The University of Nebraska-Lincoln is committed to its faculty, staff, students, and collaborators in facilitating open and publicly accessible research and scholarly activities both domestically and internationally. However, in some instances, restrictions may be placed on such activity in the interest of national security or protection of trade. This is especially true when federal funding is involved.
Issues surrounding foreign influence and international activities in federally funded research has been an evolving topic in recent months, in which the U.S. Government has shown growing concern.
- UPDATE APRIL 21, 2022: NSF has issued a new Research Security webpage, intended to continue to foster transparency, disclosure and other practices that reflect the values of research integrity, and lead the way in ensuring taxpayer-funded research remains secure.
- UPDATE July 16, 2020: The FBI has issued information via a public service announcement document that provides details regarding what Foreign Government-Sponsored Talent Recruitment Plans involve, so that individuals and institutions can better protect themselves and understand the consequences of engaging in improper foreign influence. Please access the document here.
- In August 2018, the Director of the National Institutes of Health (NIH), Francis Collins, issued a “Foreign Influence Letter to Grantees,” and testified to the Senate Health, Education, Labor and Pensions Committee regarding concerns about systematic programs of foreign influence in U.S. research. Dr. Collins reminded the research community that they are required to “disclose all forms of other support and financial interest, including support coming from foreign governments or other foreign entities…in accordance with the NIH Grants Policy Statement, [on] all applications and progress reports (NOT-OD-18-160)” and indicated that NIH’s Office of Extramural Research (OER) will be providing additional information in the future.
- In addition, the NIH issued a Guide Notice on July 10, 2019 along with related FAQs. The guide and FAQs were issued to remind the extramural community about the need to report foreign activities through documentation of other support, foreign components, and financial conflict of interest to prevent scientific, budgetary, or commitment overlap. NIH has long required full transparency for all research activities both domestic and foreign and does not consider these clarifications to be changes in policy. NIH recognizes the importance of international collaborations for scientific advances. By clarifying NIH expectations for other support reporting, NIH seeks to improve the reporting of all sources of research support, financial interests and affiliations, both foreign and domestic, and to continue to support properly reported international collaborative research.
Please reference the Guide Notice and FAQs for additional information on expectations and other support.
- In addition, the NIH issued a Guide Notice on July 10, 2019 along with related FAQs. The guide and FAQs were issued to remind the extramural community about the need to report foreign activities through documentation of other support, foreign components, and financial conflict of interest to prevent scientific, budgetary, or commitment overlap. NIH has long required full transparency for all research activities both domestic and foreign and does not consider these clarifications to be changes in policy. NIH recognizes the importance of international collaborations for scientific advances. By clarifying NIH expectations for other support reporting, NIH seeks to improve the reporting of all sources of research support, financial interests and affiliations, both foreign and domestic, and to continue to support properly reported international collaborative research.
- The U.S. Department of Energy (DoE) issued a memo on January 31, 2019 stating that they would ban scientists from participating in foreign-talent recruitment programs. Specifically, scientists and grant recipients would be restricted from participating in programs sponsored by China or other countries suspected of using them for sensitive research. DOE also stated they would require scientists and grant recipients to disclose connections of this nature. Those disclosing these types of connections will be required by DOE to sever ties in order to obtain or maintain sponsored funding with the Department.
- In addition, on June 7th, 2019, the DoE issued a directive regarding foreign influence and talent recruitment programs. The directive states that the DoE is prohibiting those working under a DoE contract from participating in a foreign talent recruitment program: “DOE will take appropriate actions to prohibit DOE employees and DOE contractor employees, while employed by DOE or performing work under a contract, from the unauthorized transfer of scientific and technical information to foreign government entities through their participation in foreign government talent recruitment programs of countries designated by DOE as a foreign country of risk.”
Please reference the directive for additional information and definitions regarding what a foreign talent recruitment program may look like.
- The U.S. Department of Defense (DoD) issued a memo on March 20, 2019 outlining disclosure requirements for all key personnel listed on research and research-related educational activities supported by DoD grants and contracts.
- In addition, on October 10, 2019, the DoD issued an Academic Letter to Universities. The letter addresses the importance of international collaborations and the need for universities and their faculty to continue to work to protect the integrity of U.S. research. It also reiterates the need for research personnel to fully disclose conflicts of interest and commitment: “all research and research- related educational activities conducted through DoD research grants, cooperative agreements, Technology Investment Agreements, and other non-procurement transactions require key-personnel to disclose all current and pending projects, time commitments to other projects, and funding sources at the time of application.”
- The National Science Foundation (NSF) issued a statement on “Security and Science” dated October 23, 2018, stating that U.S. universities must “embrace transparency and rigorously adhere to conflict of interest and conflict of commitment policies.”
- In addition, NASA has had restrictions for quite some time on involvement of foreign nationals and the use of NASA funds to enter into agreements “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.”
Pending further discussion and resolution at the Federal level, we want to ensure UNL faculty, staff, and students are aware of these requirements and the resources available in order to comply with them. Policies and procedures are already in place for the campus to comply with export control regulations, reporting foreign research support and collaborations, and personal financial interests associated with both foreign and domestic entities. With the heightened sensitivity on these issues nationally, we wish to remind you of your obligations to report on international research and scholarly activities. The following is a list of resources and reporting requirements:
Most international collaborations are not problematic and are actually encouraged. However, researchers are strongly urged to disclose and be transparent regarding their involvement in activities of this nature.
- Please reference the RCS Conflict of Interest website for policies, FAQs, and guidance information.
- Disclose your outside professional activities and financial relationships, whether compensated or uncompensated, through the Interest and Outside Activity Reporting Form (IOARF) in NUgrant. Disclosures must include, but are not limited to, all work for, or financial interests in or received from, a foreign institution of higher education or the government or quasi-government organization of another country.
- Comply with all disclosure requirements related to public sharing of your research. These requirements will be detailed by the conflict of interest in research committee if you have a management plan regarding a financial conflict of interest in research. However, many sponsors, journals, presentations and other publications also have expanded requirements for disclosure.
- Please reference the International Travel Services website for policies, FAQs, and guidance information regarding international travel security and travel to high-risk countries.
- Comply with the University of Nebraska Travel Policy and completion of trip requests in Concur.
- Following completion of your pre-trip travel request in Concur, you will receive an automated notification from NUgrant. If you are traveling to a country of concern, the notification will request that you also complete the Export Control International Travel Checklist. This checklist must be completed prior to your travel.
- Please reference the Office of Sponsored Programs website for policies, FAQs and guidance information.
- Disclose to Sponsored Programs all sponsored projects you may be involved in that include any foreign sources of funding.
- Report on foreign components (“the performance of any significant scientific element or segment of a project outside of the U.S. either by the recipient or by a foreign organization, whether or not grant funds are expended).” The following are considered foreign components:
- Research at a foreign site involving human subjects or animals;
- Extensive foreign travel for the purpose of data collection, surveying, sampling, and similar activities; and
- Activities that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country (e.g., through an impact on another country’s wildlife, population, or environment).
- Federal agencies may also consider the following activities as a foreign component:
- Collaborations with investigators at a foreign site anticipated to result in co-authorship;
- Use of facilities or instrumentation at a foreign site; and
- Receipt of financial support or resources from a foreign entity in connection with performance that occurs at a foreign site
- As a reminder, report all resources for research. This includes any research support you receive. Examples include, but are not limited to:
- Financial support from a foreign award for work conducted outside the U.S. and/or outside the investigator’s UNL appointment, whether received by an investigator or another organization;
- Equipment or research material provided by a foreign organization;
- Consulting relationships relating to your expertise;Work with visiting personnel who are supported by a foreign organization; or
- Funds received from a foreign recruitment program (e.g., China’s Thousand Talents Program or other “Talents Programs”).
- Individual researchers may not make arrangements or commitments that would contractually bind the University. Appropriate involvement, review, and approvals from the institution and applicable signatory official(s) is required.
- Disclose to Sponsored Programs all sponsored projects you may be involved in that include any foreign sources of funding.
- Please reference the NUtech Ventures website for policies, FAQs, and guidance information.
- Disclose intellectual property to NUtech in a timely manner, including any IP that involves international collaborations or involvement.
- Please reference the RCS Export Control website for policies, FAQs, and guidance information.
- Comply with U.S. export control regulations when your work involves publication restrictions, traveling internationally, participating in international collaborations, restrictions from the sponsor or contract, using proprietary information or software, working with international faculty, staff, or students, hosting international visitors, shipping materials internationally, or engaging in international transactions.
- Compliance with these regulations also require that UNL will not host visitors, enter into contracts, do business, or engage in any activity with entities listed on a United States Government Restricted Party List. The Export Control Compliance Program can easily and quickly screen people and entities to ensure they do not appear on any such listing.
The below guidance also describes how some of the different components within Research Compliance; the Export Control Compliance Program (ECCP) and Conflict of Interest (COI) work to monitor and identify possible concerns:
| If you…. | You should…. | RCS Involvement |
| …have been invited to participate or are currently participating in a foreign talent recruitment program (e.g. foreign 1000 talents program, young scholar 1000 talents plan, etc.), or work with Huawei or a subsidiary of Huawei. | …not proceed or agree to participate. At this time, UNL is declining to allow participation in most of these programs. …alert your Department Dean/Chair/Supervisor …contact Research Compliance Services (RCS) to discuss conflict of interest or export control concerns | -The ECCP keeps up to date on any developments in federal guidelines and regulations around foreign talent programs |
| …have travel reimbursed or sponsored by a foreign entity, individual or government | …contact Research Compliance Services to discuss conflict of interest or export control concerns …comply with the UNL travel policy, submit the trip to Concur, and complete an international travel checklist via NUgrant if requested …disclose the relationship in your Interest and Outside Activity Reporting Form | -The ECCP reviews each international travel checklist and performs necessary screenings and follow up – RCS has laptops available for researchers to borrow for UNL related international travel. -The COI coordinator reviews and screens all disclosures, international entities, and works with investigators to complete any necessary reporting to sponsors |
| …have a foreign entity propose an institutional partnership with UNL or a consulting relationship with you | …disclose the relationship in your Interest and Outside Activity Reporting Form …contact Research Compliance Services to discuss conflict of interest or export control concerns | -The ECCP works closely with Global Engagement to support the mission of connecting Nebraska to the world by reviewing collaborations and helping to streamline the development of international relationships -The ECCP can provide screenings as appropriate for purchases and/or shipments of materials and equipment |
| …have an active or proposed position with, or have been provided with funding by, a foreign institution | …disclose the relationship in your Interest and Outside Activity Reporting Form …disclose the relationship to the Office of Sponsored Programs …contact the Export Control Compliance Program to perform a review | -The ECCP works closely with sponsored programs, NUtech, IBC, IRB, and COI areas to screen, review, and approve international relationships or work -The ECCP can provide screenings as appropriate for purchases and/or shipments of materials and equipment |
| …have funding from DOE or DOD | …contact the Export Control Compliance Program prior to starting any international collaboration, related to the research or otherwise. | -DOE and DOD have specific clauses that may limit international collaboration. The ECCP provides support to sponsored programs to identify and negotiate such clauses and works with the PI to develop an appropriate management strategy |
| …have ownership interest in a foreign company | …disclose the relationship in your Interest and Outside Activity Reporting Form (IOARF) | -The COI coordinator reviews and screens foreign companies and/or relationships disclosed via the IOARF |
| …have any active research on campus (funded or un-funded) | …be sure to submit Interest and Outside Activity Reporting Form at least annually or within 30 days of a change | -The COI coordinator reviews all disclosures made on campus and screens any foreign companies, compensation, or other relationships disclosed via the IOARF -The ECCP works with the UNLPD building access team as necessary to secure labs working on restricted research -The ECCP works with IT as necessary to develop procedures to protect research data |
| …want to host a visiting scholar, student, tour group, or other individual from a foreign entity | …work with the Office of Global Strategies and the International Student and Scholar Office (ISSO) to complete any necessary pre-visit paperwork …contact Research Compliance Services to discuss export control concerns and complete screenings of individuals or entities | -The ECCP works with the International Student and Scholar Office (ISSO) to review H1B and J1 visa applications and works with faculty to ensure they are prepared to host an international student, scholar, or visitor -The ECCP works with the UNLPD building access team as necessary to secure labs working on restricted research -The ECCP works with IT as necessary to develop procedures to protect researcher data |
| …have concerns or questions about a proposed collaboration or research project | …contact the Export Control Compliance Program, the COI program, or the general Research Compliance Services office to discuss your concerns | Contact Research Compliance Services at 472-6965 EC: exportcontrol@unl.edu COI: UNLCOI@unl.edu |
