Sponsor Information

 

 

 

Recent Updates (Various Sponsors)

The information below, as well as previous "Recent Updates" that are still current/valid, are accessible in the applicable sponsor-specific section(s) of this page.

 

NSTC: 8/31/2022, on behalf of the National Science and Technology Council (NSTC) Research Security Subcommittee, NSF released NSPM-33 Implementation Guidance Disclosure Requirements & Standardization developed for consistent disclosure requirements for the Biographical Sketch and Current and Pending (Other) Support sections of a research application. The associated Federal Register Notice (comments due by 10/31/2022) on proposed disclosure requirements (instructions), an excel spreadsheet summarizing the data elements to be collected, and an updated Disclosure Table may be accessed from this NSF webpage:  NSTC Research Security Subcommittee NSPM-33 Implementation Guidance Requirements & Standardization (nsf.gov).

  • Unless it conflicts with stated sponsor requirements/instructions, UVA encourages investigators to use this guidance to inform their future disclosures in Federal research proposals and Research Performance Progress Reports (RPPRs). 

DOE/NNSA:  6/1/2022, the Department of Energy (DOE) and National Nuclear Security Administration (NNSA) released a Financial Assistance Letter (FAL) detailing Current and Pending Support Disclosure Requirements for Financial Assistance, No. FAL 2022-04, applicable to all DOE and NNSA funding opportunity announcements (FOAs) and resulting financial assistance agreements (grants and cooperative agreements) after the effective date (6/1/2022). These requirements are consistent with NSPM-33 and the associated implementing guidance to federal agencies. 

NSF: 4/20/2022, updates to the NSF Pre-award and Post-award Disclosures Relating to Biographical Sketch and Current and Pending Support table information concerning postdoctoral scholars, students, or visiting scholars and differentiating between research activities that are intended for use on the project/proposal being proposed and those that are not.  A definition of "honorarium" has also been added. The Frequently Asked Questions Regarding Current and Pending Support have been updated and new questions/answers have been added. 

COGR (NIH, NSF and NSPM-33 guidance): 1/11/2022, the Council on Governmental Relations (COGR) created two documents summarizing the direction provided by the Office of Science and Technology Policy (OSTP) to federal agencies on the implementation of NSPM-33.  One summary addresses disclosure requirements and includes a table comparing the current requirements of NIH and NSF to the recommendations in NSPM-33 Implementing Guidance. The second summary covers the the provisions related to digital persistent identifiers, consequences, information sharing and research security programs.

NSF: 11/9/2021, announcement of the intent to create a new Data Analysis Application Suite in the Federal Register. The Data Analysis Application Suite will aggregate, link and analyze information reported by individuals and organizations participating in NSF-supported activities along with published information related to the research enterprise. One of NSF's intended uses is to oversee and enforce disclosure requirements by cross referencing researcher provided data (e.g., biosketch and affiliations/appointments) with public data sources. Rules and procedures to ensure NSF’s analytics are implemented in a fair and unbiased manner will be published on NSF's research security webpage.

DOD: 9/17/2021, the Director of the Defense Advance Research Projects Agency (DARPA) released a memorandum to DARPA staff and contractors conveying the agency's policy and program for countering foreign influence (CFIP Memo, 9/17/2021) and an associated risk-based rating rubric (CFIP Rubric, updated 12/1/2021). DARPA has also provided a list of answers to frequently asked questions (FAQs).

NIH: 7/30/2021, Foreign Interference in National Institutes of Health Funding and Grant Making Processes: A Summary of Findings From 2016 to 2021 was released by Dr. Michael Lauer, Deputy Director for Extramural Research.

NIH:  On 3/12/21, the National Institutes of Health released NOT-OD-21-073 to inform the research community of changes to the biographical sketch and other support format page.  Among the changes are requirements to 1) provided supporting documents, including copies of agreements (in English), specific to senior/key personnel foreign appointments and/or employment for foreign activities and resources included in Other Support; 2) report in-kind contributions (e.g., office/lab space, equipment, supplies, or employees or students supported by an outside source); and 3) provide immediate notification of previously undisclosed Other Support as soon as it becomes known by the recipient organization. Use of the updated forms to collect this information will be required for applications and research performance progress reports (RPPRs) submitted for due dates on or after 5/25/21. Note: These changes align with NSF guidance as well as JCORE's Recommended Practices for Strengthening the Security and Integrity of America’s Science and Technology Research Enterprise, the direction provided to federal research sponsoring agencies in the Presidential Memorandum on United States Government-Supported Research and Development National Security Policy (NSPM-33), and the requirements of Sec. 223 of the FY21 NDAA, see below).

NASA: On 2/4/2021 the National Aeronautics and Space Administration released Guidebook for Proposers Responding to a NASA Notice of Funding Opportunity (NOFO). The effective date of the Guidebook is 2/15/2021. Section 2.16 Current and Pending Support, includes the following requirements for PIs and Co-PIs:

  • Provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work. Note: Co-Is with more than 10% effort must list all projects and proposals (regardless of salary support) that require more than 10% effort in a given year. C&P support is not required for Co-Is at non-U.S. institutions.
  • List their current and pending support with Chinese universities and other similar institutions or a Chinese-owned company at the prime recipient level and at all subrecipient levels, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement."

Also, see Section 2.2.1 Special Restrictions for Non-U.S. Organizations, which details 1) NASA's general prohibition on funding foreign organizations with grants or cooperative agreements; and prohibition on NASA from using government funds to engage in direct, bilateral cooperation with the Chinese government and China-affiliated organizations from its activities without explicit authorization from the Federal Bureau of Investigation and the U.S. Congress (i.e., Wolf Amendment, 2011; commonly referred to as the NASA China restriction).

GENERAL: 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; Public Law 116-283). Section 223 applies to all federal research sponsors with research expenditures exceeding $100 M and specifically requires that covered individuals:

  1. Disclose the amount, type, and source of all current and pending research support (which includes in-kind support, e.g., provision of office or laboratory space, equipment, supplies, employees, or students) received by, or expected to be received by, the individual as of the time of the disclosure;
  2. Certify that the disclosure is current, accurate, and complete; and
  3. 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

It also requires that the University, as the 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 above requirements.

Note 1:  The terms in bold are all defined in Sec. 223. At this time, it is UVA's understanding that "covered individuals" will likely be the key personnel listed on the proposal/award.

Note 2:  Sec. 223 does not provide a reporting threshold for current and pending research support, so UVA's interpretation that all support meeting the definition must be reported, regardless of value.

Implementation timelines are expected to differ among federal research sponsors. Researchers are advised to carefully review sponsor specific instructions, guidance and FAQs when preparing proposals and research progress or technical reports. 

DOE:  The Department of Energy released DOE Order 142.3B Unclassified Foreign National Access Program on 1/15/2021.  This revisions cancels and replaces DOE 142.3A Chg 2 (Ltd Chg) Unclassified Foreign Visits and Assignments Program, dated 12/13/19. 

OMB: A document addressing frequently asked questions (FAQs) regarding the implementation of Section 889(b) requirements of the National Defense Authorization Act of Fiscal Year 2019, Pub. L. No. 115-232, to grants and loans through the updates to section 200.216 of Title 2 of the Code of Federal Regulations (Uniform Guidance).  Note: For information on UVA's implementation of these requirements see the Best Practices page.

DOE:  The Office of the Under Secretary for Science and Energy has posted answers to frequently asked questions (FAQs) regarding DOE Order 486.1A, Foreign Government Sponsored or Affiliated Activities.  

UVA (NIH/NSF):  The recording of UVA's 10/30/20 Addressing Foreign Influence Concerns webinar is now available online. Featuring Michael Lauer, Deputy Director, Extramural Research, NIH, and Rebecca Spyke Keiser, Chief of Research Security Strategy and Policy, NSF, this session details US government concerns about undue foreign influence on the research enterprise, ongoing compliance reviews, and recent actions take by two major funding agencies, including referrals for criminal charges. The speakers also cover actions researchers must take to stay in compliance.  Hint: It's all about transparency and disclosure. 

General Guidance

The following is general guidance on what should be disclosed to federal sponsors at various points in the life cycle of a sponsored program.  This general guidance neither replaces nor supersedes sponsor or award-specific requirements. Given the evolving nature of sponsor expectations, UVA encourages researchers to err on the side of disclosure or, in individual circumstances, to work with the Office of Sponsored Programs to obtain specific direction from the sponsor program officer. 

Note:  These general guidelines apply regardless of the country in which an organization is located or the nationality/citizenship of any individual.  

At the time of proposal or as part of the "Just in Time" process be sure to disclose:

  • Outside appointments whether or not paid;
  • External sources of financial support; and
  • Externally provided in-kind resources (e.g., lab space, materials, equipment, or support staff).

When preparing progress reports you should review past disclosures and report any changes, such as:

  • New outside appointments, whether or not paid;
  • New external sources of financial support;
  • New externally provided in-kind resources (e.g., lab space, materials, equipment, or support staff);
  • New collaborators who are significant contributors, whether or not paid; and
  • Any visiting researchers or student volunteers expending 1 month or more of effort.

Questions regarding whether or not a new outside appointment or external source of support is permissible under the terms of an existing award should be discussed with the Office of Sponsored Programs.

Note: Intentional omissions or false statements in funding proposals or reports of research progress are fraudulent actions and may result in institutional disciplinary action and/or criminal charges.

 

National Institutes of Health

NIH Provides detailed disclosure guidance, including examples and a table of what needs to be reported where in proposals and progress reports, on their Protecting U.S. Biomedical Intellectual Innovation web page, which includes a link to the summary table of disclosure requirements.

 

NIH Definition of Terms

Foreign Component: The performance of 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. Activities that would meet this definition include, but are not limited to, (1) the involvement of human subjects or animals, (2) extensive foreign travel by recipient project staff for the purpose of data collection, surveying, sampling, and similar activities, or (3) any activity of the recipient that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country. Examples of other grant-related activities that may be significant are:

  • 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.
  • Foreign travel for consultation is not considered a foreign component.

See Grants to Foreign Organizations, International Organizations, and Domestic Grants with Foreign Components (NIH Grants Policy Statement, Part IIB, Section 16).

 

NIH Grants Resources

 

NIH Communications

 

Other Resources

National Science Foundation

Research Security webpage provides summary information about NSF's expectations as well as recent foreign influence and research security cases.

Revised Disclosure Table (released 4/20/2022). The revision adds information concerning postdoctoral scholars, students, or visiting scholars and differentiating between research activities that are intended for use on the project/proposal being proposed and those that are not.  A definition of "honorarium" has also been added. The Frequently Asked Questions Regarding Current and Pending Support have been updated and new questions/answers have been added.  Prior versions of the table remain available at https://www.nsf.gov/bfa/dias/policy/disclosures_table.jsp. 

 

NSF Grants Resources

NSF Investigations and Actions

NSF Communications

  • 9/14/20 (Dear Colleagues email): NSF will begin enforcing the use of NSF-approved biographical sketch and current & pending support formats on 10/5/20.  Full text of the communication, which includes a variety of useful links, is available HERE. 
  • 7/2/2020 (Dear Colleagues email): NSF has revised sets of Award Terms and Conditions to include a new article which establishes a post-award disclosure requirement for undisclosed current support and in-kind contribution information. The revised terms and conditions will apply to all new NSF awards and funding amendments to existing NSF awards made on or after October 5, 2020, except for the SBIR/STTR-I and SBIR/STTR-II CA-FATC which will become effective July 6, 2020.  The following is the full list of sets of Award Terms and Conditions being changed (each set is accompanied by a summary of changes): 
    • NSF Agency Specific Requirements to Research Terms and Conditions (ASR);
    • Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATC); 
    • Cooperative Agreement Modifications and Supplemental Financial and Administrative Terms and Conditions for Major Multi-User Research Facility Projects and Federally Funded Research and Development Centers; 
    • Grant General Conditions (GC-1); Special Terms and Conditions (FL 26) for Administration of NSF Conference or Travel Grants; 
    • Small Business Innovation Research (SBIR)/Small Business Technology Transfer (STTR) Phase I Grant General Conditions (SBIR/STTR-I); and 
    • SBIR/STTR Phase II Cooperative Agreement Financial & Administrative Terms and Conditions (SBIR/STTR-II CA-FATC).  
  • 12/11/19:  Fundamental Research Security. A report by the independent science advisory group JASON commissioned by the NSF to enhance the agency's understanding of the threats to basic research posed by foreign governments and provide the agency with actionable policy recommendations for improving security while maintaining openness. See the NSF news release 19-023 for additional context.
  • 7/11/19:  Dear Colleague Letter: Research Protection issued by France Cordova, NSF Director. (NSF 19-200)
  • 7/11/19:  Personnel Policy on Foreign Government Talent Recruitment Programs.  Office of the Director.  This policy applies to NSF personnel and IPA assignees. While it does not apply to NSF-funded researchers at institutions of higher education, it does demonstrate NSF's concern with how participation in these programs may impact research security and researcher objectivity.
  • 10/23/18:  Statement of the National Science Board on Security and Science. (NSB-2018-42)
Department of Defense

Guidance for disclosing other support to the Department of Defense.

DARPA Countering Foreign Influence Program (CFIP)

DARPA maintains a For Universities page that includes links to these documents and others related to safeguarding research.

DOD Instructions for Senior/Key Personnel Profile Form Sections in Grants.Gov (as of 3/7/20)

  • Biosketch:  "Provide a biographical sketch for the PD/PI. Recommended information includes: Education and Training, Research and Professional Experience, Collaborators and Affiliations (for conflicts of interest), Publications and Synergistic Activities. Save the information in a single file and attach here. This field is required." 
  • Current & Pending (Other Support):  "Provide a list of all current and pending support for the PD/PI (even if they receive no salary support from the project(s)) for ongoing projects and pending applications. Show the total award amount for the entire award period (including indirect costs) as well as the number of person-months per year to be devoted to the project by the senior/key person, regardless of source of support. Concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review." 

DOD Reference Materials

DOD Communications

  • 3/20/2019: Actions for the Protection of Intellectual Property, Controlled Information, Key Personnel and Critical Technologies requires that all key personnel, whether or not funded by DoD, disclose the following on the Senior Key Person Profile form as part of all funding proposals:
    • A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.
    • Title and objectives of the other research projects.
    • The percentage per year to be devoted to the other projects.
    • The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.
    • Name and address of the agencies and/or other parties supporting the other research projects.
    • Period of performance for the other research projects.

 

Department of Energy

Financial Assistance Letter

DOE Foreign National Review Requirement

  • On 1/15/2021, DOE released DOE Order 142.3B Unclassified Foreign National Access Program.  This revisions cancels and replaces DOE 142.3A Chg 2 (Ltd Chg) Unclassified Foreign Visits and Assignments Program, dated 12/13/19. It is not yet clear if DOE sponsors will issue modifications to update terms and conditions to incorporate this revised order. It is expected to be incorporated into all new awards.
  • Based on DOE O 142.3A Unclassified Foreign Visits and Assignments Program, some DOE awards include a requirement that DOE review and approval of all foreign nationals (as defined by DOE, anyone who is not a U.S. citizen by birth of naturalization) supporting the project. 
    • This requirement was imposed more broadly, including on awards for fundamental research performed in University facilities, due to a limited change made 12/13/19.
    • Compliance requires submission of a completed 142.1-1A Form and various supporting documents (see instructions on form).
    • To safely and efficiently manage this process, the VPR's office has created a secure portal for UVA faculty, staff, and student to upload documents; once final versions of all required documents are uploaded, OSP securely transfers them to DOE for review.

 

DOE Reference Materials

  • Sensitive Foreign Nations Control (Attachment G, DE-AC36-08GO28308, Modification M1130).  While this list may not be current, it at least provides an indication of the countries of concern to DOE for access to sensitive information or technology.

 

DOE Orders and Directives

  • 11/20/20: FAQ document now available related to DOE O 486.1A now available.
  • 9/4/20:  Foreign Government Sponsored or Affiliated Activities (DOE O 486.1A).  Prohibits DOE employees and DOE contractor personnel, while performing work under a DOE contract, from participating in talent recruitment programs and other activities sponsored by certain governments.  Definitions of the specific terms used in the order are provided in Attachment 2; this includes, but is not limited to, the following: foreign country of risk, foreign country of risk sponsored or affiliated activity, foreign government-sponsored talent recruitment program, and other foreign government-sponsored or affiliated activity.
    • This order supersedes Department of Energy Foreign Government Talent Recruitment Programs (DOE O 486.1) issued 6/7/19.  
  • 12/13/19:  Official Travel (DOE O 550.1 Chg 1 (LtdChg)). Establishes DOE requirements and responsibilities governing official travel by contractor employees.
  • 12/13/19:  Foreign Engagements with DOE National Laboratories (DOE P 485.1A). Establishes additional review criteria and procedures to ensure that the proposed foreign engagements:
    • Align consistently with the strategic interests and foreign policies of the United States;
    • Are legally sound and compliant with U.S. laws and regulations;
    • Address any counterintelligence and national security considerations; and
    • Consider the risks associated with the sharing of DOE research and technologies.
  • 12/13/19: Unclassified Foreign Visits and Assignments Program (DOE O 142.3A). A limited change was implemented removing the ability of the Under Secretary for Science and Energy to provide exemptions to institutions of higher education in limited circumstances. This has resulted in foreign national faculty, staff and students working on fundamental research at university facilities being subjected to prior review and approval requirements. 
    • Note:  DOE defines foreign nationals to include legal permanent residents (green card holders).
  • 6/7/19:  Department of Energy Foreign Government Talent Recruitment Programs (DOE O 486.1).  Prohibits DOE employees and DOE contractor employees, while performing work under a DOE contract, from participating in certain foreign government talent recruitment programs.
    • Now replaced by Foreign Government Sponsored or Affiliated Activities (DOE O 486.1A) released 9/4/20.

 

DOE Communications

  • 1/31/19:  Memo issued by Dan Brouillette, Deputy Secretary of Energy.  Details plans to further limit risks of inappropriate foreign influence by subjecting DOE personnel to limitations, including prohibitions on their ability currently or in the future to participate in foreign talent recruitment programs of countries determined sensitive by DOE while employed by DOE, or performing work within the scope of a DOE contract. Notably, these limitations will also apply to recipients of financial assistance (e.g., grants or cooperative agreements).
  • 12/14/18:  Memo by Dan Brouillette, Deputy Secretary of Energy.  Directs the creation of a list of emerging “research areas and technologies that are in the U.S. national interest to limit sensitive country foreign nationals (SCFN) access,” referred to as the Science & Technology (S&T) Risk Matrix; sets enhanced vetting requirements for all foreign nationals visiting or assigned to DOE labs; prohibits SCFNs from certain activities; and generally prohibits travel to sensitive countries. Neither the list of sensitive countries nor the list of emerging research areas and technologies comprising the S&T Risk Matrix have been publicly released.
National Aeronautics and Space Administration

NASA Proposal Instructions: The Guidebook for Proposers Responding to a NASA Notice of Funding Opportunity (NOFO) (Released 2/4/2021, Effective 2/15/2021) provides instructions to investigators.  Section 2.16 Current and Pending Support, includes the following requirements for PIs and Co-PIs:

  • Provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work. Note: Co-Is with more than 10% effort must list all projects and proposals (regardless of salary support) that require more than 10% effort in a given year. C&P support is not required for Co-Is at non-U.S. institutions.
  • List their current and pending support with Chinese universities and other similar institutions or a Chinese-owned company at the prime recipient level and at all subrecipient levels, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement."

NASA China Restriction:  Beginning  with the Wolf Amendment to the Federal Fiscal Year 2011 Consolidated Appropriations Act, NASA has been prohibited from using federal funds "to enter into or fund any grant or cooperative agreement of any kind to participate, collaborate, or coordinate bilaterally in any way with China or any Chinese owned company, at the prime recipient level or at any subrecipient level, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement." In order to assure its ongoing compliance, NASA requires recipient institutions to certify to compliance at the proposal stage and included implementing terms and conditions in each award. Note: The Office of Sponsored Programs (OSP) will request individual certifications from named researchers to support UVA's institutional certification of compliance.

General limitations of NASA China Restriction;

  • Does not apply to efforts funded by other federal and non-federal sponsors.
  • Only bilateral activities (i.e. two party agreements) are covered by the restriction. Multi-lateral agreements (i.e. agreements between three or more parties) are not subject to this restriction.
  • Vendor (i.e. procurement) agreements with PRC entities for commercial or non-developmental items are not subject to this restriction.
  • “General scientific discussions” do not constitute a bilateral policy, program, order, or contract and thus are permitted. However, these discussions must not involve discussions of bilateral collaboration between NASA and Chinese entities. See FAQ #8 located at https://science.nasa.gov/researchers/sara/faqs/prc-faq-roses/ for additional information.
  • The prohibition does not restrict individual involvement based on citizenship or nationality. Chinese citizenship is not considered an affiliation under these funding restrictions.
    • Ex #1: A Chinese student enrolled at UVA who is in the U.S. on visa would not have to be excluded from participation in a NASA-funded project unless they have a prohibited affiliation with a Chinese institution.
    • Ex #2: An American citizen who has a faculty position at a Chinese university has a prohibited affiliation and would have to be excluded from the NASA-funded project.
    • Ex #3: A visiting scholar from a Chinese university, regardless of nationality/citizenship, would have to be excluded from the NASA-funded project if they were employed by or enrolled at the Chinese institution during their visit.
  • The prohibition does not apply to data from Chinese sources provided it is publicly available.

Additional PRC FAQ for ROSES | Science Mission Directorate (nasa.gov)https://science.nasa.gov/researchers/sara/faqs/prc-faq-roses/.

Foreign National Access Management Program. Foreign nationals requiring access to NASA facilities are subject to NASA's Foreign National Access Management Program Operating Manual.