research collaboration that directly benefits the research endeavors of the senior/key personnel, even if unrelated to the subject NIH grant. One example is a scientist’s (including a visiting postdoc’s) experiments in the senior/key personnel’s lab, funded by another institution.
Other Support requires use of a format that includes the total award amount for, and devotion of person-months to, each form of support. We understand this format is challenging for some of the reportable Other Support listed above. Please estimate to the best of your ability, but in all cases, report it.
NIH: Other Support
National Science Foundation (NSF)
- Current and Pending Support – Include all financial resources and commitments of time even if no salary support is received
- Refer to the specific Notice of Funding Opportunity (NFO) for details on requirements for current support documentation from all key personnel at the proposal stage
- This info will be required for all key personnel whether or not they are being paid from the DOD project award/budget
- See “Actions for the Protection of Intellectual Property, Controlled Information, Key Personnel and Critical Technologies” dated March 20, 2019.
- See UW announcement on DOD Current and Pending Support Information in Proposals
- See DOD guidance under Foreign Talent Programs, below
- Refer to specific DOE Funding Announcement instructions on Current and Pending Support
- See DOE guidance under Foreign Talent Programs, below
DOE has published a directive providing detailed guidance on participation by DOE-funded researchers in Foreign Talent Programs.
Effective June 7th, 2019, DOE does not allow participation in foreign talent programs by its employees as well as contractor personnel. DOE defines such programs as “any foreign-state-sponsored attempt to acquire US scientific-funded research or technology through foreign government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working or educated in the United States”.
For UW, this may apply to those receiving DOE contract funding and does apply to those with joint appointments at national laboratories. While the policy does not specify grant recipients or individuals funded under cooperative agreements at this time, we can anticipate further policy development later this year.
A researcher wishing to seek DOE funding who is in such a talent program must remove his/her association with the talent program before receiving DOE funding. Please see:
- DOE current requirements and guidance on this ban
- Specific DOE Funding Opportunity Announcement (FOA) for current and pending support requirements
DOE will also be maintaining a list of foreign talent programs that fall under this ban.
DoD is also developing policies to limit or prohibit funding provided by the Department of Defense for institutions or individual researchers who knowingly participate in foreign talent programs.
Visiting Scholars and Sponsored Programs
A visiting scholar, in this context, is a foreign visiting graduate student, postdoc, or faculty member who will contribute in any way to the research set out in the scope of work.
All visiting scholars (students, postdocs and faculty) should provide their other support documentation. The other support should be in the format required by the sponsor and at the time the sponsor requires.
The Principal Investigator (PI) does not need to receive prior approval for a visiting scholar (student, postdoc or faculty) to work on a project in the United States, such as a UW lab on campus.
Requirements to keep in mind:
- PI should report all participants on a project in the progress report whether or not they are paid from the project. This section also requests whether the individual’s primary affiliation is with a foreign organization.
- Remember that visiting scholars who qualify as Senior/Key Personnel need to submit their Biosketches and Other Support in the “Personnel Updates” section of the RPPR, if this wasn’t submitted earlier at the “Just In Time” phase.
Prior approval is required before adding a foreign component to an NIH project. This is not a new requirement.
NIH defines foreign component as the performance of any significant scientific element or segment of a project outside of the United States either by the recipient or a researcher employed by a foreign organization, whether or not grant funds are expended.
As with any other significant change to a project, send your request to add a foreign component via OSP as a concurrence request.
Foreign Component Examples:
- Involvement of humans or animals at a foreign site
- Extensive foreign travel by grantee project staff for activities that support the project such as collecting data, surveys, samples or similar activities
- Any activity of the grantee or foreign researcher affiliated with the project that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country
- Collaborations with investigators at a foreign site anticipated to result in co-authorship
- Use of facilities or instrumentation at a foreign site; or receipt of financial support or resources from a foreign entity
Activity conducted within the U.S. that involves non-U.S. resource support is NOT considered a “foreign component” such as:
- Foreign travel for consultation
- A visiting scholar working in a U.S. lab/site on the NIH project
As you know, with respect to disclosing financial interests for conflict of interest review, you are not required to disclose the following (also see GIM 10):
- Income from seminars, lectures, or teaching engagements sponsored by the University, a federal, state, or local government agency, an Institution of Higher Education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of Higher Education; or
- Income from service on advisory committees or review panels for the University, a federal, state, or local government agency, an Institution of Higher Education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of Higher Education.
NIH has reminded the research community that these exclusions are limited to U.S. Institutions of higher education or a federal, state, or local government agency within the U.S. Therefore, all financial interests, including those received for the activities excluded in the U.S., must be disclosed if they are from a foreign institution of higher education or the government of another country.
- For UW research, disclose financial interests under procedures outlined in GIM 10.
- Not all financial interests are Significant Financial Interests (SFI). Significant Financial Interest is defined in GIM 10. It is broad, and includes forms of compensation, equity, sponsored/reimbursed travel, and intellectual property.
- Disclose both foreign financial interests and any other Significant Financial Interests in FIDS.
- While the UW does not require, and may not review, disclosures of financial interests not meeting the SFI standard, Investigators are encouraged to disclose all foreign financial interests. When in doubt – DISCLOSE.
The Electronic Code of Federal Regulations establishes standards on Promoting Objectivity in Research for institutions that receive Public Health Services funding from a grant or cooperative agreement.
Other Notes on Biosketches, Progress Reports, and Significant Financial Interests (SFI)
- Biosketches should be current and thorough.
- Progress Reports:
- Key personnel should indicate any change in support that occurred over the last budget year.
- Individuals whose primary affiliation is foreign who participate on a U.S. project must be disclosed in the Research Performance Progress Report (RPPR) Section D, Participants.
- Foreign support provided to an individual who is participating in a substantive manner on the NIH project should report this as Other Support in the RPPR, Section D.2, Personnel Updates.
- SFI disclosures need to occur at time of proposal, within 30-days of joining ongoing research, annually, and within 30-days of acquiring any new or increased SFI. Please see:
NIH and NSF Guidance
- NIH: Other Support
- NIH: Biosketch Format, Instructions and Samples
- NIH: NOT-OD-18-160 – SFI Reminder
- NSF: Current and Pending Support
Outside Professional Work for Compensation
Approval for outside work relationships with external entities, including foreign entities and governments must be requested in advance as described in:
- For faculty, librarians, and other academic personnel – Executive Order 57: Outside Professional Work Policy
- For professional or classified staff – Administrative Policy Statement 47.3: Outside Consulting Activities and Part-Time Employment by Professional or Classified Staff Employees
Intellectual Property and Inventions
Promptly report all inventions:
- To CoMotion, the University’s technology transfer office
- To federal sponsors as part of progress reporting
Researchers must take reasonable efforts to protect the University’s interest (and, in the case of federally-sponsored research, the federal government’s interest) in intellectual property developed in the course of their UW research.
Intellectual property developed under a sponsored research agreement is subject to the University’s policy on UW IP Disposition in Sponsored Program Agreements.
Individuals serving on NIH, NSF or other federal agency scientific peer review panels should note and comply with all requirements to maintain the confidentiality of the information in research grant applications.
Contracts, including Purchasing Activity, with Certain Foreign Entities
The federal government, through executive order, law, regulations, sanctions and other limitations, restricts or prohibits transacting with certain entities, including Huawei Technologies, ZTE Corporation, Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate).
In keeping with this prohibition, UW is not entering into transactions with the above entities or other entities known to be indicted for crimes that threaten US intellectual property or economic wellbeing. This prohibition is in addition to individuals or entities that are debarred, suspended or otherwise ineligible from receiving federal funding.
Policy, Regulation, and Guidance
- Executive Order 57: Outside Professional Work for Compensation
- APS 47.3 Outside Consulting Activities and Part-Time Employment by Professional…
- UW: DOD Current Support Info for Key Personnel in Proposals
- GIM 10: Financial Conflict of Interest Policy
- GIM 40: UW Intellectual Property Disposition in Sponsored Program Agreements
- Executive Order 36: Patent, Invention and Copyright Policy