Federal & State Regulations

Requirements:

As of July 2020, the State of Florida requires employment suspension without pay for up to 60 days and possible termination of employment for failure to properly disclose financial conflicts of interest and outside activities.

FIU’s Response:

1. The University revised its Outside Activity/Conflicts of Interest reporting system and associated policies and has provided Guidance related to reporting of outside activities and Conflicts.

• Per the H.R. Memorandum of Feb 12, 2021, all faculty and staff are required to complete and submit an Outside Activity/Conflict of Interest (OA/COI) disclosure on an annual basis whether there is an activity to report or not or whenever there is a material change to a previous disclosure or new activity.
• Beginning with the 2020-2021 fiscal year reporting, the OA/COI disclosure process transitioned to PantherSoft .

1. Anyone Engaged in Externally Funded Research Activities:  the legislation requires that any  FIU employee engaged in the  design, conduct, or reporting of externally funded sponsored research for the University to disclose his/her outside activities and financial interests  and receive a determination that those outside activities or financial interests do not affect the integrity of the University. That determination must occur before the activity begins.
2. Anyone with Outside Affiliations with Foreign Universities, Entities, Governments and People: To address various federal agencies’ requirements and export control laws regarding outside affiliations with foreign universities, entities, governments, and people, section 1K to the OA/COI Disclosure. This section addresses appointments, affiliations, activities, interests or collaborative projects (whether paid or unpaid and even if described as honorary, courtesy, adjunct or other similar description) with any foreign university or other foreign entity or foreign government, including any involvement in any talent programs (e.g., programs in which you have been recruited by a foreign university, entity or government).

Questions:

For additional information regarding outside activity/financial interest reporting for research including access to online training, please see the Office of Research and Economic Development Conflict of Interest webpage

Requirement:

• By January 1, 2022, the university was required to implement a system that requires screening and pre-approval for all international travel and foreign activities for ALL faculty, researchers, and research department staff.
• The legislation also requires individual and institutional disclosure of certain travel-related activities and expenses.

FIU’s Response:

1010.36-Requirement

• The University maintains a robust travel authorization and approval system (via the TAR in PantherSoft), which was previously expanded to include an Export Control review.
• In response to the new legislation, the TAR includes, for all foreign travel, expanded questions prior to travel approval, expense disclosure requirements prior to receiving reimbursements, and new traveler acknowledgement requirements.
• Use of this system is now MANDATORY for all faculty, researchers, and research department staff PRIOR to commencement of travel.

Questions:

For additional information regarding travel and/or the TAR, please contact FIU Global.

Requirement:

As of July 1, 2021, the university may not participate in any agreement with  and/or accept a grant from a “foreign country of concern” (FCC)* or from an entity controlled by a FCC which constrains the freedom of contract of the university, allows the curriculum or values of a program of the state to be directed or controlled by a FCC, or promotes an agenda detrimental to the safety or security of the US or its residents.

1. Prior to executing any international agreement with a FCC, the agreement must be shared with certain federal national security agencies.

FIU’s Response:

Office of Global Affairs is in the process of ensuring that existing contracts and stated commitments are consistent with legislative objectives.  In addition, ORED has implemented a required award Appendix form for all awards where the sponsor (prime or flow through) is NOT a U.S. federal, state, or local government entity, or where the award includes an entity in a FCC.  This form will be initiated by the ORED representative and completed by the sponsor and/or entity.

*Foreign Country of Concern (FCC): currently includes China, Russia, Iran, North Korea, Cuba, Venezuela, and Syria (and any agency or other entity under significant control of such FCC).

Questions:

For additional information regarding international agreements, please contact FIU Global (non-sponsored agreements) or the Office of Research and Economic Development (sponsored agreements).

Requirements:

1. Extensive additional documentation* and screening of certain applicants for research, research related support positions or visiting researchers before hiring.  These applicants include:
   1. Individuals who are citizens of any foreign country and who are not permanent U.S. residents
   2. U.S. citizens/permanent residents who have any affiliation with an institution or program in China, Russia, Iran, North Korea, Cuba, Venezuela, and/or Syria
   3. U.S. Citizens/permanent residents who have been employed or received training for at least a year in China, Russia, Iran, North Korea, Cuba, Venezuela, and/or Syria
   4. U.S. citizens/permanent residents employed by the U.S. government in one of the previously listed countries are exempt.

*Additional Documentation Includes

• Every institution of higher education attended, whether or not listed on applicant’s CV or resume
• All previous employment since applicant’s 18th birthday
• A list of all published material
• A list of all current and pending research funding from any source, including details about the research, their role, funding source, and amount
• List and description of any non-university professional activities
• Any affiliation with an institution or program in a foreign country
• A complete copy of the applicant’s passport
• Applicant’s most recently submitted DS-160 (Online Nonimmigrant Visa Application)

FIU’s Response:

1. New document collection and screening protocols, as well as an expanded background check through a third-party provider conducted prior to clearance for hire or, if a non-paid visiting scholar, prior to the sponsorship of a visa.
2. Expanded checks are also being conducted for any individuals hired since 7/1/21 who may require additional background information and review.
3. Graduate Assistant (GA/RA/TA) is considered a research or research support position even though the individual may only be serving as a TA during a specific term.
4. Screening process for non-paid visiting researchers is being finalized.
5. New processes and training will be provided to the FIU community.

Questions:

For additional information regarding the hiring process, please contact the Office of Human Resources.