External Activities Disclosure & Foreign Talent Recruitment Programs

The Research & Innovation Office at the University of Colorado Boulder is focused on creating global impact by cultivating and supporting collaboration, transformation and leadership. At the heart of this focus are the diverse contributions of a wide range of world-class experts, working together to accelerate ideas throughout the entire innovation lifecycle. While our commitment to this mission depends on and encourages international and external collaboration in research and scholarship, the integrity of the institution and its research hinges on maintaining a culture of transparency regarding relationships with outside entities.

Most sponsors require disclosure of all resources (including both financial and in-kind) made available to a researcher in support of and/or related to all of their research endeavors. The addition of a foreign component to an ongoing project often requires prior approval.  Additionally, many sponsors now require disclosure of any appointment or consultant arrangement made with an external (domestic or foreign) entity, whether the affiliation to that entity is paid or unpaid.

Specifically, U.S. federal sponsors (NIH and NSF, in particular) have clarified, and arguably expanded, the scope of direct-to-sponsor reporting requirements.  Thus, even if an individual’s DEPA does not trigger COIC conflict management requirements, the document may reveal or imply the receipt of “other support” or engagement in external activities that should be directly disclosed to the sponsor to avoid future allegations of wrongdoing or breach of contract.  Depending upon the relevant federal agency, reportable activities and benefits include monetary resources as well as non-monetary support such as:

  • laboratory or office access
  • equipment access
  • supplies
  • a title or affiliation (whether full-time, part-time, seasonal, voluntary, adjunct, visiting or honorary)
  • no cost or low cost employee, staff or research services
  • invitation to consult or participate in a talent recruitment program
There is a growing concern among national security experts that universities with federal funding from the US government are becoming targets of foreign interference and espionage. Expanded disclosure requirements aim to maintain principles of American universities-- research integrity, academic freedom and the open exchange of ideas-- while also taking precautions to protect our national security from intellectual property theft and espionage. See the exerpt from the National Security Presidential Memorandum 33 below:

"The United States Government provides significant support to R&D across a broad spectrum of research institutions and programs conducted both within and outside of the United States and its territories. This R&D, including both basic and applied research, is a key contributor to American science and technology (S&T) innovation and is essential to United States economic and national security.

Much of United States Government-supported R&D is broadly shared and includes fundamental research as defined in National Security Decision Directive (NSDD)-189 as well as scientific research using publicly available data. The open and collaborative nature of the United States R&D enterprise underpins America’s innovation, S&T leadership, economic competitiveness, and national security.

Unfortunately, some foreign governments, including the People’s Republic of China, have not demonstrated a reciprocal dedication to open scientific exchange, and seek to exploit open United States and international research environments to circumvent the costs and risks of conducting research, thereby increasing their economic and military competitiveness at the expense of the United States, its allies, and its partners. While maintaining an open environment to foster research discoveries and innovation that benefit our Nation and the world, the United States will also take steps to protect intellectual capital, discourage research misappropriation, and ensure responsible management of United States taxpayer dollars. This includes steps to ensure that participants with significant influence on the United States R&D enterprise fully disclose information that can reveal potential conflicts of interest and conflicts of commitment."

The National Security Presidential Memorandum 33 defines Foreign Talent Recruitment Program as:

"...an effort directly or indirectly organized, managed, or funded by a foreign government or institution to recruit S&T professionals or students (regardless of citizenship or national origin, and whether having a full-time or part-time position).  Some foreign government-sponsored talent recruitment programs operate with the intent to import or otherwise acquire from abroad, sometimes through illicit means, proprietary technology or software, unpublished data and methods, and intellectual property to further the military modernization goals and/or economic goals of a foreign government.  Many, but not all, programs aim to incentivize the targeted individual to relocate physically to the foreign state for the above purpose.  Some programs allow for or encourage continued employment at United States research facilities or receipt of Federal research funds while concurrently working at and/or receiving compensation from a foreign institution, and some direct participants not to disclose their participation to United States entities.  Compensation could take many forms including cash, research funding, complimentary foreign travel, honorific titles, career advancement opportunities, promised future compensation, or other types of remuneration or consideration, including in-kind compensation."

*Note that, generally, an invitation by a foreign state to simply attend or present work at an international conference would not constitute recruitment.

Many Federal sponsors may also deny funding based on a “covered individual’s” affiliation with a malign foreign talent recruitment program. According to DoD, “covered individuals” are those who are “essential to the successful performance” of the research and listed as key personnel in project proposals, such as principal or co-principal investigators. A foreign talent recruit program is deemed to be a malign foreign talent recruitment program if it is sponsored by a “foreign country of concern”—i.e., the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, and the Islamic Republic of Iran—or sponsored by programs connected to these governments, including Changjiang Scholar Distinguished Professorship, Hundred Talents Plan, Pearl River Talent Program, Project 5-100, River Talents Plan, and Thousand Talents Plan. Additionally, if an entity on the foreign entity list sponsors a foreign talent recruitment program, then that program is also deemed a malign foreign talent recruitment program.

Note: In anticipation of the August 2024 date for implementation pursuant to Section 10632 of the CHIPS and Science Act of 2022, University of Colorado Boulder is currently reviewing our own processes and anticipates that a formal policy restricting CU Boulder faculty and staff from participating in a malign foreign talent recruitment program will be issued.

The DOD has issued a formal policy, effective August 2024, outlining a decision matrix on how disclosed information could lead to funding denials The matrix lists four types of researcher activity that will lead DOD to require risk mitigation measures as a condition of making the award: participating in certain talent recruitment programs, actively receiving funding from foreign countries of concern, filing patents in a foreign country of concern prior to filing in the U.S., and maintaining associations with entities of concern, such as those on the Commerce Department’s “entity list.”

    Identification of External Activities in the DEPA Form

    External activities and participation in Foreign Talent Recruitment Programs disclosed by CU faculty and staff in their DEPA Form may be subject to reporting requirements set by federal sponsors. Below is OCG's current process for ensuring these external activities are disclosed to our sponsors:

    1. The Office of Contracts and Grants (OCG) will review submitted DEPA forms for all individuals who have indicated they have active sponsored project funding from a federal institution AND have disclosed external activities and/or participation in a Foreign Talent Recruitment Program.
    2. Once the OCG DEPA review is conducted, the individual will be contacted with next steps and/or follow-up questions to determine if additional disclosures need to be made on existing federal sponsor proposals and/or awards.

    Federal Sponsor Guidance on External Activity Disclosures

    Introduction National Science Foundation (NSF) National Institutes of Health (NIH) Department of Energy (DOE) Department of Defense (DOD) National Aeronautics & Space Administration (NASA) Environmental Protection Agency (EPA) Other Federal Sponsors
    Introduction

    Many federal agencies are currently in the process of developing, or have already developed, new reporting requirements, restrictions, and supplemental guidance related to external activities disclosure for project personnel who receive federal funding. The sponsors listed below have already published specific guidance regarding external activities disclosure. Refer to the leftside tabs to learn about each sponsor's response to this topic. 

    • National Science Foundation (NSF)
    • National Institutes of Health (NIH)
    • Department of Energy (DOE)
    • Department of Defense (DOD)
    • National Aeronautics & Space Administration (NASA)
    • Environmental Protection Agency (EPA)
    All external activities related to academia and/or research, regardless of monetary value. Visit the NSF Pre-award and Post-award Disclosures table for more details.

     

    Examples include: Visiting scholar/research/academic appointments with an external entity, in-kind contributions that have an associated time commitment, consulting activities for external entities that qualify for the 1/6 consulting rule, travel supported by an external entity to perform activities with an associated time commitment, participation in talent recruitment programs

    NSF applicants and awardees: Principal Investigators, Co-Principal Investigators, Senior Personnel
    If an organization discovers that a PI or co-PI on an active NSF grant failed to disclose current support or in-kind contribution information as part of the proposal submission process, the AOR must submit the following information within 30 calendar days of the identification of the undisclosed current support or in-kind contribution through use of the “Other Request” category in the Notification and Request Module in Research.gov.

     

    If a new reportable activity begins during the period of performance of your NSF award, the PI is expected to disclose it in their upcoming NSF progress report.

    Current and Pending

    Current and pending support includes all resources made available to an individual in support of and/or related to all of his/her research efforts, regardless of whether or not they have monetary value. Current and pending support also includes in-kind contributions from external entities(such as office/laboratory space, equipment, supplies, employees, students). All in-kind contributions not intended for use on the project/proposal being proposed must be reported.

    Biosketch

    Appointments: a list must be provided, in reverse chronological order by start date of all the individual's academic, professional, or institutional appointments beginning with the current appointment. Appointments include any titled academic, professional, or institutional position whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).

    Other Resources

    Proposers should include an aggregated description of the internal and external resources (both physical and personnel) that the organization and its collaborators will provide to the project, should it be funded. Such information must be provided in this section, in lieu of other parts of the proposal (e.g., Budget Justification, Project Description). The description should be narrative in nature and must not include any quantifiable financial information.

    *For NSF Personnel (NSF employees, VSEE Program employees, fellows, students and intermittent experts) & IPA assignees, participation in a foreign talent recruitment program is prohibited.

    **In addition to providing information at the proposal stage, faculty are required to provide updated information regarding changes of Current and Pending Support throughout the project.

    Applicants and awardees must disclose all forms of research and other support and financial interests, including support coming from foreign governments or other external entities. Support can also include in-kind support such as foreign laboratory facilities (“Shadow Labs”), and other forms of unfunded support.

     

    Examples include: Visiting scholar/research/academic appointments with an external entity, in-kind contributions that have an associated time commitment, consulting activities for external entities that qualify for the 1/6 consulting rule, travel supported by an external entity to perform activities with an associated time commitment, participation in talent recruitment programs.

    Support is reported as either Foreign Components or Other Support, as defined in the NIH Grants Policy Statement (see definitions below).

    Other Support

    • Includes all resources made available to researcher or senior key personnel in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant. Other support does not include training awards, prizes, gifts* or start-up support from the US based institution. An item or service given with the expectation of an associated time commitment is not a gift and is instead an in-kind contribution and must be reported as Other Support. *Gifts are resources provided where there is no expectation of anything (e.g. time, services, specific research activities, money, etc.) in return.

    Foreign Component

    • The 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. Activities that would meet this definition include, but are not limited to:
      • the involvement of human subjects or animals,
      • extensive foreign travel by recipient project staff for the purpose of data collection, surveying, sampling, and similar activities, or
      • any activity of the recipient that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country.
    • Examples of other grant-related activities that may be significant are:
      • collaborations with investigators at a foreign site anticipated to result in co-authorship;
      • use of facilities or instrumentation at a foreign site; or
      • receipt of financial support or resources from a foreign entity.

    *Foreign travel for consultation is not considered a foreign component. 

    See NIH Notice Number: NOT-OD-19-114 - Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components

    NIH applicants and awardees: Principal Investigators, Co-Principal Investigators, Senior Personnel
    Disclose your external activities (Other Support) in your upcoming Research Performance Progress Report (RPPR) and/or via an email to the NIH Grants Management Specialist named in the Notice of Award as soon as it becomes known.

     

    When a recipient organization discovers that a PI or other Senior/Key personnel on an active NIH grant failed to disclose Other Support information outside of Just-in-Time or the RPPR, as applicable, the recipient must submit updated Other Support to the NIH Grants Management Specialist named in the Notice of Award as soon as it becomes known.

    Just-In-Time Other Support Form

    Provide supporting documentation, which includes copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution, for all foreign activities and resources that are reported in Other Support. If the contracts, grants or other agreements are not in English, recipients must provide translated copies.

    See NIH Notice Number: NOT-OD-21-073

    The PI and each senior/key person at the prime applicant and any proposed subaward must provide a list of all sponsored activities, awards, and appointments, whether paid or unpaid; provided as a gift with terms or conditions or provided as a gift without terms or conditions; full-time, part-time, or voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or domestic; governmental or private-sector; directly supporting the individual’s research or indirectly supporting the individual by supporting students, research staff, space, equipment, or other research expenses. All foreign government-sponsored talent recruitment programs must be identified in current and pending support.

    *DOE project personnel are prohibited from participating in certain foreign government talent recruitment programs.

    **Any CU researcher who is contracted to work in a DOE national lab and is part of an unallowable foreign talent program must remove their association with the talent program before receiving DOE funding.

    Foreign national access to DOE sites, information, equipment, etc. must be approved by DOE prior to access.

    The PI and each senior/key person at the prime applicant and any proposed subaward
    Disclose your consideration of participation or current participation in any foreign government talent recruitment program via email to your immediate supervisor, the DOE program officer(s) for all active awards, DOE's Designated Agency Ethics Official (DAEO) and copy ocgcompliance@colorado.edu on the email to confirm that the disclosure has been made to the sponsor.
    Disclose external activities in the Current and Pending document(s) required for the DOE proposal package. Refer to specific DOE funding opportunity announcements for details.
    Provide a list of all current and pending support (even if no salary support is received from the projects) from any source for ongoing projects and pending proposals. This includes all domestic and international sources, funds internal and external to CU, and funds paid directly to the individual and to CU in support of the individual's research.

    We encourage PIs to be transparent in their disclosures to DOD, and include all projects funded by gifts, grants or contracts, participation in Foreign Talent Recruitment Programs, as well as any unfunded projects or collaborations that require disclosure in your DEPA form.

    All senior/key project personnel.
    Disclose any additional external activities and/or sources of support that were not included in the proposal current and pending form via email to your immediate supervisor and the DOD program officer and copy ocgcompliance@colorado.edu on the email to confirm that the disclosure has been made to the sponsor.
    Disclose all current and pending projects in the Senior Key Person Profile form included in the proposal package. Failure to disclose this information may cause the proposal to be returned without further review.

    ​*Effective August 9, 2024: "According to the policy, DoD will conduct risk-based security reviews and assess potential conflicts of interest and conflicts of commitment for fundamental research proposals. If a security review exposes risks that cannot be mitigated, DoD will not fund the research. Alongside the policy, DoD also released a list of foreign entities that have been confirmed to engage in malign activities." -JSPURA

    NASA researchers are required to disclose the following information within their Current & Pending document:

    • Financial Support. This includes sponsored awards held at CU, held at another institution/entity, or held as an individual that support an investigator’s research efforts.
    • In-kind contributions. This includes non-monetary resources that are uniquely available to key personnel such as office/laboratory space, equipment, supplies, employees, students.
    • Chinese affiliations. This includes funded and unfunded support received from a Chinese entity whether such support is held at CU, held at another institution/entity, or held as an individual that support an investigator’s research efforts.

    China:  PIs and Co-PIs shall list any current and pending support with China, including Chinese universities and other similar institutions or a Chinese-owned company at the prime recipient level and at all subrecipient levels, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement.

    All senior/key project personnel.

    All NASA awards must utilize the Research Performance Progress Report (RPPR) format, unless another OMB-approved report format has been approved by the NASA program office. The RPPR is not a template or form but rather a set of standard data elements against which award recipients will report. While the RPPR does not specifically require that Investigators disclose any changes or updates to their funding status or other professional activities, it is highly recommended that Investigators contact their NASA Program Officer to determine when and how such updates may be made to avoid any potential compliance issues.

    Disclose your external activities in your upcoming Research Performance Progress Report (RPPR) and/or via an email to the NASA Program Officer named in the Notice of Award as soon as it becomes known.

    When a recipient organization discovers that a PI or other Senior/Key personnel on an active NASA award failed to disclose External Activities information outside of the RPPR, the recipient must notify the NASA Program Officer named in the Notice of Award as soon as it becomes known.

    NASA is restricted from using funds to enter into or under any grant or cooperative agreement of any kind “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.” For all NASA proposals:

    CU PIs and subawardees must provide an Assurance of Compliance to the China funding restriction:

    All senior/key project personnel must disclose all forms of research and other support and financial interests, including support coming from foreign governments or other external entities. Support can also include in-kind support such as foreign laboratory facilities (“Shadow Labs”), and other forms of unfunded support.

    Examples include: Visiting scholar/research/academic appointments with an external entity, in-kind contributions that have an associated time commitment, consulting activities for external entities that qualify for the 1/6 consulting rule, travel supported by an external entity to perform activities with an associated time commitment, participation in talent recruitment programs.

    All senior/key project personnel.
    Report the change within 30 calendar days to the EPA Project Officer. The information should also be included in the investigator’s current & pending support document and in the next due performance report.

    If an investigator on an active EPA research grant failed to disclose current and pending support information or provided inaccurate information as part of the proposal submission process, the investigator must provide the revised current and pending support information to the EPA Project Officer within 30 calendar days of the identification of the undisclosed or inaccurate current and pending support information.

    Other U.S. government agencies have suggested they will issue guidance and/or requirements in the future. Currently, NSF, NIH, DOE and DOD are the only federal sponsors who have provided institutions with expanded guidance on external activities disclosure.

    Note that any new requirements or guidance on external activities disclosure will be added to this webpage and communicated to the Office of Contracts and Grants staff.