Undue foreign influence and research security on federally funded research
SDSU strongly supports international collaboration with universities and other organizations worldwide since supporting academic freedom and resilience is a key part of SDSU’s mission.
However, it is important that all SDSU research community are aware that the US Government has expressed serious concerns regarding inappropriate influence by foreign entities cover federally funded research.
SDSU researchers may face conflicts of interest if they receive funding or other benefits from foreign entities, which may be looking to gain access to that research.
To protect U.S. investments in scientific research from undue foreign influence, SDSU established conflict of interest policies and requires researchers to disclose foreign interests.
SDSU 4:9 Conflicts of Interest Reporting and Approval Policy requires certain conflicts of interest and commitment disclosures and prior approval of specified private practice, private consulting, employment with entities outside of the University, and other related activity. Federal regulations also govern the disclosure and management of conflicts of interest. Federal provisions applicable to objectivity in research and financial conflicts of interest require certain disclosures. University employees are required to review and comply with all SDBOR provisions which control this policy and its procedures, this implementing policy, and its procedures, and controlling laws, as applicable.
Research security and foreign influence is an issue that continues to receive increased attention from the U.S. Government and all federal agencies sponsoring research at SDSU. Understanding and dealing with such challenges and related issues will help ensure responsible effective, and productive research collaborations.
According to the NSPM-33, “Foreign Government-Sponsored Talent Recruitment Program” is defined as “effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position).”
Over the past decade, the Chinese government has refined its centrally organized foreign talent recruitment plans into a strategy to “use talent to strengthen the country” by targeting the specific technology sectors previously discussed.
FGTRPs rase concern regarding national security, conflicts of interest, conflicts of commitment and intellectual property theft.
As stated by the NSPM-33 Implementation Guidance, “Research security” refers to safeguarding the U.S. research enterprise against the misappropriation of research and development to the detriment of national or economic security, related violations of research integrity, and foreign government interference.
There is an increasing need to protect federally funded research from undue foreign influence, including exploitation of the open university research environment and intellectual property theft.
Research Security mitigates risk by protecting research from:
- Theft
- Misuse
- Unauthorized Access
- Misappropriation
Research security protects research at all stages of maturity, including:
- Initial Ideas
- Peer-reviewed Journal Papers
- Fully-Developed Intellectual Property
If there is a breach of research security, researchers and the SDSU could lose:
- Credit for Ideas
- Credit for Data
- Opportunities for patents, licenses, and partnerships
If a security breach has occurred at SDSU, researchers and the SDSU jeopardizes access to future funding.
Malign Foreign Talent Recruitment Program (MFTRP)
Under the provisions of the US CHIPS and Science Act of 2022 (Subtitle D Research Security, Sections 10631, 10632 and 10638 of ), effective August 9, 2024, federal agencies are prohibited from providing funding for any proposal in which a ‘Covered Individual’ (a term used for Principal Investigator (PI), Co-PI, Senior or Key Personnel, Investigator, etc.) is participating in a Malign Foreign Talent Recruitment Program (MFTRP). The National Science Foundation (NSF) has established an effective date earlier than required and will implement this requirement for new proposals and awards as of May 20, 2024. For more details, see .
“A malign foreign talent recruitment program is defined as: A recruitment program sponsored by or located within a country deemed a country of concern by the U.S. government that offers an employee compensation for performing one or more problematic obligations or activities, which are listed below:
- People’s Republic of China
- Democratic People’s Republic of Korea (North Korea)
- Russian Federation
- Islamic Republic of Iran
- Any other country determined to be a country of concern by the Secretary of State; or
- Any entity based in a foreign country of concern; or
- An academic institution or program on a prohibited government list.
For engagement in FTRPs or activities potentially associated with a Foreign Talent Recruitment Program:
- Participation in any type of FTRP is considered an Outside Employments, Occupations, or Endeavors. Therefore, must be disclosed on the form within thirty (30) days of engaging in the new or updated outside activities and reverified annually thereafter. Changes or updates are required within (30) days of acquiring or discovering new financial interests, engaging in new outside activities, or if there are changes regarding a previously reported activity.
All SDSU employees must comply with funding sponsor policies, disclosure requirements, and certifications regarding other endeavors for profit that relate to their academic expertise and foreign talent recruitment programs.
- Disclosure Requirements
- FTRP: SDSU employees engaged in federally funded research are required to disclose participation in, or applications to, a FTRP in a Biographical Sketch or Curriculum Vitae (CV) and/or in other current and pending support documents, depending on agency requirements.
- MFTRP: Federal agencies may require certification that each covered individual is not a party to an MFTRP in the proposal submission or through just-in-time requests, and annually thereafter for the duration of the award. For most agencies, this will be required as part of the Biographical Sketch or Curriculum Vitae (CV).
In accordance with 4.9 Conflict of Interest Reporting and Approval policy, you are required to disclose your participation in any foreign talent recruitment program via SDSU annual Conflict of Interest disclosure.
SDSU requires all personnel, including researchers, faculty, staff, and students involved in research. The following training courses must be completed prior to research and must also be maintained no less than once every two years.
- Financial Conflicts of Interest: Overview, Investigator Responsibilities, and COI Rules (COI-Basic) (ID 15070)
- Conflicts of Commitment and Conscience (COI-Basic) (ID 15073)
MFTRPs require an employee to complete one or more problematic obligations or activities. These obligations may include:
If a program meets at least one criterion in Part A and B below, it is a Malign Foreign Talent Recruitment Program and federally funded researchers are prohibited from participating in it under federal law and SDSU policy.
(A) Any program, position or activity that includes any of the following compensation in the form of cash, in-kind compensation, including
- research funding,
- promised future compensation,
- complimentary foreign travel,
- things of non de minimis value,
- honorific titles,
- career advancement opportunities, or
- other types of remuneration or
- consideration directly provided
by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue,
(B) in exchange for one of the following:
- unauthorized transfer of
- intellectual property,
- materials,
- data products, or
- other nonpublic information
developed through U.S. federal funding to a foreign government or entity affiliated with a foreign country;
- being required to recruit trainees or researchers to participate in the program or activity.
- establishing a lab or company or accepting a faculty position or other employment if these activities are in violation of standard terms and conditions of a federal award.
- being unable to terminate the contract except in extraordinary circumstances.
- requiring commitments that limit the capacity to carry out a U.S. federal award or would result in substantial overlap or duplication.
- being required to apply for or successfully receive funding from the sponsoring foreign government’s funding agencies, with the foreign organization as the recipient.
- being required to omit acknowledgement of SDSU, or the U.S. federal research agency sponsor, contrary to institutional policies or standard award terms and conditions.
- being required to withhold information about participation in the program and not to disclose it to the U.S. funding agency or to SDSU, or
- having a conflict-of-interest or conflict of commitment contrary to the standard terms and conditions of the award.
Conflict of Interest Reporting and Approval Policy
South ֱ State University’s (SDSU) overarching 4:9 Conflict of Interest Reporting and Approval policy, which applies to all members of SDSU. The policy requires certain conflicts of interest and commitment disclosures and prior approval of specified private practice, private consulting, employment with entities outside of the University, and other related activity. Federal regulations also govern the disclosure and management of conflicts of interest. Federal provisions applicable to objectivity in research and financial conflicts of interest require certain disclosures. University employees are required to review and comply with all SDBOR provisions which control this policy and its procedures, this implementing policy, and its procedures, and controlling laws, as applicable.
When a SDSU employee's outside interests could potentially affect decisions they make in their capacity as a university employee, conflicts of interest may occur in the two basic categories below:
A "conflict of commitment" typically refers to circumstances where a SDSU employee's extracurricular activities have the potential to take away from the time and focus they can dedicate to their university work, which could have a detrimental effect on their performance or other assigned tasks.
- A scenario where an SDSU employee's professional obligations to other institutions and organizations they serve as professionals take precedence over other professional duties to SDSU, particularly when it comes to time and effort allocation.
A financial interest consists of one or more of the following interests of the SDSU researcher and those of the researcher’s immediate family members that reasonably appear to be related to the researcher’s responsibilities:
- When a SDSU faculty member is serving outside interest – Conducting research when any of the participants or their immediate family members have equity ownership, managerial or consulting role, or financial interest in the sponsor whose product, process, or device is under study.
- When a SDSU faculty member is accepting gifts and gratuities – Accepting gifts of more than nominal value, gratuities, or special flavors from outside entities supporting sponsored research.
- When a SDSU faculty member is consulting – Entering into paid consulting agreements that may affect research in a material way (direction, focus, timing, reporting, etc.).
- When using SDSU employees, students, or staff to perform services for an outside entity in which the researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial interest.
- When using SDSU non-reimbursed or otherwise unauthorized institutional resources such as equipment, supplies, facilities, or space to support the interests or activities of an outside entity in which a researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial conflict of interest.
- When a SDSU faculty is accessing to research information – providing unauthorized privileged access to research information or other intellectual property developed with university resources or support to an outside entity in which the researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial conflict of interest.
Prior to submitting a research application to an external Sponsor, Investigators must submit a Financial Conflict of Interest Disclosure Form to their department chair. For internally funded research that has a potential SFI, Investigators must submit a Disclosure Form to their department chair before funds are expended. During the period of award, Investigator must submit an updated Disclosure Form within 30 days of discovering or acquiring a new SFI.
Annual Disclosure
Annually, faculty disclose all conflicts of interest through the Dynamic Forms system. In addition to this disclosure, faculty will use the Disclosure Form to update previously disclosed SFIs and to disclose any new SFIs.
Outside Employment Disclosure
The Provide Practice, Private Consulting and Outside Employment Disclosure and Request for Prior Approval formis available on the Conflict-of-Interest website and must be completed and submitted if the employee conducts outside work or consultation during or outside of business hours.
Conflict of Interest Management Plan
The Conflict or Potential Conflict of Interest/Commitment Management Plan form is available on the Conflict-of-Interest website and must be completed and submitted if the employee is requested.
National Security Presidential Memo-33 (NSPM-33)
In January 2021, the White House issued National Security Presidential Memorandum-33 (NSPM-33), followed by supplemental Implementation Guidance in January 2022. Both have direct impacts on institutions of higher education that receive federal-sponsored research funds.
The primary goal of NSPM-33 is to enhance the protection of U.S. Government-supported Research and Development (R&D) against foreign interference and possible theft, while simultaneously fostering an inclusive environment that supports research breakthroughs and innovations that benefit both the United States and the global community. This directive applies to research universities that receive more than $50 million in federal research grants annually.
NSPM-33 directs agencies and departments to focus on improving research security in the following areas:
- Disclosure Requirements and Standardization
- Digital Persistent Identifiers
- Consequences for Violation of Disclosure Requirements
- Information Sharing
- Research Security Programs
NSPM-33 directs Federal agencies awarding research funds to establish policies related to the use of Digital Persistent Identifiers (DPIs) (e.g., ORCID) for researchers’ disclosure of information during grant application and progress reporting workflows.
It is important that South ֱ State University is proactive in ensuring all faculty, staff, and students conducting federally funded research are aware of these requirements and take appropriate action.