Other Support Disclosure

Researchers Failed to Disclose Foreign Support, DOJ Alleges

-July 17, 2024

"Three researchers from the University of Maryland at College Park who received federal funding failed to disclose that their projects were also getting support from foreign companies, in violation of the False Claims Act, the U.S. Department of Justice alleged in the news release Tuesday."

Cleveland Clinic to Pay Over $7 Million to Settle Allegations of Undisclosed Foreign Sources of Funding on NIH Grant Applications and Reports

 -May 17, 2024

"The Cleveland Clinic Foundation (CCF) has agreed to pay $7,600,000 to resolve allegations that it violated the False Claims Act (FCA) by submitting to the National Institutes of Health (NIH) federal grant applications and progress reports in which CCF failed to disclose that a key employee involved in administering the grants had pending and/or active financial research support from other sources."

Stanford University Agrees to Pay $1.9 Million to Resolve Allegations That it Failed to Disclose Foreign Research Support in Federal Grant Proposals

-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."

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.

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.

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. 

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 disclosure table which details the types of activities which should be reported and where such activities should be reported in the proposal.

Finally, in the PAPPG 24-1, NSF has issued a policy prohibiting senior personnel from participating in Malign Foreign Talent Recruitment Programs.

Questions about NSF?

• Contact the DIAS/Policy Office regarding proposal and award procedural questions, including disclosure, at policy@nsf.gov
• 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 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.

Biosketch

NIH details all Biosketch requirements on their website. As pertains to disclosure and detailed in NOT-OD-21-073, recipient Biosketches must include:

• 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)

Other Support

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?

• Contact OPERA's central mailbox for disclosure questions at nihbioshetch@nih.gov
• OER Website for policies, forms and FAQs
  • NIH Other Support Information
  • NIH Biosketch Instructions

Recently, the United States government has expressed concerns about particular programs called Foreign Talent Recruitment Programs (FTRP) and Malign Foreign Talent Recruitment Programs (MFTRP). Federal funding agencies have developed policies prohibiting participation in these programs. To learn more about these programs, visit our page about Foreign Talent Recruitment Programs and Malign Foreign Talent Recruitment Programs.