Addressing Conflicts of Interest and Foreign Influence in Federal Disclosure
Expanded federal disclosure requirements aim to address conflicts of interest, strengthen research security, and promote international R&D cooperation. Recent developments include National Security Presidential Memorandum 33, JCORE recommended practices, and Interim National Security Strategic Guidance to enhance the security and integrity of America's research enterprise. These initiatives focus on raising awareness of research security risks, managing access, providing training, and managing collaboration risks, among other key aspects.
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Expanded Federal Disclosure Requirements: Addressing Conflicts of Interest/Commitment and Foreign Influence March 18, 2021
Recent Developments National Security Presidential Memorandum 33 (1/14/21) Recommended Practices for Strengthening the Security and Integrity of America s Science and Technology Research Enterprise (1/19/21) Interim National Security Strategic Guidance (3/3/21) FY2021 National Defense Authorization Act (1/1/21)
NSPM-33 Provides direction to Federal agencies in 8 categories Raise awareness of research security risks and protections Strengthen disclosure requirements and processes Limit/Manage access and participation* Vetting of foreign students and researchers** Information sharing Research security training Risk Identification and analysis Promote and protect international R&D cooperation Aligned with the JCORE Recommended Practices for Strengthening the Security and Integrity of America s Science and Technology Research Enterprise 3
JCORE Recommended Practices 21 Recommendations for a balanced, behavior- and risk-based approach that supporting 5 high-level objectives: Demonstrate organizational Leadership and oversight (1-4); Establish an expectation of openness and transparency (5-9); Provide and share training, support, and information (10-14); Ensure effective mechanisms for compliance with organizational policies (15-17); and Manage potential risks associated with collaborations and data (18-19). Implementation of the recommendations can make significant contributions to enhancing the security and integrity of America s research enterprise Practices align with and support foundational principles and values 4
Interim National Security Strategic Guidance Sustain America s innovation edge to improve the lives of all Americans Double down on science and technology investments, including R&D Protect our investments with vigilance and foresight, to forge and extend enduring strategic advantages. Expand our S&T workforce with investments in STEM education Ensuring our immigration policy incentivizes the worlds brightest to study, work, and stay in America. Shape emerging technology standards to boost our security, economic competitiveness, and values Partner with democratic friends and allies to amplify our collective competitive advantages 5
FY21 NDAA Section 223 Codifies federal-wide requirements for individual disclosures in proposals/reports Defined terms federal research agency covered individuals research and development award Entity current and pending research support (next slide) Defines potential penalties for non-compliance FOREIGN SUPPORT AND AFFILIATIONS | Research (virginia.edu) 6
Current and Pending Research Support (FY21 NDAA) A. all resources made available, or expected to be made available to an individual in support of the individual s research and development efforts, regardless of i. whether the source of the resource is foreign or domestic; ii. whether the resource is made available through the entity applying for a research and development award or directly to the individual; or iii. whether the resource has monetary value; and B. includes in-kind contributions requiring a commitment of time and directly supporting the individual s research and development efforts, such as the provision of office or laboratory space, equipment, supplies, employees, or students. 7
FY21 NDAA Section 223 Recap No value threshold Applies to all foreign and domestic sources of R&D support Includes resources provided to the institution (e.g., grants, contracts, NFAs) or directly to the individual (e.g., travel, facilities, student/staff, compensation) Explicitly includes in-kind support Potential penalties for noncompliance may be assessed against the individual, institution, or both 8
Recent UVA Actions Updated content on Foreign Support and Affiliation in the COI system Will be live for disclosure made after XX/XX/2021 Acknowledgement ONLY Does not change disclosure obligations under RES-005 Updates to Foreign Influence content on the Research website Sponsor Information (e.g., NIH NOT-OD-21-073; DOE Orders 142.3B and 486.1A; and NSF FAQs) What should I do? (e.g., Foreign Support and Affiliations information from COI System) Resources CITI s Undue Foreign Influence: Risks and Mitigations course is now available 9
UVA Ongoing Efforts Development of the Huron Grants, Agreements and Disclosure modules Looking for efficiencies (reduce administrative burden/duplication of effort) Enhanced transparency (right people / right time) Improved documentation (review and management) Discussions with Provost s Office regarding Conflict of Commitment (COC) Scope Population Method and System Timing Ongoing Monitoring TBD 10
USG References FY21 NDAA, Section 223: https://www.congress.gov/116/bills/hr6395/generated/BILLS- 116hr6395enr.html#toc-H02BB4EBC9BAB4402A9785DD7B1422246 NSPM-33: https://trumpwhitehouse.archives.gov/presidential-actions/presidential-memorandum- united-states-government-supported-research-development-national-security-policy/ JCORE Recommendations: https://trumpwhitehouse.archives.gov/wp- content/uploads/2021/01/NSTC-Research-Security-Best-Practices-Jan2021.pdf Interim National Security Strategic Guidance: https://www.whitehouse.gov/wp- content/uploads/2021/03/NSC-1v2.pdf NIH NOT-OD-21-073: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-21-073.html DOE Orders: 142.3B Unclassified Foreign National Access and 486.1A Foreign Government Sponsored or Affiliated Activities NSF FAQs: https://www.nsf.gov/bfa/dias/policy/papp/pappg20_1/faqs_cps20_1.pdf 11
UVA Resources UVA Foreign Influence home: https://research.virginia.edu/compliance/research- regulations/foreign-influence-federally-sponsored-research Sponsor Information: https://research.virginia.edu/sponsor-information What should I do? https://research.virginia.edu/what-should-i-do Best Practices: https://research.virginia.edu/best-practices Available Training:Undue Foreign Influence: Risks and Mitigations course from CITI. See the Resources (https://research.virginia.edu/resources) for more information and access instructions. UVA Policies RES-005, Financial Conflicts of Interest for Research Investigators: https://uvapolicy.virginia.edu/policy/RES-005 PROV-O09, Faculty Holding Appointments at Other Institutions or Organizations: https://uvapolicy.virginia.edu/policy/PROV-009 HRM-045, Faculty External Consulting and Internal Overload: https://uvapolicy.virginia.edu/policy/HRM-045 RES-009, Compliance with Sponsor Requirements: https://uvapolicy.virginia.edu/policy/RES-009 UVA Research Data Security home: https://research.virginia.edu/research-data-security Email questions to OVPR at foreigninfluence@virginia.edu. 12
Discussion 13
JCORE Recommended Practices 1. Convey the importance of research security and integrity at the leadership level. 2. Ensure an organizational approach to research security. 3. Establish research security and integrity working groups and task forces. 4. Establish and operate a comprehensive research security program. 5. Establish and administer organizational policies regarding COI, COC, and disclosure. 6. Require disclosure to the organization of all information necessary to identify and assess potential COI/C. 7. Ensure compliance with Department of Homeland Security requirements for reporting foreign students and foreign researcher information. 8. Establish policies regarding digital persistent identifiers. 14
JCORE Recommended Practices 9. Ensure compliance with requirements for reporting foreign gifts and contracts. 10. Provide training to participants in the research enterprise on the RCR. 11. Provide guidance for those considering participation in foreign government-sponsored talent recruitment programs. 12. Partner with local FBI field offices to strengthen research security. 13. Increase awareness of and protections against circumstances and behaviors that may indicate risk to research security and integrity. 14. Share information regarding potential violations of disclosure policies. 15. Establish and exercise effective means of discovering violations of disclosure policies and other activities that threaten research security and integrity. 15
JCORE Recommended Practices 16. Ensure appropriate and effective consequences for violation of disclosure requirements and engagement in other activities that threaten research security and integrity. 17. Include in employment agreements provisions that support research security and integrity. 18. Establish a centralized review and approval process for evaluating formal research partnerships. 19. Establish and operate a risk-based security process for foreign travel review and guidance. 20. Managing potential risks associated with foreign visitors and visiting scholars. 21. Establish and maintain effective data security measures. 16
