UW Health Sciences Library

September 18, 2018

Foreign Influence on Federally Sponsored Research – Guidance (UW Office of Research)

The UW Office of Research (OR) notified members of the UW research community about guidance from the NIH and NSF regarding national security in higher education and research organizations.

NIH’s “focus will be on improved compliance with respect to mandatory reporting of all sources of research support, financial interests and relevant affiliations as well as steps to reduce risk to IP security.”

In part, the UW OR message reads:

What does this mean for proposals, progress reports, and SFI (Significant Financial Interest) disclosure at the UW?

UW researchers whose research is supported with federal funding should update their other support documentation, including NIH Other Support, if it will be or is currently NIH funded.  For NSF current and pending support, include all sources of support and commitments of time, even if not receiving salary support.

Biosketches should be current and thorough.

For key personnel, progress reports should indicate any change in support that occurred over the last budget year.

In addition, SFI disclosures need to occur prior to an application being submitted, annually thereafter, and whenever SFI changes.  Approval for relationships with outside entities, including foreign entities and governments must be requested in advance as described in Executive Order 57: Outside Professional Work for Compensation.

Inventions must be promptly reported:

·     To CoMotion, the University’s technology transfer office.

·     To federal research sponsors as part of progress reporting.

Researchers must take reasonable efforts to protect the University’s interest (and, in the case of federally-sponsored research, the federal government’s interest) in intellectual property developed in the course of their UW research.

Intellectual property developed under a sponsored research agreement is subject to the University’s policy on UW IP Disposition in Sponsored Program Agreements.

Individuals serving on NIH, NSF or other federal agency scientific peer review panels should note and comply with all requirements to maintain the confidentiality of the information in research grant applications.

Guidance and Resources

We expect further guidance on inclusion of appropriate sources of support and affiliations will be provided by NIH and NSF but, in the meantime, please take a look at current NIH and NSF requirements, as well as relevant UW policies:

·     NIH: Other Support

·     NIH: Biosketch Format, Instructions and Samples

·     PHS: Promoting Objectivity in Research

·     GIM 10: Financial Conflict of Interest Policy

·     NSF:  Current and Pending Support

·     NSF: Biographical Sketch(es) – Synergistic Activities

·     NSF: Collaborations and Other Affiliations

·     GIM 40: UW Intellectual Property Disposition in Sponsored Program Agreements

·     Executive Order 36: Patent, Invention and Copyright Policy

·     Executive Order 57: Outside Professional Work for Compensation

Other federal agency sponsors may have different requirements.  Please check the specific funding opportunity announcement and relevant agency grant policies for individual applications.

Questions about the policies cited above should be directed to the responsible UW central administrative unit.  Other questions may be submitted to the Office of Research research@uw.edu.