The Texas A&M University System (A&M System) is committed to upholding the highest standards of integrity in all aspects of ethics and compliance. We are equally committed to protecting our research ecosystem, while also recognizing the importance of maintaining an open research environment that welcomes the participation of individuals from around the world. Members of the A&M System conduct collaborations with entities on 6 of the seven continents of the world. It’s these synergetic activities that invigorate fundamental scientific inquiries that ultimately enhance the innovation of our research ecosystems.
Without weakening this vigor our educational systems thrive upon, we face a unique and unparalleled paradigm in that it’s equally essential to understand protecting specific U.S. interests related to our research ecosystems. Although most intentions are right, it’s crucial to be able to identify when reciprocity is not a goal of both parties involved in collaborative environments. Mitigating potential risks, whether connected to undue foreign influence, conflicts of commitment, or export controls, is considered a priority. At the same time, we continue to recognize the strengths of our fundamental global collaborations.
Protecting the interests of all involved—the U.S. federal government, the A&M System, employees of the A&M System, and international collaborators—is of utmost importance. International relationships and collaborations should not only be disclosed, but also fully vetted in determining compliance risks with conflicts in commitment, financial conflicts of interest, duplication of effort in research, potential export control violations, or possible loss of intellectual property. Several U.S. federal entities require principal investigators, co-investigators, and sub-recipients to disclose research interests in countries outside the U.S. Following are brief narratives of U.S. governmental entities implementing policies and requirements in attempts to mitigate undue foreign risks:
FEDERAL AGENCY GUIDANCE
Department of Defense (DOD)
August 2018 (view the guidance document)
Section 1286 of the National Defense Authorization Act directed the Secretary of Defense to “…establish an initiative to work with academic institutions who perform defense research and engineering activities … to limit undue influence including through foreign talent programs, by countries to exploit U.S. technology.”
March 20, 2019 (view the guidance document)
Issuance of a memorandum detailing disclosure requirements for all key personnel listed on research and research–related educational activities supported by DoD grants and contracts.
October 10, 2019 (view the guidance document)
Issuance of dear colleagues letter regarding research integrity.
Department of Energy (DOE)
February 1, 2019
Issuance of a notification of DOE plans to implement a policy to mandate that “…federal and contractor personnel fully disclose and, as necessary, terminate affiliations with foreign government–sponsored talent recruitment programs.”
June 7, 2019 (view the document)
Issuance of order DOE O 486.1
September 4, 2020 (view the document)
Issuance of order DOE O 486.1A
National Aeronautics and Space Administration (NASA)
National Institutes of Health (NIH)
March 30, 2018 (view the guidance document)
Issuance of a reminder notice of requirements for principal investigators, co–investigators, and sub–recipients must disclose all financial interests received from higher education or governmental institutions in countries outside the U.S.
August 20, 2018 (view the guidance document)
Issuance of a memorandum stating that failure to properly disclose foreign relationships threatened to distort decision–making in the use of NIH funds.
July 10, 2019 (view the guidance document)
Issuance of a reminder memorandum in regards to 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.
July 19, 2019 (view the guidance document)
FAQs related to other support and foreign components posted.
National Science Foundation (NSF)
July 11, 2019 (view the guidance document)
Research protection reminder issued.
December 11, 2019 (view the guidance document)
Publication of the JASON Study.
DISCLOSURE GUIDANCE
A&M System Regulation 31.05.01
System Regulation 31.05.01 defines “faculty consulting and/or external professional employment” to include amongs the entire definition the following in regards to foreign interactions:
“… The provision of scholarly or research expertise to foreign entities, whether involving compensation or not, constitutes ‘employment’ for the purposes of this regulation. The ‘provision of scholarly or research expertise’ includes, but is not limited to, participation in scholarly or scientific research projects or publications, teaching, and speeches.”
As such, all activities with foreign entities must be reported in accordance with procedures provided within System Regulation 31.05.01.
A&M System Regulation 31.05.02
System Regulation 31.05.02 defines “employment” to include among the entire definition the following in regards to foreign interactions:
“… The provision of goods or services to foreign entities, whether involving compensation or not, constitutes ‘employment’ for the purposes of this regulation.”
As such, all activities with foreign entities must be reported in accordance with procedures provided within System Regulation 31.05.02.
A&M System Regulation 12.99.01
System Regulation 12.99.01 includes the following in regards to foreign interactions in section 2.7:
“Compensation, funding, or any item of value received from any foreign entity, or the provision of scholarly or research expertise to a foreign entity, whether or not compensation is received, cannot be accepted by the faculty member unless first approved by the academic institution’s export controls empowered official, in consultation with the Research Security Office, no later than 30 days prior to the date of travel. The ‘provision of scholarly or research expertise’ includes, but is not limited to, participation in scholarly or scientific research projects or publications, teaching, and speeches.”
Department of Defense (DOD)
Pursuant to a letter dated October 10, 2019, DOD reiterated the necessity of research personnel to fully disclose any conflicts of interests and commitments. Specifically, the requirement includes disclosure of all current and pending projects, time commitments to other projects, and funding sources at the time of the application. This is not a new requirement, but rather a long–standing policy.
|
Disclosing
Foreign Components and Other Support |
||
|
What |
Where |
When |
|
Outside appointments
(paid or unpaid) |
Bio–sketch |
Proposal |
|
Related Sources of
Support |
Other Support |
Proposal |
Department of Energy (DOE)
Pursuant to a directive published June 7, 2019, DOE prohibits both its employees and contractors from participating in foreign talent recruitment programs from certain countries. DOE views such participation as a conflict of interest that necessitates reporting.
National Aeronautics and Space Administration (NASA)
National Institutes of Health (NIH)
On July 10, 2019, NIH reminded the extramural community regarding the need to report foreign activities through documentation of other support, foreign components, and financial conflict of interest. This is not a new requirement, but rather a long–standing policy of full transparency for all research activities both domestic and foreign.
|
Disclosing
Foreign Components and Other Support |
||
|
What |
Where |
When |
|
Outside appointments
(paid or unpaid) |
Bio–sketch |
Proposal, Just In Time Requests, and Research Performance Progress
Reports |
|
International
collaborations with activities performed outside the U.S., regardless of
monetary value or location of the resource |
Foreign Component |
Proposal, Just In Time Requests, or Prior Approval for Existing Projects |
|
All resources
available to the PI or key personnel in support of and/or related to all
research endeavors, regardless of monetary value or location of resources |
Other Support |
Proposal, Just In Time Requests, and Research Performance Progress
Reports |
|
International
visiting scholars, students, or collaborators in your facilities that support
your research (not key personnel) |
Other Support |
Proposal, Just In Time Requests, and Research Performance Progress
Reports |
National Science Foundation (NSF)
On July 11, 2019, NSF issued a letter clarifying steps the agency is taking to mitigate risks associated with undue foreign influence. Additionally, the agency has proposed clarification of disclosure requirements to both current and pending support as well as professional appointments, which are included in NSF 20-1. Since 1978, NSF has required senior project personnel to disclose all sources of funding on proposals. This is not a new policy.
|
What |
Where |
When |
|
Outside appoints (paid and unpaid) |
Bio–sketch |
Proposal, Progress
Report |
|
Research, training, and/or education carried out with
international counterparts (whether located abroad or using virtual
technologies) |
Cover Sheet
(countries listed) and Project Description |
Proposal |
|
Funding of a foreign organization including subawards or
consultant agreements as part of the award |
Cover Sheet and
Project Description |
Proposal or Requires
Prior Approval |
|
Unfounded substantial international collaborations |
Facilities,
Equipment, and Other Resources; and Letter of Collaboration; Organizations
that have been involved as partners (with full details). |
Proposal and
Progress Report |
|
All resources (including in-kind contributions) made available
in support of and related to their research efforts, regardless of monetary
value |
Current and Pending
Support |
Proposal and
Progress Report |
|
In-kind Contributions made available to an individual in
direct support of the project, regardless of monetary value |
Current and Pending
Support |
Proposal and
Progress Report |
All Other Federal Agencies
For all other federal agencies, there are no reporting requirements at this time. However, the RSO recommends reporting be made to the contracting officer as well as the agency’s inspector general if it is discovered that personnel are members of a foreign talent recruitment program.
RESOURCES
Best Practices
- WHEN IN DOUBT, DISCLOSE! It’s recommended to err on the side of caution, and if there’s any doubt you should disclose your foreign activities to a federal sponsor, it’s a best practice to simply disclose such. Review your current projects to ensure proper reporting of foreign activities have been appropriately disclosed. When submitting proposals and award documents, carefully ensure that you and other project personnel have accurately represented your foreign affiliations at the sponsor’s request. In regards to A&M System Regulations, you must disclose these activities regardless if you receive compensation or not.
- GET TO KNOW YOUR COMPLIANCE OFFICES! Your member compliance offices can assist in reviewing your research projects, collaborations, and exports. These offices work closely with the A&M System RSO, who assists in such reviews as well.
- GET TO KNOW THE A&M SYSTEM RSO! The A&M System RSO serves as a shared services entity, serving all members of the A&M System. Pursuant to System Policy 15.05, the A&M System RSO is the responsible office for classified information, controlled unclassified information, management of the secure computing enclave, foreign influence reporting, and export controls.
- GET TO KNOW YOUR COLLABORATORS! Vetting of potential collaborators is a vital component of securing our research ecosystems. Your compliance office and the A&M System RSO can assist in vetting potential collaborators and visiting scholars.
- ACCURATELY DISCLOSE FUNDING SPONSORS IN PUBLICATIONS! When preparing journal publications and other scholarly works, cite only the funding sources that specifically supported your work in the publication. Do not include unrelated funding sources.
- CONTINUE TO DISCLOSE INVENTIONS! Pursuant to A&M System Policy 17.01, continue to disclose all inventions pursuant to your work.
- CONTINUE TO PROPERLY DISCLOSE CONFLICTS OF INTEREST AND COMMITMENT! It’s important to keep your financial conflict of interest declaration up-to-date and accurate.
- DON’T BE AFRAID TO ASK QUESTIONS! Foreign influence in the U.S. academic research enterprise is an evolving and fluid target. Don’t hesitate to contact your compliance office or the A&M System RSO with any questions you may have. Often times, it’s important to ask questions on the front–end of the activity in mitigating potential risks.
