Important Notice to Investigators Regarding Foreign Influence

Undue Foreign Influence Update

Boise State University (university) leadership values international collaboration and global engagement activities and is committed to an environment that promotes the open exchange of ideas and encourages the creation and dissemination of knowledge. However, university leadership also recognizes that international collaborations may present individual and institutional risks, which have been highlighted by Congress, the FBI, and other governmental entities. One issue that has moved to the forefront is the importance of faculty disclosure of relationships, financial support, or other activities with foreign entities. Many federal agencies are revising their disclosure requirements, and it is important for faculty to understand these requirements and the growing concerns.

Growing Concern (Timeline)

August 2018 – National Institutes of Health sent a letter to over 10,000 grantee institutions, outlining concerns regarding undue foreign influence. This included the failure of researchers working at NIH-funded institutions to disclose substantial financial support that they received from other entities.
March 2019 – The Department of Defense (DoD) issued a memo on March 20, 2019, outlining disclosure requirements for all key personnel listed on DoD-funded financial assistance agreements. A second memo was issued October 10, 2019, providing additional updates on the DoD’s efforts to address this issue.
June 2019 – The Department of Energy issued a directive mandating that “federal and contractor personnel fully disclose and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs” on new DOE contracts and subcontracts. An updated directive was approved on September 4, 2020, along with an accompanying FAQ. The new version includes a restriction on receiving employment, funding, other support, or gifts from any “Foreign Country of Risk.” The restriction applies to funding coming directly to the investigator in addition to funding being run through the institution. The restriction also applies to financial support for laboratory personnel, participation of student and visiting researchers supported by other sources of funding, and “in kind” contributions, such as provision of office/laboratory space, equipment, supplies, or employees. (Both versions of this directive are being maintained on this page, since different DOE contracts may be subject to different versions of this contractual requirement.) Effective November 2020, DOE began issuing financial assistance agreements (grants and cooperative agreements) which restrict project participants from participating in certain foreign-government sponsored talent recruitment programs.
July 2019 – National Science Foundation issues a statement outlining plans to address emerging risks to the nation’s science and engineering community.

Transparency

The issue of foreign influence is complicated and evolving. The most important step that faculty should be take is to ensure that their disclosures (e.g., University Conflict of Interest Disclosure System and disclosures to sponsors) are comprehensive and transparent. Failing to disclose can invite scrutiny, compromise funding and/or career opportunities, and could result in legal investigations or prosecutions (see “In the News” below). University leadership urges you to disclose information about Current and Pending Support and Other Support, Biographical Sketches, in sponsored project proposals. Be thorough and complete. Check your sponsor’s current disclosure requirements carefully, including requirements relating to foreign travel and collaborations involving foreign sites. If in doubt, disclose to the University and the sponsor. Useful links are included below. The Office of Sponsored Programs is available to answer questions about what to disclose in proposals, and the Office of Institutional Compliance and Ethics is available to answer questions about disclosures to the University. We recommend that you err on the side of over disclosing. Please submit proposal-related questions to preaward@boisestate.edu and conflict of interest or commitment questions to johnnymcdonald@boisestate.edu

In the News

February, 2021 – Federal Charges Against Stanford University Researcher Expanded

January, 2021 – MIT Professor Arrested and Charged with Grant Fraud

July, 2020 – Researcher Charged with Illegally using U.S. Grants Funds to Develop Scientific Expertise for China

June, 2020 – “54 (scientists) have subsequently lost their jobs”- ‘Has it peaked? I don’t know.’ NIH official details foreign influence probe

May, 2020 – Former Emory University Professor and Chinese “Thousand Talents” Participant Convicted and Sentenced for Filing a False Tax Return

Jan, 2020 – 4 UF Faculty Leave as Officials Investigate Foreign Meddling

Examples of proposal disclosures requirements

Current and Pending Support and Other Support Forms (requirements vary by sponsoring agency but may include):

Domestic and foreign grants and contracts, whether provided through the University, another institution, or to the researcher directly;
Financial support for laboratory personnel (e.g., students, postdocs, or scholars working in a researcher’s University lab and who are supported by a foreign entity);
Provision of lab space at another institution, foreign or domestic;
Provision of scientific materials that are not freely available for use at the University or another institution where the faculty is working (e.g., biologics, chemical, model systems, technology, equipment, etc.);
Travel expenses directly paid or reimbursed by an outside entity;
Living expenses directly paid or reimbursed by an outside entity; and
Other funding (e.g., salary, stipend, honoraria, etc.) paid to a University researcher by an outside entity.

Biographical Sketches must be current and thorough in compliance with sponsor requirements.