FAQ for Foreign Influence

Q1: What are the specific concerns regarding “foreign influence” in the academic setting?

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.  Further, the NIH 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.

Q2: Do these issues apply only to NIH Grants?

No. The Department of Defense, the National Science Foundation, and the Department of Energy have also issued statements regarding this issue. Given the current U.S. Government focus on this issue, we anticipate similar guidance, statements, or requirements will be forthcoming from other funding agencies. Further both the FY21 NDAA (Section 223) and NSPM-33 direct all of the major research sponsoring agencies to implement policies, forms and practices to detect and prevent undue foreign influence. Implementing guidance for NSPM-33 is expected to be released in late 2021.

Q3: What are “foreign government talent recruitment programs” and why is there concern about them?

In general, FGTRPs are described as efforts sponsored by a foreign state entity (e.g., national, regional, or local foreign government agency, as well as certain foreign corporations and foreign public universities) to acquire U.S. scientific research results or technology through a government-run or government-funded program that recruits scientists, engineers, academics, researchers, and entrepreneurs of any nationality working or educated outside the sponsoring country. These programs often focus on research relevant to military development or emerging technology sectors. Distinguishing features of FGTRPs include:

1. Compensation provided by the foreign state entity to the recruited individual in exchange for the individual sharing knowledge, research, and/or expertise. Compensation may take a variety of forms, such as, cash; research funding (not provided through the current employer); access to laboratory facilities, materials, or support staff; honorific titles; career advancement opportunities; promised future compensation; or other types of remuneration or things of value.
2. Recruitment in this context refers to the foreign state entity’s active engagement in attracting the targeted individual to join the FGTRP and transfer knowledge and expertise to the foreign state. The recruited individual may be employed and located in the U.S., the sponsoring country, or elsewhere. Recruitment would not necessarily include any invitation by the foreign state to attend or present work at an international conference, provide an invited lecture, or conduct other activities outside the U.S.
3. Many, but not all, FGTRPs aim to incentivize the targeted individual to physically relocate to the foreign state (full-time or part-time). Some FGTRPs may allow or require continued employment at the University (or other US employer) and/or receipt of US research funding while concurrently receiving compensation from the foreign state.

The following are not FGTRPs for the purposes of this certification:

1. Research agreements between the University and a foreign entity.
2. Agreements for the provision of goods or services by commercial vendors.
3. Invitations to attend or present at conferences.

The federal government is concerned that FGTRPs are being used to illicitly or illegally acquire U.S. government-funded research in order to advance the foreign government's military or commercial capacity at the expense of the US taxpayer. The Thousand Talents Program and the National High-end Foreign Experts Recruitment Plan are examples of foreign government talent recruitment programs. 

If you are currently participating in a FGTRP or are considering participation, please contact foreigninfluence@virginia.edu to discuss potential conflicts of interest, conflicts of commitment, reporting requirements, and impacts on your participation in U.S. federally sponsored research and development programs.  

Q4: What is the federal government doing to address concerns about foreign talent recruitment programs?

At present, there is no generally applicable U.S. legal or regulatory prohibition on participation in a foreign recruitment program. However, the Department of Energy (DOE) recently issued an internal directive that prohibits DOE employees and contractor employees from participating in certain foreign talent recruitment programs to ensure protection of U.S. competitive and national security interests as well as DOE program objectives.  Similarly, NSF announced a policy prohibiting NSF personnel and Intergovernmental Personnel Act (IPA) detailees to NSF from participating in foreign government talent recruitment programs due to risk concerns.

Note: Pending legislation in the U.S. congress, if enacted, will make active participants in FGTRPs ineligible to apply for or receive U.S. R&D funding.

Q5: What steps must I take in response to these concerns?

Refer to the Faculty Guide to Managing to Managing Foreign Influence, which replaces our Do’s, Don’ts and Maybe’s of Foreign Entity Relationships guidance document. Carefully review sponsor requirements and instructions related to the disclosure of current and pending (a.k.a., Other) research support, appointments and affiliations, and project-specific resources. Make your sponsors aware of your collaborations and interactions with foreign entities that support or contribute to your research program; federal agencies are expecting a thorough account of touchpoints between your research program and any foreign entity.  For an explanation of the various requirements imposed by federal sponsor’s, please check the Sponsor Information page for general and sponsor-specific information and links..

Q6: Do I need to end my foreign collaborations and/or stop welcoming foreign students and visitors into my lab?

No. The University of Virginia believes that global engagement, both by bringing international scholars to Grounds and encouraging our scholars to collaborate internationally, enriches the student experience and brings diverse knowledge and experiences that enhance our scholarship. However, consistent with federal agency guidance you should provide information to your research sponsors about all foreign collaborations and ensure that all foreign Research Visitors are screened through the Office for Export Controls, confirming that there are no restrictions upon hosting such visitors. Please note that the U.S. government embassy/consular offices may deny visas on the basis of an individual's current or past affiliation with entities believe to be acting contrary to U.S. interests including, but not limited to, attempts to obtain federally-funded R&D results through illicit or illegal means. 

Federal sponsors have universally reiterated their ongoing support for principled international collaboration and engagement, i.e., activities conducted in a manner consistent with standard research integrity and ethical principles.

Q7: Do I need to make disclosures related to the work of my graduate students if they are foreign nationals?

In most cases, there is no reason to disclose participation foreign students or postdocs on sponsored research provided they are enrolled or affiliated with UVA or a collaborating institution named in the award. See Q8 for information about the participation of individuals from and supported by other institutions or organizations not affiliated with the sponsored program. 

There are no foreign national restrictions on “fundamental research” projects. However, there may be cases where working with an individual or entity located in a foreign country would be considered a "foreign component" requiring prior approval. NIH defines a foreign component as “any significant scientific element or segment of a project outside of the United States, either by the recipient or by a researcher employed by a foreign organization, whether or not grant funds are expended."

Classified and export controlled projects will be subject to foreign national restrictions. It may be possible to employ certain foreign nationals on controlled projects after appropriate licenses and/or exemptions are secured. Please contact the Office of Export Control for more information on such cases.

Q8: I have a visitor in my lab who is supported by his/her home foreign institution. S/he is not funded by any of my federal grants. Do I need to account for this visitor in proposals or progress reports?  If so, how?

We do not have specific guidance from all sponsors on this topic, however, per NIH guidelines, this person’s work on the project should be documented as follows:

1. As “Other Support” because the externally funded individual is a “resource available in direct support of [your] research endeavors.” The NIH recently clarified that “all research resources including, but not limited to, foreign financial support, research or laboratory personnel, lab space, scientific materials, … must be reported.”
2. As a “Participant” in the progress report if the person worked on a project for more than a month in any given year (see 6.4 Section D – Participants). Additionally, the person’s “primary affiliation” is determined by where the work was done for the project: if the individual is affiliated with a foreign organization but worked on the award solely in the U.S., the “primary affiliation” is not foreign; if work was performed while outside of the U.S., the primary affiliation should be noted as foreign.
3. As a “Foreign Component” if the individual performed part of the work while in your UVA lab, but also made a significant contribution to the project a from his/her home institution, or any other foreign location (e.g. collecting data at a foreign site, running samples on instrumentation there, and/or will be a co-author on publications arising from the grant).

The substantive contributions of visitors must be disclosed to the sponsor consistent with their instructions and requirements; this is typically in the Other Support or Resources section of the proposal, if known at the time of submission. Review sponsor instructions/guidance or consult with the assigned research administrators in your unit or the Office of Sponsored Programs about sponsor-specific requirements regarding the addition of externally supported personnel after an award has been issued; this may require prior approval from some sponsors.