Improper Foreign Influence

Emerging Federal Guidance on Improper Foreign Influence

Recently, the issue of improper foreign influence in academic research has received considerable attention from federal agencies and policymakers due to identified threats to our national security in the form of intellectual property diversion by foreign actors.  While Cal Poly supports international collaboration and values its partnerships with universities and other organizations worldwide, it is important that we all support the research enterprise by complying with regulatory requirements. 

Federal agencies and policy makers have issued statements expressing growing concerns over the potential for foreign influence in several areas:

• Failure by some researchers to disclose substantial contributions of resources from other organizations, including foreign governments and foreign governments via foreign research institutions;
• Diversion of intellectual property to foreign entities;
• Sharing of confidential information by peer reviewers with others, including in some instances with foreign entities, or otherwise attempting to influence funding decisions.

Federal funding agencies have put in place new regulatory policies that apply to those individuals and teams requesting grants and research contracts from the Federal government and the individuals and teams that are recipients of Federal funding or flow-through funding.  

At this time there are no federal regulations or policies in place that prohibit agencies from awarding funds to researchers with research support from foreign governments, although there is legislation in process that may limit some awards in the future.  If you’d like to discuss a potential relationship you can contact Research Integrity & Compliance ( research-compliance@calpoly.edu ) with questions.

Commitment to Nondiscrimination

The California State University is committed to maintaining an inclusive community that values diversity and fosters tolerance and mutual respect.  The California State University prohibits discrimination, including harassment, because of protected status: i.e., on the basis of age, disability (physical and mental), gender (or sex), gender identity (including transgender), gender expression, genetic information, marital status, medical condition, nationality, race or ethnicity (including color and ancestry), religion (or religious creed), and veteran or military status – as these terms are defined in CSU Systemwide Policy Prohibiting Discrimination, Harassment & Retaliation, Sexual Misconduct, Dating & Domestic Violence, & Stalking Against Students & Procedure for Addressing, Executive Order 1097 Revised August 14, 2020 and any successor policy (http://www.calstate.edu/eo/EO-1097-rev-8-14-20.pdf).

Steps You Should Take to Ensure Compliance

R-EDGE wants to emphasize to the Cal Poly research community that full and timely disclosure regarding research support, external professional appointments and relationships, and conflicts of commitment are essential to the transparency the federal government requires of its awardees.  We ask that all researchers remain mindful of the following requirements when requesting, receiving, or spending funds from Federal agencies:

Transparency in disclosure

• Be thorough and complete in accounting for all forms of research support, including from foreign sources and gifts in NSF’s Current and Pending, NIH’s Other Support, and similar documentation submitted to other federal sponsors.
  • Note that the Federal Governments expectation for reporting external commitments includes all commitments, even those that would not be subject to Cal Poly’s outside employment policy.
  • Federal agencies may also expect to be notified of additional appointments during the active award period.  Work with your Post-award Analyst to ensure you understand any requirements.
• Disclose financial interests and outside professional activities through the 800U – Disclosure of Financial Interests Related to Sponsored Projects at the time of proposal submission/award, annually, and when acquiring new interests, as required by the policies on Conflict of Interest in Research.
  • Note that disclosures on the 800U form should include any and all significant financial relationships that could impact your institutional responsibilities to Cal Poly.
• Be prepared to provide copies of agreements with foreign partners and entities to Federal sponsors, such as NIH, when required.  The federal government expects disclosure of all relationships, and may not accept confidentiality clauses as a reason to not disclose a professional appointment or research support.
• Discuss with your Dean’s Office or Research Compliance any appointment or position at any international institution (visiting, honorary, or other) OR involvement in any foreign recruitment or “talent” programs.  These programs are of particular interest to the federal government, as they are seen as presenting a uniquely high risk of undermining US economic and security risks.

Export controls

• While concerns about foreign influence extend far beyond technologies and information covered by export restrictions, remaining cognizant of both concerns will reduce the risk to faculty.
• Regulations around export controls are complex and constantly evolving, and there several issues to be considered before engaging in a wide range of export-controlled activities.  Consult the Research Compliance Office if you have any export control related questions.
• International travelers should consult with the International Center about relevant restrictions related to security of information and technology.
• International visitors must also register with the International Center prior to coming to Cal Poly.

Proper security of materials, data and confidential information

• When materials or data will be shared with other institutions, foreign or otherwise, it is often prudent to have an agreement, such as a material transfer agreement (MTA), data use agreement (DUA), or nondisclosure agreement (NDA), in place governing the use of those materials or data.
• Remember that all agreements involving institutional activities must be reviewed and signed by institutional officials with appropriate signature authority.  Appropriate authorities at Cal Poly include Procurement, Extended Education, Corporate Engagement and Innovation, and Grants Development/Sponsored Programs.
• Obtain outside legal counsel prior to signing any personal agreements.
• Accepting any sensitive or controlled information under a research agreement may require heightened cybersecurity requirements. Agreements should be processed through Grants Development or Corporate Engagement & Innovation to ensure all required internal controls and checks are completed.

Intellectual Property

• To ensure that intellectual property is protected and, when required, appropriately reported to sponsors, promptly disclose any potential inventions or other intellectual property to Corporate Engagement & Innovation.

Peer Review

• Remember that information gained through peer review processes – whether reviewing grant applications or publications – is confidential and should never be shared.