Other Support Disclosure
Other Support Disclosure
Many federal funding agencies, including common funders for UCCS like NIH and NSF, have issued new disclosure requirements. These include the disclosure of support (both financial and not financial) from foreign entities and institutions. This page is intended to provide guidance in navigating these disclosure requirements.
If you have additional or specific questions, please contact your program officer or dedicated sponsor contract.
-October 2, 2023
Stanford University, located in Palo Alto, California, has agreed to pay $1.9 million to resolve allegations that it violated the False Claims Act by submitting proposals for federal research grants that failed to disclose current and pending support that 12 Stanford faculty members were receiving from foreign sources. Click to read the whole article.
What Investigators Need to Know
Collaboration, whether with domestic or international partners, has always been and remains an important component of scientific advancement and innovation. However, in recent years, the U.S. government has expressed concern that foreign entities, governments, and/or individuals are having inappropriate and undue influence on U.S. government-funded researchers and institutions. It has, particularly, voiced concerns about the non-reciprocal exchange of ideas and perceived efforts of some foreign governments to exploit the U.S. research environment "to circumvent the costs and risks of conducting research."
Federal agencies have been establishing and updating instructions regarding "Other/Current and Pending Support." They may request similar information, but at this time, the process is not uniform. Additionally, some of the instruction and guidance provided may be ambiguous. Ensure you contact the sponsor or program officer if you need clarification or have questions. The resources on this page provide some guidance for some agencies.
Regardless of the sponsor, information provided in Other/Current and Pending Support documents must be current, accurate, and complete. It is recommend to err on the side of disclosure. If in doubt, disclose.
Failure to comply with disclosure requirements could result in a number of negative consequences for both the researcher and their home institution, including, but not limited to, termination of grants or awards, ineligibility for participation in U.S. government activities, and suspension of eligibility to receive federal funding.
What Investigators Need to Do
There are many things you can do to help ensure you are compliant with disclosure requirements. You should:
- Complete or update your UCCS Annual Conflict of Interest.
- Carefully read any disclosure requirements for grant and funding notices. Some of these policies are developing and changing, so it's important to make sure your knowledge is up-to-date.
- Keep your NIH or NSF Biosketch updated. Update regularly, like you would a CV. Use current sponsor guidelines.
- Stay aware of Export Control policies and procedures. Export control isn't just about physical materials, but also the exchange of certain kinds of information. Ensure your team is familiar with Export Control policies, too.
- If your project has an Export Controlled component, reach out to the UCCS Export Control Officer as soon as possible.
- Know the federal regulations for working with collaborators and sponsors from outside of the United States.
- Ensure that you update any changes in support when completing progress or final reports.
- Report informal collaborations (where no written agreement or exchange of funds exist) as well as formal ones while disclosing. It is recommend to err on the side of disclosure. If in doubt, disclose.
NSF Specific Disclosure Requirements
NOTE:For proposals submitted or due on or after January 30, 2023, PIs and senior personnel must certify that the information in their NSF Current and Pending Support and Biological Sketch documents are accurate, current and complete, in compliance with Certification Requirement for Senior Personnel Specified in the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 [Section 223(a)(1)]. The certification will be included in both SciENcv and the NSF fillable format.
Starting October 23, 2023, SciENcv is required for preparation of Current and Pending Support. Until then, proposers may use either the NSF-fillable PDF or SciENcv to prepare Current and Pending Support.
NSF has outlined their disclosure requirements for proposals in the Proposal & Award Policies & Procedures Guide (PAPPG). If you are seeking NSF funding, you should familiarize yourself with these policies and procedures. It is critical that researchers are transparent and thorough with their disclosures. Failure to properly disclose could result in non-acceptance of your proposal, loss of privilege to work under an NSF award, or suspension/termination of an NSF award, among other penalties.
The NSF has also issued a helpful table which details the types of activities which should be reported and where such activities should be reported in the proposal.
Questions about NSF?
- Contact the DIAS/Policy Office regarding proposal and award procedural questions, including disclosure, at firstname.lastname@example.org
- For award specific questions, contact the cognizant Grants and Agreements Officer in the Division of Grants and Agreements or Division of Acquisition and Cooperative Support
- PAPPG FAQ
- NSF Disclosure Requirements and Standardization (Updated 11/1/2023)
NIH Specific Disclosure Requirements
NIH requires the full disclosure of all resources (both domestic and foreign) that support each applicant/recipient’s research endeavors. Disclosure requirements primarily pertain to two areas of NIH proposals.
- Ongoing and completed research projects from the past three years
- All positions and scientific appointments, both domestic and foreign, including affiliation 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)
As detailed in NOT-OD-21-073, applicants should disclose 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 or are based at the institution the researcher identifies for the current grant. All senior/key personnel are required to disclose. Required disclosure includes (but is not limited to):
- Resources and/or financial support from all foreign and domestic entities, such as laboratory, personnel, and provision of high-value materials that are not freely available.
- Consulting agreements involving research.
- In-kind contributions (such as office/laboratory space, equipment, supplies, human resources) supported by an outside source. These should include actual or reasonable estimates of time commitment and/or dollar value
For foreign activities and resources, recipients are required to submit copies of contracts, grants, or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution as supporting documentation. If not already in English, the recipient must provide translated copies of these documents.
If other support is discovered that had not previously been disclosed, the recipient is required to submit an updated "Other Support” to their Grants Management Specialist as soon as the support becomes known.
Questions about NIH?