Your Responsibilities Regarding the Disclosure of Activities Involving Foreign Entities

February 1, 2019
FROM: David P. Norton, Vice President for Research

As explained in the January 3, 2019 administrative memo, regarding the disclosure of financial support from foreign entities, U.S. federal agencies have continued to express heightened concern about foreign influence on university research. In August 2018, Dr. Francis Collins, Director of the National Institutes of Health (NIH), issued a letter that expressed serious concerns regarding efforts by foreign entities to exert inappropriate influence on research in the U.S. The National Science Foundation (NSF), the Department of Defense, and other U.S. government agencies have communicated similar concerns.

Given the importance of this issue to our federal sponsors, we are clarifying points from the January 3, 2019 administrative memo and reminding you of your obligations to report your activities involving foreign entities. Please review and adhere to the following requirements.

Disclosing Other Support to Federal Agencies

• Disclose all financial support received from any foreign entity that supports ongoing or proposed research projects for which you will provide effort or oversight. This includes financial support you receive from a foreign government, university or other legal entity outside the U.S.
  • For NIH awards, you must make this disclosure during the Just-in-Time process on your Other Support or within the Research Performance Progress Reports submitted annually.
  • For NSF awards, you must make this disclosure in the Current & Pending Support section of your submitted proposal.
• “Financial Support” that must be disclosed includes, but is not limited to, the following:
  • Sponsored funding provided to the University that supports your University activities;
  • Gifts, whether financial and non-financial, provided to the University that supports your University activities;
  • Students, post-docs, or scholars working with you here at UF who are paid or supported (e.g., receive salary, a stipend, travel expenses, living expenses, etc.) directly from a foreign entity; and
  • Funding (e.g., salary, stipend, honorariums, etc.), expense reimbursements, travel or lodging costs provided directly to you as a consultant, visiting scholar, lecturer, collaborator, or other non-UF activity or appointment, regardless of whether you performed the activities in the U.S. or abroad. For faculty on nine-month appointments, this includes support received for activities completed over the summer term.
• The disclosure requirements include support you receive through UF awards (contracts or grants) or support provided directly to you.
• On NIH applications, you must indicate whether the project includes a “foreign component”, and, if yes, provide a foreign justification document.  A foreign component is defined as performance of any significant scientific element or segment of a project outside of the United States, either by the recipient or by a researcher employed by a foreign organization, whether or not grant funds are expended.
• You can find NSF and NIH specific guidance at:
  • https://grants.nih.gov/grants/forms/othersupport.htm
  • https://grants.nih.gov/grants/policy/nihgps/HTML5/section_2/2.5.1_just-in-time_procedures.htm?Highlight=other%20support
  • NIH Definition of Foreign Component: https://grants.nih.gov/grants/policy/nihgps/html5/section_1/1.2_definition_of_terms.htm
  • NIH Foreign Component Justification: https://grants.nih.gov/grants/how-to-apply-application-guide/forms-d/general/g.220-r&r-other-project-information-form.htm#6
  • NSF PAPPG: https://www.nsf.gov/pubs/policydocs/pappg19_1/pappg_2.jsp#IIC2h

Disclosing Outside Activities with Foreign Entities to the University

• All UF employees must disclose to the university all outside financial relationships and professional activities, whether compensated or uncompensated.
• The disclosure must be made via the UF Outside Activities and Financial Interests form.
• This disclosure must include, but is not limited to, the following:
  • All activity for, or financial interests received from, a foreign company, foreign institution of higher education, or a government or quasi-government organization of another country;
  • Receipt of stipends, honorariums, living expenses, travel reimbursements, or other payment from a foreign government or institution; and
  • This disclosure must include sufficient detail to determine the nature of the activity and degree of any potential conflict of interest.
• Approval for outside activities must occur in advance of the activity.
• You can find specific guidance related to UF’s outside activities disclosure process at:
  • http://research.ufl.edu/compliance/conflict-of-interest-and-outside-activities.html
  • http://aa.ufl.edu/media/aaufledu/forms/OAA-GA-L-267-Disclosure-of-Outside-Activities-Out-of-Unit.pdf

Complying with Export Control Laws

• Comply with U.S. export control regulations in all domestic and international activities.
• With few exceptions, the University of Florida will not host visitors, enter into contracts or other agreements, do business, or engage in any activity with entities listed on a U.S. government restricted party lists.
  • You must verify that a foreign individual or entity with which you plan to engage is not listed on a restricted party list. For assistance, contact UF’s Division of Research Compliance and Global Support at 352-392-9174.
  • You must obtain Division of Research Compliance and Global Support approval prior to hosting visitors, entering into contracts, or engaging in activities with an entity or individual listed on any U.S. government restricted party list.
• You can find specific guidance related to export control law and restricted parties at:
  • https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern
  • http://research.ufl.edu/compliance/export-controls.html

Registering Your International Travel

• Register your international travel with UF International Center.
  • For more information: https://internationalcenter.ufl.edu/travel and https://internationalcenter.ufl.edu/travel/online-travel-registration
• If you are traveling with UF-owned equipment, you must register your trip with UF Asset Management.
  • For more information: http://www.fa.ufl.edu/departments/asset-management/annual-inventory-off-site-certifications-foreign-travel-with-equipment-request/
• Review and adhere to UF international travel guidance found within these offices:
  • http://research.ufl.edu/compliance/export-controls/international-travel.html
  • https://security.ufl.edu/learn-information-security/security-tips-when-traveling-abroad/
  • https://business.it.ufl.edu/travel/travel-guide/

Other Disclosures and Requirements

• Promptly disclose all inventions and intellectual property to UF Innovate.
  • For more information: http://innovate.research.ufl.edu/tech-licensing/
• Comply with the anti-bribery provisions of the Foreign Corrupt Practices Act.
  • For more information: https://www.justice.gov/criminal-fraud/foreign-corrupt-practices-act

The University of Florida supports and encourages international research, collaboration, and scholarship.  Thank you for your help in ensuring compliance with all UF and federal policies. Failure to comply with these requirements can lead to significant negative consequences for the institution and the individual.

If you have any questions that pertain to sponsored programs policy and procedure, please contact Stephanie Gray, Director of Division of Sponsored Programs (slgray@ufl.edu).

For questions regarding export control or restricted party lists, please contact Terra DuBois, Director of Research Compliance and Global Support (tdubois@ufl.edu).

If you have questions that are pertinent to the topic, but are confined to non-sponsored academic activities, please contact Chris Hass, Associate Provost for Academic and Faculty Affairs (cjhass@aa.ufl.edu).