The Sponsored Projects Office has compiled the following information to assist campus researchers and department contracts and grants liaisons with understanding the foreign disclosure requirements that federal agencies have enacted at the various stages of the proposal and award process.

For information on the background of these foreign disclosure requirements, please review the discussion found on the Office of Research's Research Integrity International Engagement webpage. https://www.research.ucsb.edu/research-integrity/international-engagement

Please note that these requirements are constantly evolving and that this website will likely be updated regularly.  Sponsored Projects recommends referring to these resources often.

For federal agencies not listed below, please refer to the specific instructions found in the solicitation, along with any other applicable proposal preparation guidance that the agency has issued. 

National Science Foundation (NSF)

This guidance is current as of 08/26/2020.

 

 

WHERE TO REPORT:

WHAT TO REPORT:

Biosketch

All academic, professional, or institutional affiliations, positions and appointments, regardless of whether they are:

  • domestic or foreign 
  • paid or unpaid 
  • full-time, part-time, or voluntary (including adjunct, visiting, or honorary)
  • provided through the proposing organization or provided directly to the individual 

 

Upcoming required NSF-Approved formats for biographical sketch (per PAPPG):

"The requirement to use an NSF-approved format for preparation of the biographical sketch will go into effect for new proposals submitted or due on or after October 5, 2020. In the interim, proposers must continue to prepare this document in accordance with the guidance specified in the PAPPG (NSF 20-1). NSF, however, encourages the community to use the NSF-approved formats and provide valuable feedback as we enhance them for the October implementation."

Sources:

PAPPG II.C.2.f -  https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2f 

NSF-Approved Formats for the Biographical Sketch - https://www.nsf.gov/bfa/dias/policy/biosketch.jsp 

 

Current & Pending

All planned, pending and current project support and in-kind support that is either provided directly to the individual, or to the individual through their organization in support of that individual’s research endeavors, from whatever source, including, but not limited to:

  • federal, state, local, or foreign agencies or entities
  • public or private foundations; non-profit organizations
  • industrial or other commercial organizations
  • internal funds allocated toward specific projects
  • consulting agreements
 

This includes, but not limited to:

  • In-kind resources from other institutions or external sources, e.g., office or lab space, equipment, supplies, employees, and students. 
    • Employees include postdocs and visiting scholars receiving support from external sources of funding. If the funding is provided directly to the postdoc or visiting scholar personally, it is not considered an in-kind resource but may be reportable in the Facilities, Equipment and Other Resources section of the proposal. For more information about the Facilities, Equipment and Other Resources document see below under “Other.”
  • Mentoring activities that support undergraduate or graduate students, where the PI/senior personnel receive in-kind support from an external source, either directly or through their organization
  • Grants to the investigators from foreign sources
  • Start-up packages from sources other than the proposing organization
  • Other external sources of support, regardless of whether they are provided to UCSB or directly to the individual

 

All projects and activities that require a time commitment must be reported (no minimum has been established), even if the support received is only in-kind or otherwise does not have monetary value. (See directly above, regarding in-kind resources.)

 

Regarding “Gifts” -

  • An item or service does not need to be reported on Current & Pending if it is determined to be a "gift", which, by definition, is given without expectation of anything in return.  NSF's definition of "gift" includes "any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, license, special access, equipment time, samples, research data, or other item having monetary value." The definition of "gift" also includes "services as well as gifts of training, transportation, local travel, lodging, meals, research hours, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has occurred".
  • However, if the item or service is given with the expectation of an associated time commitment, it does not meet NSF’s definition of a “gift” and should be reported as an in-kind contribution.  
  • In-kind contributions that are not intended to be used on the project/proposal being proposed to NSF must be reported in the Current & Pending section. In-kind contributions that are intended to be used on the project/proposal being proposed to NSF must be included as part of the Facilities, Equipment and Other Resources section.

 

 Upcoming required NSF-Approved formats for Current & Pending Support (per PAPPG):

"The requirement to use an NSF-approved format for preparation of current and pending support will go into effect for new proposals submitted or due on or after October 5, 2020. In the interim, proposers must continue to prepare this document in accordance with the guidance specified in the PAPPG (NSF 20-1). NSF, however, encourages the community to use the NSF-approved formats and provide valuable feedback as we enhance them for the October implementation."

 

Sources:

PAPPG II.C.2.h (Current & Pending Support) -  - https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2h 

PAPPG II.C.2.i (Facilities, Equipment and Other Resources) -  https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2i 

Significant Changes and Clarifications to the PAPPG  -  https://nsf.gov/pubs/policydocs/pappg20_1/sigchanges.jsp 

Frequently Asked Questions on Current and Pending Support (Updated July 30, 2020) - https://www.nsf.gov/bfa/dias/policy/papp/pappg20_1/faqs_cps20_1.pdf 


 

Other

Facilities, Equipment and Other Resources  -

  • In-kind contributions intended for use on the project/proposal being proposed to NSF (these do not need to be replicated in the Current & Pending section).
    • As noted above in the NSF Current & Pending section, in-kind support includes office or lab space, equipment, supplies, employees, and students.   Employees include postdocs and visiting scholars receiving support from external sources of funding.
    • If the funding is provided directly to the postdoc or visiting scholar personally, but will benefit the project, it is reportable in the Facilities, Equipment and Other Resources section of the proposal.
  • All substantial unfunded foreign collaborations (also include letter of collaboration).
  • PI/senior personnel effort when no salary is being requested

 

Sources:

PAPPG II.C.2.h (Current & Pending Support) -  - https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2h 

PAPPG II.C.2.i (Facilities, Equipment and Other Resources) -  https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2i 

Frequently Asked Questions on Current and Pending Support (Updated July 30, 2020) - https://www.nsf.gov/bfa/dias/policy/papp/pappg20_1/faqs_cps20_1.pdf 

 

Cover Sheet and Project Description - 

  • All research, training, and/or education which involves international counterparts, whether in-person or virtually 
  • All subawards, consulting agreements or other forms of funding to foreign entities or individuals

 

Sources:

PAPPG II.C.2.a(i) (Cover Sheet - Other Information) -  https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2a 

PAPPG II.C.2.d (Project Description) -  https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2d 

 

Collaborators and Other Affiliations -

  • All affiliations, both foreign and domestic, that are listed for PIs and senior project personnel  must be complete and accurate.

 

Sources:

PAPPG II.C.1.e (Collaborators and Other Affiliations) -   https://nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC1e 

 

WHERE TO REPORT:

WHAT TO REPORT:

Proposal Update

If the Proposal Update seeks information regarding the Biosketch, Current & Pending, or other items listed above, ensure that all new or previously unreported information addressed in the categories listed in the Proposal Submission Stage section is included.

 

WHERE TO REPORT:

WHAT TO REPORT:

(If Applicable)

Other Request - Research.gov 

NSF’s award terms and conditions require UCSB to identify undisclosed current support or in-kind contributions that were active as of the date the proposal was submitted to NSF. If undisclosed information is discovered, UCSB has 30 calendar days to submit a Post-Award Disclosure of Project Support Information and/or Post-award Disclosure of In-Kind Contribution Information report in NSF’s Research.gov system. 

 

If undisclosed information that was active as of the date the proposal was submitted to NSF is identified, please contact the Sponsored Projects team immediately for further guidance. UCSB is required to report undisclosed information within 30 calendar days of discovery.

 

(This 30-day reporting requirement remains in effect during the entire life of the award.)
 

 

WHERE TO REPORT:

WHAT TO REPORT:

Post-Award Reports (RPPR)

All new or previously unreported information in the categories listed in the Proposal Submission Stage section, above. The RPPR calls for detailed information with respect to PIs, co-PIs, senior personnel, and others working on the project, including information regarding both domestic and foreign sources of funding that supported their participation on the project.  The RPPR also requires disclosure of domestic and foreign collaborations and partnering organizations that have been involved with the project.  

 

Source:

https://www.research.gov/common/attachment/Desktop/NSF_RGov_RPPR_ScreenshotsandInstructions.pdf 

 
 

(If Applicable)

Other Request - Research.gov 

NSF’s award terms and conditions require UCSB to identify undisclosed current support or in-kind contributions that were active as of the date the proposal was submitted to NSF. If undisclosed information is discovered, UCSB has 30 calendar days to submit a Post-Award Disclosure of Project Support Information and/or Post-award Disclosure of In-Kind Contribution Information report in NSF’s Research.gov system. 

 

If undisclosed information that was active as of the date the proposal was submitted to NSF is identified, please contact the Sponsored Projects team immediately for further guidance. UCSB is required to report undisclosed information within 30 calendar days of discovery.

 

(This 30-day reporting requirement remains in effect during the entire life of the award.)

National Institutes of Health (NIH)

This guidance is current as of 08/26/2020.

 

WHERE TO REPORT:

WHAT TO REPORT:

Biosketch

All domestic and foreign positions, appointments and affiliations (regardless of whether they are paid, unpaid, volunteer, guest, adjunct, honorary) that are relevant to the application.

 

Foreign Component1


1Must be reported, even if activities are not supported by NIH funds.

Performance of any significant part of an NIH project outside of the U.S., including, but not limited to:

  • international collaborations involving activities outside of the U.S.
  • other research activities related to the grant, performed at a foreign location
 

 

WHERE TO REPORT:

WHAT TO REPORT:

 

Other Support

All resources that have been made available in support of the research endeavors of all principal investigators and persons designated as senior/key personnel2,  regardless of whether such resources:

  • are Federal or non-Federal
  • are commercial or institutional
  • are domestic or foreign
  • have monetary value or are in-kind
  • involve work is performed inside or outside of a researcher's appointment period
  • are awarded through UCSB, through another institution, or provided directly to the researcher

This includes research grants, cooperative agreements, contracts, and/or institutional awards3, along with in-kind resources, such as:

  • financial support for laboratory personnel
  • lab or office space
  • equipment
  • research materials
  • staff (including post-docs and visiting scholars, including those supported by a foreign institution)
  • high-value materials that are not freely available (such as  biologics, chemical, model systems, technology, etc.).
  • income, salary, consulting fees, and honoraria in support of an individual's research endeavors

All positions and scientific appointments that are relevant to an application, including:

  • academic, professional, and institutional appointments, regardless of whether they are:
    • domestic or foreign
    • paid or unpaid
    • full-time or part-time
    • voluntary, adjunct, visiting, or honorary
  • affiliations with foreign entities or governments
  • foreign ‘talents’ or similar-type programs 

All domestic and foreign research collaborations that directly benefit the researcher’s research endeavors.  

2Senior/key personnel is defined as “other contributors to the project’s scientific development or execution when their involvement is substantive and measurable, whether or not salaries or compensation is requested.”

3Training awards, prizes, or gifts do not need to be included. Currently, it is not required to report support for attendance or hosting conferences, or travel expenses to give a talk, if they are unrelated to research activities.   

Please note that, according to NIH, applicants are responsible for promptly notifying NIH of any substantive changes to previously submitted Just-in-Time information up to the time of award. 

 

WHERE TO REPORT:

WHAT TO REPORT:


Post-Award Reports (RPPR)

New or previously unreported resources that have been made available in support of the research endeavors of all principal investigators and persons designated as senior/key personnel4,  regardless of whether such resources:

  • are Federal or non-Federal
  • are commercial or institutional
  • are domestic or foreign
  • have monetary value or are in-kind
  • involve work is performed inside or outside of a researcher's appointment period
  • are awarded through UCSB, through another institution, or provided directly to the researcher

This includes research grants, cooperative agreements, contracts, and/or institutional awards5, along with in-kind resources, such as:

  • financial support for laboratory personnel
  • lab or office space
  • equipment
  • research materials
  • staff (including post-docs and visiting scholars, including those supported by a foreign institution)
  • high-value materials that are not freely available (such as  biologics, chemical, model systems, technology, etc.).
  • income, salary, consulting fees, and honoraria in support of an individual's research endeavors

New or previously unreported positions and scientific appointments that are relevant to an application, including:

  • academic, professional, and institutional appointments, regardless of whether they are:
    • domestic or foreign
    • paid or unpaid
    • full-time or part-time
    • voluntary, adjunct, visiting, or honorary
  • affiliations with foreign entities or governments
  • foreign ‘talents’ or similar-type programs 

New or previously unreported domestic and foreign research collaborations that directly benefit the researcher’s research endeavors.  

4Senior/key personnel is defined as “other contributors to the project’s scientific development or execution when their involvement is substantive and measurable, whether or not salaries or compensation is requested.”

5 Training awards, prizes, or gifts do not need to be included. Currently, it is not required to report support for attendance or hosting conferences, or travel expenses to give a talk, if they are unrelated to research activities.   

Please note that, according to NIH, if other support is obtained after the initial NIH award period, from any source either through the institution or directly to senior/key personnel, the details must be disclosed in the annual research performance progress report (RPPR). 

 

Prior Approval Request for Foreign Component6

6 Must be reported and approved, even if activities are not supported by NIH funds. Please contact NIH with questions as to the permissibility of new outside appointments or sources of support.

 

Performance of new or previously unreported activities involving any significant part of an NIH project outside of the U.S., including, but not limited to:

  • international collaborations involving activities outside of the U.S.
  • other research activities related to the grant, performed at a foreign location

 

 

National Aeronautics and Space Administration (NASA)

This guidance is current as of 08/26/2020.

WHERE TO REPORT:

 

WHAT TO REPORT:

Biosketch

The biographical sketch must include professional experiences and positions, along with a bibliography of publications, especially those relevant to the proposed investigation.  A description of scientific, technical and management performance on relevant prior research efforts must also be included.

 

Please refer to the  NASA Guidebook for Proposers Responding to a NASA Funding Announcement for further details regarding biosketch requirements. https://prod.nais.nasa.gov/pub/pub_library/srba/documents/2020_edition_Proposers_Guidebook.pdf

 

Also be sure to check solicitation for any program-specific requirements.

 

Current & Pending

PIs and Co-PIs must provide full disclosure of  all ongoing and pending projects and proposals, both domestic and foreign, regardless of whether salary support is received, and in which they are performing or will perform any part of the work.  Co-Is proposing to spend 10% or more of their time to the proposed effort must disclose ongoing and pending projects and proposals that require greater than 10% of their time.

 

Current and pending support is not required for Co-Is at non-U.S. institutions, and is usually not required for students (although it may be requested).

 

Please refer to the  NASA Guidebook for Proposers Responding to a NASA Funding Announcement for further details regarding current and pending support. https://prod.nais.nasa.gov/pub/pub_library/srba/documents/2020_edition_Proposers_Guidebook.pdf

 

Also be sure to check solicitation for any program-specific requirements.

 

Other - NASA China Certifications and Questionnaire

According to Grant Information Circular 12-01 Class Deviation Implementing Nasa Restrictions On Funding Activities With The People's Republic Of China (Prc) Effective April 25, 2011 (https://prod.nais.nasa.gov/pub/pub_library/grantnotices/gic12-01.html)

 

“NASA is restricted by specific applications of Section 1340(a) of The Department of Defense and Full-Year Appropriations Act, Public Law 112-10 (NASA's 2011 continuing resolution), and Section 539 of the Consolidated and Further Continuing Appropriation Act of 2012, Public Law 112-55 (NASA's FY 2012 appropriation) from using funding appropriated in the Acts to enter into or fund 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.”

 

In order to ensure compliance with the above, the Sponsored Projects Office requires Principal Investigators to submit certain  signed documents at proposal stage:

 

A.  NASA GRANTS AND COOPERATIVE AGREEMENTS

 

(1) NASA Certification for Grants and Cooperative Agreements -  https://www.research.ucsb.edu/sites/default/files/forms/spo/pi%20cert%20nasa%20assistance%20agree_12.10.13.docx

 

For grants and cooperative agreements, NASA is forbidden by law from having the following take place as part of the NASA scope of work for grants, cooperative agreements, and contracts awarded to UCSB, regardless of whether such arrangements are funded by the NASA award:

  • Bilateral participation, collaboration, or coordination with The People's Republic of China (PRC),
  • Bilateral participation, collaboration, or coordination with any company owned by the People's Republic of China
  • Bilateral participation, collaboration, or coordination with any company (including a Chinese university) incorporated under the laws of the People's Republic of China (including Hong Kong and Macau, but not Taiwan). 

 

Principal Investigators must certify that they will not enter or cause The Regents of the University of California to enter into a bilateral subaward, memorandum of understanding, collaboration agreement, or any other type of written bilateral agreement with the PRC as defined above.  (Vendor agreements for acquisition of commercial and non-developmental items are excluded from this certification.)

 

When submitting proposals and accepting NASA grants or cooperative agreements, the Principal Investigator is required to sign the certification and submit it to the Sponsored Projects Office as a condition of proposal submission.

 

(2) NASA China Questionnaire for Grants and Cooperative Agreements - 

https://www.research.ucsb.edu/sites/default/files/forms/spo/nasa%20assist%20award%20questionnaire_12.16.13.docx

 

For all grant and cooperative agreement proposals, the lead Principal Investigator must complete and return the following questionnaire to the Sponsored Projects Office, on their own behalf and on behalf of all persons performing any part of the Scope of Work on a NASA grant or cooperative agreement (“Participants”), whether this performance is funded or unfunded, on-campus or remote.  Should PI not know the answers for any Participant, the PI must obtain the necessary information from these Participants. 

 

This questionnaire must be completed, signed and submitted to Sponsored Projects as a condition of proposal submission. The PI is required to update this questionnaire as needed during the life of the project.

The questionnaire asks the following:

  • Is any Participant employed by the Chinese government or a Chinese owned company or university?
  • Does any non-student Participant receive salary support from the Chinese government or a Chinese owned company or university?
  • Does any non-student Participant receive any incidental financial compensation, such as housing or transportation, from the Chinese government or a Chinese owned company or university?
  • Does any Participant have a written agreement to become (or to return as) an employee of the Chinese government or a Chinese owned company or university?
  • Is any Participant enrolled at a Chinese university or does any Participant have a written agreement to become (or to return as) as a student of a Chinese university?
  • If a Participant is a student, does such Participant receive any type of financial support (other than a scholarship) from the Chinese government or a Chinese owned company or university?
  • Does any Participant receive research materials or any other type of goods from China or a Chinese owned company or university? (Do not include the purchase of commercial supplies needed to perform the NASA award scope of work.)
  • Is any Participant co-authoring a paper with a person from China or a Chinese owned company or university that is the result of activity funded by NASA after April 2011?

 

B.  NASA CONTRACTS - 

 

Certification for Contracts -  https://www.research.ucsb.edu/sites/default/files/forms/spo/pi%20cert%20nasa%20contracts_12.10.13.docx

 

For contracts, NASA is forbidden by law from from contracting to participate, collaborate, coordinate bilaterally in any way with China or a Chinese-owned company* using funds appropriated on or after April 25, 2011. These restrictions apply regardless of whether they occur at the prime recipient level or at any subrecipient level, and whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement

 

(Contracts for commercial and non developmental items are exempted from the prohibition because they constitute purchase of goods or services that would not involve participation, collaboration, or coordination between the parties.)

 

UCSB must not contract with China or Chinese-owned companies for any effort related to the contract, except for acquisition of commercial and non-developmental items. If an award to China or Chinese-owned companies is anticipated, UCSB must contact the contracting officer to determine if funding on the contract can be used for that purpose.

 

These restrictions must be flowed down to any subcontracts involved in the project.

 

Principal Investigators must certify that they will not enter or cause The Regents of the University of California to enter into a bilateral contract or subcontract with The People's Republic of China (PRC), any company owned by the People's Republic of China or any company (including a Chinese university) incorporated under the laws of the People's Republic of China (including Hong Kong and Macau, but not Taiwan) to perform the scope of work of the NASA prime contract, whether or not such contracts or subcontracts are funded by the NASA prime contract.  (Vendor agreements for acquisition of commercial and non-developmental items are excluded from this certification.)

 

* “China” or “Chinese-owned company” is defined as the People’s Republic of China, any company owned by the People’s Republic of China or any company incorporated under the laws of the People’s Republic of China.

 

References:

https://prod.nais.nasa.gov/pub/pub_library/grantnotices/gic12-01A.html

https://researchmemos.ucop.edu/php-app/index.php/site/document?memo=UlBBQy0xMy0wNg==&doc=3689

 

   

WHERE TO REPORT:

 

WHAT TO REPORT:

Proposal Update

If the Proposal Update seeks information regarding the biosketch or current and pending support, ensure that any new or previously unreported required information is included.

 

Also, principal investigators must contact the Sponsored Projects Office if any of the responses on the China Questionnaire have changed.

 

WHERE TO REPORT:

 

WHAT TO REPORT:

Post-Award Reports (RPPR)

All new or previously unreported information in required categories listed in biosketch or current and pending support sections, above.

 

Principal Investigators must also contact the Sponsored Projects Office if any of the responses on the China Questionnaire have changed.

 

 

Department of Defense (DOD)

This guidance is current as of 08/26/2020.

WHERE TO REPORT:

 

WHAT TO REPORT:

Biosketch

Full disclosure of academic/professional affiliations, positions and appointments, including both domestic and foreign positions is required.

 

Refer to program solicitation instructions for further detail and/or additional requirements.

 

Also be sure to check solicitation for any program-specific requirements.

 

Current & Pending

On March 20, 2019, the Department of Defense issued a memorandum that established new current and pending support requirements for Notices of Funding Opportunities for research and research-related educational activities. These requirements were implemented for the following purposes:

 

  1. To support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security; and
  2. To limit undue influence, including through foreign talent programs, by countries to exploit United States technology within the Department of Defense research, science and technology, and innovation enterprise.

 

As of April 20, 2019, all key personnel must submit current and pending support documentation that includes the following:

 

  • A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.
  • Title and objectives of the other research projects.
  • The percentage per year to be devoted to the other projects.
  • The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.
  • Name and address of the agencies and/or other parties supporting the other research projects.
  • Period of performance for the other research projects.

 

This information is required for all key personnel, regardless of whether their their efforts under the project are to be funded by the DOD.

 

Failure to submit this information may cause a proposal to be returned without further review.  Additionally, the DOD has stated that it reserves the right to request further details from a proposer before making a final determination on funding the effort.

 

Note that a particular program solicitation may include additional or differing requirements for current support documentation, and should be reviewed closely.

 

DOD March 20, 2019 Memo -

https://www.aau.edu/sites/default/files/Blind-Links/OUSDResearchProtectionMemo.pdf

 

 

 

WHERE TO REPORT:

 

WHAT TO REPORT:

Proposal Update

If the Proposal Update seeks information regarding the biosketch or current and pending support, ensure that any new or previously unreported required information is included.

 

WHERE TO REPORT:

 

WHAT TO REPORT:

Post-Award Reports (Technical Report)

Information regarding all participants on the project (including those who were not paid) must be reported, and countries of foreign participants must be identified.

 

Refer to Technical Report instructions for further details. 

 

Department of Energy (DOE)

This guidance is current as of 08/26/2020.

WHERE TO REPORT:

 

WHAT TO REPORT:

Biosketch

Full disclosure of academic/professional affiliations, positions and appointments, including both domestic and foreign positions is required.

 

Also be sure to check solicitation for any program-specific requirements.

 

Current & Pending

Full disclosure of current and pending support is required, including both domestic and foreign sources is required.

 

Also be sure to check solicitation for any program-specific requirements.

 

Other

On June 7, 2019, DOE issued Order No. 486.1, which requires that, in many cases, contractors who perform work within the scope of a DOE contract or subcontract must fully disclose and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs. Talent recruitment programs are defined to include “any foreign-state-sponsored attempt to acquire US scientific-funded research or technology through foreign government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working or educated in the United States”.

 

In conjunction with this foreign talent program prohibition for DOE contractors, new quarterly reporting relating to senior or key personnel have been imposed. (See post-award reporting, below.)

 

Although this directive currently applies to DOE contracts, it is expected that the ban on participating in foreign talent recruitment programs may be extended to cooperative agreements and grants at some point in the future.

 

Sources:

DOE Order No. 486.1 re: Foreign Government Talent Recruitment Programs, dated June 7m 2019 -

https://www.directives.doe.gov/directives-documents/400-series/0486.1-BOrder/@@images/file

 

DOE bars its researchers from participating in rival nations’ talent programs. Physics Today, June 20, 2019 -

https://physicstoday.scitation.org/do/10.1063/PT.6.2.20190620a/full/

 

 

WHERE TO REPORT:

 

WHAT TO REPORT:

Proposal Update

If the Proposal Update seeks information regarding the biosketch or  current & pending, ensure that all new or previously unreported information is included.

 

WHERE TO REPORT:

 

WHAT TO REPORT:

Post-Award Reports (RPPR)

In connection with its ban on contractors participating in foreign talent recruitment programs (see above), DOE has implemented quarterly reporting requirements that seek certain information for senior or key personnel:

 

“With respect to the work being performed under this contract, the contractor must utilize due diligence to ensure that neither it nor any of its employees, applicable subcontractor employees or joint appointees, working at any level, participate in a foreign government talent recruitment program of a foreign country of risk while performing work within the scope of the DOE contract. The contractor must file reports with DOE on a quarterly basis stating whether it or any such employees or joint appointees are participants in a foreign government talent recruitment program of a foreign country of risk, or whether the contractor has a reasonable basis to report such employees or joint appointees as a participant in a foreign government talent recruitment program of a foreign country of risk”

 

Additionally, if it becomes known that someone working on the DOE contract has been involved in a foreign government talent recruitment program, the contractor have five days to notify the DOE.

 

“The contractor must notify the Office of Intelligence and Counterintelligence within 5 business days upon, at any time during the term of the contract, including options and extensions, learning that it or any of its employees, applicable subcontractor employees, or joint appointees are or are believed to be participants in a foreign government talent recruitment program of a foreign country of risk.”

 

Source:

https://www.directives.doe.gov/directives-documents/400-series/0486.1-BOrder/@@images/file