Policy regarding disclosure of research activities, affiliations and current and pending support
U.S. government background policy statement
Federal policy requires institutions with federal funding to have written and enforced policies regarding disclosure of research activities, affiliations, and current and pending support. K-State’s policy incorporates various federal regulations and policies, meeting the disclosure requirements established in NSPM-33.
NSPM-33 directs action to strengthen protections of United States Government-supported Research and Development (R&D) against foreign government interference and exploitation. 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 the United States' economic and national security.
Much of the 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 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.
Under NSPM-33, participants in R&D supported (in whole or in part) by federal support are required to disclose information related to potential conflicts of interest and commitment from participants in the Federally funded R&D enterprise. Participants’ disclosures should be provided to the organization applying for or receiving federal funding, the funding agency, or both, consistent with the funding agency's policies and applicable laws and regulations. The appropriate disclosure requirement varies depending on the individual’s role in the United States R&D enterprise.
Definitions
Information that requires safeguarding or dissemination controls consistent with applicable laws, regulations, and Government-wide policies, but is not classified.
A digital identifier that is globally unique, persistent, machine resolvable and processable, and has an associated metadata schema. Consistent with NSPM-33, digital persistent identifiers for individuals are used to disambiguate and identify an individual person.
An entity that has applied for or received an R&D award from a Federal research agency. This term has the same meaning as “entity” as defined in Section 223 of the NDAA for 2021.
Any Federal department or agency with an annual extramural research expenditure of over $100,000,000. This term has the same meaning as “funding agency” in NSPM-33.
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). 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.
An agency employee who conducts research supported by the agency in which they are employed.
K-State policy statement
In compliance with federal requirements, Kansas State University requires disclosure from covered individuals (see definitions above), including all principal investigators (PIs) and other senior/key personnel, seeking or receiving federal R&D funding (i.e., extramural funding).
Information required to be disclosed
Required disclosures include:
- Organizational affiliations and employment.
- Other support, contractual or otherwise, direct and indirect, including current and pending private and public sources of funding or income, both foreign and domestic. For researchers, other support includes all resources made available to a researcher in support of and/or related to all of their professional R&D efforts, including resources provided directly to the individual rather than through the research institution, and regardless of whether or not they have monetary value (e.g., even if the support received is only in-kind, such as office/laboratory space, equipment, supplies, or employees). This includes resources and/or financial support from all foreign and domestic entities, including but not limited to gifts provided with terms or conditions, financial support for laboratory personnel, and participation of student and visiting researchers supported by other sources of funding.
- Current or pending participation in, or applications to, programs sponsored by foreign governments, instrumentalities, or entities, including foreign government-sponsored talent recruitment programs. Agencies or their Inspectors General shall require that individuals disclose associated contract(s), upon request of the recipient research institution or the funding agency, in addition to the fact of participation.
- Positions and appointments, both domestic and foreign, including affiliations with private organizations or foreign entities or governments. This includes titled academic, professional, or institutional appointments, whether or not remuneration is received, and whether they are full-time, part-time, or voluntary (including adjunct, visiting, or honorary appointments).
For more details on required disclosures, refer to the NSF and NIH disclosure grids below.
Agencies require initial disclosures (usually collected at proposal stage or just-in-time before granting an award) and updates to disclosures, sometimes immediately upon a change in circumstances and/or at periodic intervals (i.e., annual reports).
NSPM-33 also addresses the consequences for violation of disclosure requirements, which can include the following:
- Termination of federal employment or contract.
- Termination of a grant, cooperative agreement, contract, or award.
- Preserving a grant, cooperative agreement, contract, or award, but requiring or otherwise ensuring that individual(s) do not perform work under the grant, contract, or award.
- Suspension or debarment of eligibility for Federal funding (applied to potentially the individual researcher or both the individual researcher and K-State as a whole).
- Suspension or denial of Title IV funds for K-State.
In addition to these measures, civil and criminal penalties under United States Federal and State laws may apply in some cases, such as when individuals intentionally provide incomplete or incorrect information in the grant funding process, or misappropriate trade secrets or export-controlled information.
K-State’s policy addresses the frequency of disclosure requirements, the information that is currently required for disclosure, and the roles and responsibilities for the Office of Sponsored Programs and individual researchers/covered individuals. The policy also provides information regarding methods of communication for any future changes to disclosure policies or requirements.
Frequency of disclosure requirements
Disclosure frequency and timing varies by sponsor and is determined by agency requirements provided in proposal or submission guidelines, sponsored project policies, or award terms and conditions. Covered individuals are responsible for knowing when they must disclose to a sponsor. Questions regarding terms and conditions or determining which policies to follow can be directed to Office of Sponsored Programs.
Procedures for submitting disclosures of current and pending/other support
Any current and pending or other support document must be processed through the Office of Sponsored Programs prior to submission to the sponsor. An Office of Sponsored Programs team member will review the information presented for compliance with sponsor requirements and will assist with verifying the accuracy of information available in the central system.
Federal disclosure requirements
- NIH Disclosure Table (PDF)
- NSF Disclosure Table
- DOE Disclosure Requirements (requires use of NSF Common Form; see also NSF disclosure table) (PDF)
While federal disclosure policies are ever-changing and can vary between organizations, NIH and NSF disclosure matrices provide excellent guidance for the implementation of the overarching NSPM-33 federal requirements.
Responsibilities of the Office of Sponsored Programs
- Monitor the ever-changing federal disclosure landscape and provide guidance and support to the K-State research community via Research Weekly announcements, email listservs, one-on-one assistance, and other communications.
- Work with covered individuals to ensure all appropriate information has been disclosed as accurately and completely as possible in compliance with current policies.
Responsibilities of researchers
- Disclose complete and accurate information in accordance with federal and K-State requirements, in particular those involving foreign affiliations and/or connections.
- Complete and renew all required trainings as communicated by ORICS. These include (but may not be limited to) the following mandatory trainings:
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- Export compliance.
- Responsible Conduct of Research (RCR).
- Research Security.
- Others as applicable (CITI Conflict of Interest, Controlled Unclassified Information, Human Subjects Research (HSR), Undue Foreign Influence: Risks and Mitigations, etc.)
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- Communicate with the Office of Sponsored Programs if questions or concerns arise.
- Monitor communications from Office of Sponsored Programs (e.g., Research Weekly, listservs, emails, K-State announcements) for updates on disclosure and training policies.