The following information is provided to researchers as part UVA's online disclosure process for conflicts of interests. In order to complete the online disclosure process, individuals must acknowledge that they have read and understand their obligations to disclose.
FOREIGN SUPPORT AND AFFILIATIONS:
Undue influences on research activities are of particular concern to federal sponsors, Congress, regulatory/oversight offices and law enforcement agencies. Recent enforcement actions have focused on two primary areas: 1) failures to disclose foreign support and affiliations as required by US employers and federal sponsors; and 2) illegal transfers of confidential/proprietary information and intellectual property. Federal sponsors, Congress, and law enforcement have and are expected to continue taking steps to prevent and detect undue foreign influence on federally funded research and development (R&D) activities. For example, please review NIH Grants Policy Statement Section 2.5.1 on just-in-time procedures and NIH Notice NOT-OD-21-073 regarding changes to the Biographical Sketch and Other Support Format page; the updated forms and instructions will be required for use for applications and Research Performance Progress Reports submitted for due dates on or after 5/25/2021. Also, be aware that NIH requires prior approval for a foreign component on an NIH award; contact the Office of Sponsored Programs for assistance.
Recently the U.S. Congress codified uniform requirements for the disclosure of current and pending research support in Section 223 of the Fiscal Year 2021 National Defense Authorization Act (FY21 NDAA). Section 223 applies to all federal research sponsors with research expenditures exceeding $100 M and specifically requires the following of individuals and institutions:
- That each covered individual listed on the application
- Disclose the amount, type, and source of all current and pending research support received by, or expected to be received by, the individual as of the time of the disclosure;
- Certify that the disclosure is current, accurate, and complete; and
- Agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award; and
- That any entity applying for such award certify that each covered individual who is employed by the entity and listed on the application has been made aware of the requirements under paragraph (1).
The terms in bold italics, above, are defined in Section 223 as follows:
- Covered Individual means an individual who contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; and is designated as a covered individual by the Federal research agency concerned. UVA Note: It is our understanding that this will be the senior/key personnel identified on the proposal/award.
- Current and Pending Research Support means all resources made available, or expected to be made available, to an individual in support of the individual’s research and development efforts, regardless of 1) whether the source of the resource is foreign or domestic; 2) whether the resource is made available through the entity applying for a research and development award or directly to the individual; or 3) whether the resource has monetary value; and includes in-kind contributions requiring a commitment of time and directly supporting the individual’s research and development efforts, such as the provision of office or laboratory space, equipment, supplies, employees, or students. UVA Note: No materiality threshold (e.g., monetary value or time/effort) is established in the definition nor in any other paragraph of Section 223 or the FY21 NDAA. This means that income or other benefits you receive outside of your UVA appointment that do not have to be disclosed as a significant financial interest under financial conflict of interest requirements (RES-005, Financial Conflicts of Interest for Research Investigators) may have to be reported to sponsors as current and pending research support.
- Entity means an entity that has applied for or received a research and development award from a Federal research agency. UVA Note: This is the Rector and Visitors of the University of Virginia (UVA) except in the case of individual fellowship proposals and awards where the applicant/awardee will also be the entity.
Section 223 also provides for a range of individual and/or institutional penalties including, but not limited to, removal from an active award, debarment from future federal funding, required repayment, and referral for consideration of criminal charges.
Your acknowledgement of having read and understood these requirements will allow Sponsored Programs to make the required entity (institutional) certification to UVA’s federal sponsors.
With respect to disclosure of professional affiliations, a recent National Security Presidential Memorandum (NSPM-33) directs federal agencies to require that certain individuals, which is expected to include senior/key personnel, disclose all positions and appointments, both domestic and foreign, including with foreign entities or governments. Required disclosures will include all titled academic, professional, or institutional appointments, regardless of whether remuneration is received and whether the appointment is full-time, part-time, or voluntary (including adjunct, visiting, courtesy or honorary). While many sponsors already require such disclosures, NSPM-33 aims to require them across the U.S. R&D enterprise.
Foreign government talent recruitment programs (FGTRPs) have been discussed in Congressional oversight committee sessions, the subject of communications from federal sponsors, and highlighted in recent enforcement actions against researchers. While participation in such programs is not illegal, federal agencies have been clear that participation in an FGTRP qualifies as current and pending research support, a professional affiliation, or both and must be disclosed to federal sponsors. Depending on the terms and benefits, participation in an FGTRP may also be subject to University policies PROV-009, Faculty Holding Appointments at Other Institutions or Organizations; HRM-045, Faculty External Consulting and Internal Overload; and/or RES-005, Financial Conflicts of Interest for Research Investigators. If you are currently affiliated with or are considering becoming affiliated with an FGTRP, contact the Office of the Vice President for Research (OVPR) at foreigninfluence@virginia.edu for assistance before notifying sponsors or beginning an affiliation; whenever possible, please provide a copy of the participation agreement or other program information for review.
Recent enforcement actions under existing laws have targeted individuals believed to have knowingly and willfully failed to make required disclosures to employers and/or federal sponsors. The most common criminal charges filed against researchers have been for making false statements, or causing them to be made, and fraud (e.g., wire fraud or grant fraud).
The OVPR will continue to keep the UVA research community apprised of evolving requirements, as well as changes to institutional policies, systems, processes and procedures to support researchers and assure compliance. Watch for upcoming workshops, emails, and content on the Foreign Influence website. You may also ask questions via the foreigninfluence@virginia.edu listserv.
BEGIN THE PROCESS HERE FOR FOREIGN SUPPORT AND AFFILIATIONS
UVA strongly supports international collaboration and values its partnerships with universities and other organizations worldwide; however, it is important that all researchers understand the current regulatory landscape.
The U.S. Government has taken steps to increase oversight and protect U.S. research investments from undue foreign influence by those seeking to compromise U.S. national and economic security by undermining our primacy as a global R&D leader.
You must now disclose to federal research sponsors all current and pending research support that you receive. To recap, current and pending research support means all resources made available, or reasonably expected to be made available, to you in support of your R&D efforts, regardless of 1) whether the source is foreign or domestic; 2) whether the resource is made available through UVA, another entity, or to you directly; or 3) whether the resource has monetary value. This will include paid or reimbursed travel costs (e.g., airfare, lodging, and meals) that support your R&D efforts. Your obligation to disclose includes all in-kind contributions requiring a commitment of your time and directly supporting your R&D efforts, such as the provision of office or laboratory space, equipment, supplies, and employees or students, wherever located.
Further, when federal sponsors ask for your professional affiliations, they mean all professional positions and appointments, both domestic and foreign; this includes titled academic, professional, or institutional appointments whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, courtesy or honorary).
Participation in foreign government talent recruitment programs is considered current and pending research support, a professional affiliation, or both and must be disclosed.
For more information about undue foreign influence, including disclosure requirements, please visit our website: https://research.virginia.edu/compliance/research-regulations/foreign-influence-federally-sponsored-research. If any have a question about preventing or mitigating the risk of undue foreign influence or to report a potential problem, please contact us at foreigninfluence@virginia.edu.
YES, I HAVE READ AND UNDERSTAND MY OBLIGATIONS TO DISCLOSE CURRENT AND PENDING RESEARCH SUPPORT AND PROFESSIONAL AFFILIATIONS TO FEDERAL SPONSORS.