Performing Research

Please visit Guidance Regarding Foreign Influence and Research for specific guidance and reporting obligations.

What is the Risk?

Foreign entities may try to influence the course and outcome of research or gain intellectual property (IP) in advance of publication.  This form of direct influence may lead to loss of IP and inappropriate influence over forthcoming technology, as well as export control violations.  Increasingly many federal sponsors require notification of anticipated foreign national/entity involvement in research (and/or post award involvement that had not been previously disclosed) and may not support continued funding until the foreign involvement is eliminated and/or managed. A sponsored research project may be at risk if specific foreign influence restrictions or required disclosures by the sponsoring agency are not followed.

Institutions are obligated to comply with the Higher Education Act (1965) Section 117 Foreign Source reporting.  The National Defense Authorization Act (2019) also placed restrictions on federal contracts using information platforms and equipment procured from certain restricted parties–again reflecting Washington’s concern over data infiltration.

 Areas of potential inappropriate foreign influence and/or regulatory non-compliance:

1. Personnel may be inappropriately influenced by entities which sponsor their research, provide gifts, and/or provide in-kind support.
2. A foreign entity may gain unauthorized access to federally funded research through support of related research and personnel.
3. Export controlled technology may inappropriately be transferred to foreign entities who sponsor controlled research.
4. Restricted/prohibited or high-risk entities (including but not limited to ASPI-listed institutions) may provide support through sponsoring research, providing gifts, and/or providing in-kind goods and services.
   
5. A sponsored research project may be at risk if specific foreign influence restrictions or required disclosures by the sponsoring agency are not followed.
   

FIU’s Response:

ORED has compiled information from each federal sponsor regarding Foreign Influence.  This includes new and updated award requirements, notices, and background information.  This information may be found on the Guidance Regarding Foreign Influence and Research Webpage.

FIU’s ORED team conducts restricted party screening on international program sponsors as well as industry partners to ensure that we do not inadvertently engage with entities that raise foreign influence concerns.   FIU has developed an International Engagements with Restricted and High Risk Parties Matrix (“the Matrix”) to inform potential engagements with international persons and entities in a variety of circumstances. If you would like to request the Matrix, please contact compliance@fiu.edu.

FIU has developed a Foreign Influence Research Security Guidance intended to provide practical information on how to address “Foreign Influence” concerns with respect to institutional research, academic and commercialization activities, as well as individual faculty-conducted “outside” activities. We strongly recommend that all personnel engaged in federally-funded research program read this Guidance. 

 ORED Processes, Forms, and Tools:

In addition to ORED’s standard proposal submission documentation, certain sponsors (such as DOE) require certification on a project-by-project basis that no researcher is funded by a foreign talent program or is otherwise affiliated with a foreign entity that might raise foreign concerns.

Sponsors may also require notification and approval of foreign national participants: absent other conditions, this does not necessarily mean a project is export controlled. However, it may be indicative of the sponsor’s efforts to guard against undue foreign influence and/or to implement counterintelligence checks.    

For these projects, ORED implements specific certification forms as part of the contract execution process and communicates with the PI when such items are required. Please contact your ORED award coordinator for any questions concerning these types of certifications.