Guidance on Foreign Relationships/Affiliations
Recent reports and guidance from the federal government have highlighted the importance of disclosing financial interests, affiliations, activities, and relationships with foreign entities. At UC Santa Cruz, international collaboration is very important. However, it is also important to be aware of disclosure requirements and compliance procedures UC Santa Cruz has in place to protect faculty members. To facilitate compliance, this page highlights the different disclosure requirements and resources to contact if you have any questions.
Researcher's Outside Financial Interests
Contact: Office of Research Compliance Administration - Email: orca@ucsc.edu
Foreign entities (governmental, nonprofit, forprofit) are not excluded from the following disclosure requirements:
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- PHS/NSF Investigators - KR COI Annual Disclosures
- IRB Research Personnel - COI disclosures related to IRB protocols
Foreign governmental entities are excluded from the following disclosure requirement:
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- Principal Investigators/Co-Principal Investigators on research contracts/grants/gifts from non-governmental sponsors
Research Grant Applications Current or Pending Research Support
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.
National Institutes of Health (NIH)
Important Notice: Key Changes to NIH Other Support and Biosketch and Other Support formatting and documentation for all NIH submissions on or after January 25, 2022.
Other Support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant.
Biosketches are required in both competing applications and progress reports. Find instructions, blank format pages, and sample biosketches below. SciENcv, a tool supporting multiple research agencies, to help you develop your biosketch and automatically format it according to NIH requirements.
Other NIH resources:
- NIH Policy on Protecting U.S. Biomedical Intellectual Innovation
- FAQ for NIH Other Support and Foreign Components
- Reminders of NIH Policies on Other Support and on Policies related to Financial Conflict of Interest and Foreign Components (NOT-OD-19-114)
- Upcoming Changes to the Biosketch and Other Support Format Page for Due Dates on or after May 25, 2021 (NOT-OD-21-073)
- Implementation of Changes to the Biographical Sketch and Other Support Format Page (NOT-OD-21-110)
National Science Foundation (NSF)
Include all financial resources and commitments of time even if no salary support is received.
- All current and pending support, including this project, for ongoing projects, and for any proposals currently under consideration from whatever source, irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.
- All projects and activities, current or proposed that require a time commitment from the individual must be reported, even if the support received is only in-kind (such as office/laboratory space, equipment, supplies, employees, students).
- The total award amount for the entire award period covered (including indirect costs) must be provided, as well as the number of person-months (or partial person-months) per year to be devoted to the project by the senior personnel involved.
- Concurrent submission of a proposal to other organizations will not prejudice its review by NSF, if disclosed.
- If the project (or any part of the project) now being submitted has been funded previously by a source other than NSF, provide the required information describing the last period of funding. For example, Federal, State, local, foreign, public or private foundations, non-profits, industrial or other commercial organizations, consulting, or internal funds allocated toward specific projects.
Visiting Scholars and Sponsored Programs
Proposals:
A visiting scholar should submit other support documentation, if he/she will contribute in any way to the research set out in the scope of work. Submit in the format required by the sponsor and at the time the sponsor requires.
On-going projects:
You do not need to receive prior approval from NIH for a visiting scholar in your lab to work on a project. However, keep these requirements in mind: Report all participants on a project within your progress report. This section also requests whether the individual’s primary affiliation is with a foreign organization.
Consider Visiting Scholars working on the project as Key Personnel, thus triggering the need to submit his/her Biosketch and Other Support in the “ Personnel Updates” section of the RPPR, if you haven’t already.
Department of Defense (DOD)
Department of Energy (DOE)
Relationships/Activities with Restricted Entities
Contact: export@ucsc.edu
If you are planning an activity or developing a relationship with a foreign entity, please use this Consolidated Screening List tool. If there are any results from your search, please contact Export Control to determine if the result is a match and whether or not any additional steps are required.
Faculty Member's Outside Professional Activities (Conflict of Commitment)
