Reports and guidance from the federal government have highlighted the importance of disclosing financial interests, affiliations, activities, and relationships with foreign collaborators (entities or individuals). Federal agencies requirements include disclosure of foreign sources of support as well as how those sources are being used to support the proposed and related research. 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.
Background
In January 2021, the White House issued the National Security Presidential Memorandum-33 (NSPM-33) directing federal research agencies to require principal investigators (PIs) and other senior/key personnel to disclose appropriate information that “will enable reliable determinations of whether and where conflicts of interest and commitment exist.” Additionally, the William M. (MAC) Thornberry National Defense Authorization Act (NDAA) for Fiscal Year 2021 (Section 223, codified at 42 U.S.C. § 6605) requires all federal research agencies to collect current and pending support disclosures as part of the application process. Since these two directives were enacted, federal agencies have provided additional guidance and specific requirements to detail how, when, and what information needs to be disclosed.
Current and 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, both foreign and domestic. Support also includes the following:
- unfunded foreign collaborations,
- any project with a foreign co-author or a likely publication with a foreign co-author, or
- any project where research will be performed abroad.
Sponsor-specific disclosure guidance
Department of Defense (DOD)
Recent Broad Agency Announcements (BAAs) from defense agencies are seeking more detailed disclosures on the sources of support for principal investigators and other key personnel. National Security Impact Statements are now features of these proposals, with particular attention being paid to plans to transfer technology developed under contract to U.S. industry or foreign entities. Proposers are also instructed to disclose any prior instances of transfer of technology to foreign entities.
On March 20, 2019, the Undersecretary of Defense announced new requirements for all new DOD Notices of Funding Opportunities (NFOs) pertaining to new research and research-related educational activities after April 19, 2019.
From the March 20, 2019 memo:
Proposers must submit the following information for all key personnel, whether or not the individuals’ efforts under the project are to be funded by the DOD:
- A list of all current projects the individual is working on.
- Any future (pending) support the individual has applied to receive, regardless of the source.
- Title and objectives of each of these research projects.
- The percentage per year each of the key personnel will devote 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.
DOD indicates that failure to submit this information may cause the proposal to be returned without further review. DOD also reserves the right to request further details from a proposer before making a final determination on funding the effort.
Refer to the specific Notice of Funding Opportunity (NFO) for details on requirements for current support documentation from all key personnel at the proposal stage.
Department of Energy (DOE)
The U.S. Department of Energy issued a directive (DOE Order No. 486.1) on June 7, 2019 that prohibits DOE and contractor personnel from participating in talent recruitment programs operated by certain foreign countries. The directive requires those performing work on DOE contracts to disclose fully and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs from countries deemed by DOE to be high risk (currently China, Russia, Iran, and North Korea).
In addition, DOE issued FAL Department of Energy Current and Pending Support Disclosure Requirements for Financial Assistance on June 1, 2022, directing program officers to implement new disclosure requirements for DOE and NNSA awards. The new provisions include PI certification about the completeness and accuracy of current and pending support, disclosure of past support on an as-needed basis as required in new funding opportunity announcements (FOAs), and a reminder about the requirement to disclose participation in foreign talent recruitment programs.
Refer to the specific DOE Funding Announcement for additional instructions on Current and Pending Support.
National Institutes of Health (NIH)
Per NIH Guide Notice NOT-OD-21-073, effective January 25, 2022, NIH announced updated application forms and instructions that require the full disclosure of all resources (both domestic and foreign) that directly support the individual’s research endeavors. Key changes include:
- Requirement for key personnel to sign/certify their Other Support form
- Requirement for investigators to submit, as supporting documentation, copies of contracts, grants, or any other agreements specific to foreign appointments and/or employment with a foreign institution for all foreign activities and resources that are reported in Other Support. If they are not in English, recipients must provide translated copies.
- Requirement for biosketches to include all current positions and scientific appointments, both domestic and foreign, including affiliations with foreign entities or governments. 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, or honorary).
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. Use SciENcv, a tool supporting multiple research agencies, to help you develop your biosketch and automatically format it according to NIH requirements.
NIH guidance stipulates that:
- All pending support at the time of application submission and prior to award must be reported.
- Applicants are responsible for promptly notifying NIH of any substantive changes to previously submitted pending support.
- If other support is obtained after the initial NIH award period, the details must be disclosed in the annual research performance progress report.
- Post-award, recipients must address any substantive changes by submitting a prior approval request to NIH.
See NIH’s disclosure matrix for specific guidance on what should be disclosed to NIH and where such disclosures should be included in proposal documents, reports, and awards.
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)
- PHS Conflict of Interest disclosure requirements
National Science Foundation (NSF)
In the NSF Proposal & Award Policy and Procedures Guide (PAPPG) NSF 23-1, NSF implemented revised versions of the Biographical Sketch and Current and Pending (Other) Support formats effective for proposals submitted on or after January 30, 2023. In these revised versions, senior personnel are required to certify that the information within their NSF biosketch and current and pending support is current, accurate, and complete. The certification language is included within SciENcv. SciENcv records an individual’s certification when they download either their biosketch or current and pending support from SciENcv. The certification of NSF biosketches and/or Current and Pending Support may not be delegated to administrators.
Effective October 23, 2023, the use of SciENcv is mandatory for preparation of NSF biosketches and current and pending (other) support. The fillable PDFs can no longer be uploaded in Research.gov.
See NSF’s disclosure matrix (updated January 2023) for specific guidance on what should be disclosed to NSF and where such disclosures should be included in proposal documents, reports, and awards.
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.
Other federal agencies
UCOP international engagement review
In August 2023, UCOP’s President Drake issued a framework for reviewing and accepting any UC international affiliations and agreements involving emerging technology and countries of concern. This framework includes three new efforts:
- Campus-level and UCOP review of all institution-level affiliations and agreements related to emerging technology and involving countries of concern.
- Comprehensive inventory detailing all institution-level active or pending international affiliations and agreements involving foreign countries of concern.
- Export Control Officers (ECOs) will routinely brief their respective campus’ Chief Ethics and Compliance Officers (CECOs) on all active or proposed international affiliations involving emerging technology.
The Office of Research, along with University Advancement, Global Engagement, and the Chief Ethics and Compliance Officer, will solicit information about such engagements, conduct campus evaluation and endorsement, and make recommendations for risk mitigation measures, if appropriate. Divisional Associate Deans for Research will be engaged periodically to support the review process and risk mitigation measures.
Emerging technology
Emerging technologies include those listed by the Department of Commerce, Bureau of Industry and Security in 83 FR 58201, including but not limited to Artificial Intelligence (AI) and Machine Learning, Quantum Information/Sensing, Semiconductor and Microelectronics, Biotechnology, and other areas identified by UC Santa Cruz’s Export Control Officer based on evolving federal government classification of emerging technology important to national security.
Countries of concern
Countries of concern include Qatar, Saudi Arabia, United Arab Emirates, the People’s Republic of China (including Hong Kong and Macau), the Democratic People’s Republic of Korea (North Korea), the Russian Federation, and the Islamic Republic of Iran. See e.g., Section 19221 of the CHIPS and Science Act of 2022 [42 U.S. Code § 19221]; Section 117 of the U.S Higher Education Act of 1965; and https://www2.ed.gov/policy/highered/leg/institutional-compliance-section-117.pdf
If you are contemplating or beginning an institution-level engagement with a country of concern, complete the UCOP International Engagement review form to initiate review. For questions about this framework and UC Santa Cruz’s review process, contact Csilla Csaplár at csilla@ucsc.edu.
Other disclosure considerations
Visiting scholars participating in sponsored projects
Proposals
If a visiting scholar is contributing in any way to the research set out in the scope of work including in a proposal, they should submit other support documentation as part of the proposal process. 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, you must report all participants on a project within your progress report. This section also asks whether the individual’s primary affiliation is with a foreign organization. For visiting scholars added mid-project, submit the scholar’s Biosketch and Other Support in the “Personnel Updates” section of the RPPR.
Relationships/activities with restricted entities
If you are planning an activity or developing a relationship with a foreign entity or collaborator, contact export@ucsc.edu to determine whether there are any potential restrictions to working with that entity/individual and if any additional steps are required.
Faculty member’s outside professional activities (Conflict of Commitment)
Academic Personnel Office
Email: oats@ucsc.edu
Faculty members’ outside professional activities may include funded or unfunded foreign collaborations or other engagements. Outside professional activities are governed by the UC Academic Personnel manual, and managed by the Academic Personnel Office. These may include:
- Prior Approval, Tracking Time, and Annual Certification
- Annual Disclosure of Outside Professional Activities