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DOD Efforts to Counter Unwanted Foreign Influence on DOD Funded Research at Institutes of Higher Education

The Department of Defense DOD Announcement  the DOD MFTRP Prohibition of a list of foreign entities that have been confirmed as engaging in problematic activity as described in Section 1286 of the Fiscal Year 2019 National Defense Authorization Act, as amended. These include practices and behaviors that increase the likelihood that DOD-funded research and development efforts will be misappropriated to the detriment of national or economic security or be subject to violations of research integrity or foreign government interference.

Complying with Department of Defense Policy when Completing Grant Applications

Completing Grant Applications

The information below is intended to guide users to complete the DOD Current & Pending Support, Biosketches and Facilities, Equipment and Other Resources, beginning October 1, 2020.

Note that in addition to the traditional forms of support, some Institutional resources must also be disclosed.

Current & Pending Support, Biosketches and Facilities, Equipment and Other Resources

Current and Pending Support and Biosketches must be provided for all senior personnel and faculty associates. The term "senior personnel" includes:

(Co)Principal Investigator(s) - the individual(s) designated by the grantee and approved by DOD who will be responsible for the project's scientific or technical direction. If more than one, the first one listed will have primary responsibility for the project and the submission of reports.

Faculty Associate (faculty member) - an individual other than the Principal Investigator(s) considered by the performing institution to be a member of its faculty or who holds an appointment as a faculty member at another institution and who will participate in the project.

Current & Pending Support

On March 20, 2019, the Department of Defense issued a memorandum that established new current and pending support requirements for Notices of Funding Opportunities for research and research-related educational activities. These requirements were implemented for the following purposes:

1. To support the protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security; and
2. To limit undue influence, including through foreign talent programs, by countries aiming to exploit United States technology involving the Department of Defense research, science and technology, and innovation enterprise.

As of April 20, 2019, all key personnel must submit current and pending support documentation that includes the following:

• A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.
• Title and objectives of the other research projects.
• The percentage per year to be devoted to the other projects.
• The total amount of support the individual receives in connection to each of the other research projects or will receive if other proposals are awarded.
• Name and address of the agencies and/or other parties supporting the other research projects.
• Period of performance for the other research projects.

This information is required for all key personnel, regardless of whether their efforts under the project are to be funded by the DOD.

Failure to submit this information may cause a proposal to be returned without further review. Additionally, the DOD has stated that it reserves the right to request further details from a proposer before deciding on funding the project.

Note that a particular program solicitation may include additional or differing requirements for current support documentation and should be reviewed closely.

DOD references:

DOD March 20, 2019 Memo

Biosketch

• Full disclosure of academic/professional affiliations, positions, and appointments, including domestic and foreign positions, is required.
• Refer to program solicitation instructions for further detail and/or additional requirements.
• Review the solicitation carefully for program-specific requirements.

Updating Information for Award

Any form –Current & Pending, Biosketch, Facilities

If the Proposal Update seeks information regarding the biosketch or current and pending support, ensure that any new or previously unreported required information is included.

Annual Technical Report

DOD awards follow different models for annual and final technical reports, and DOD policy does not explicitly address updating current and pending support information during the period of performance.

Nonetheless, all participants on the project (including those who were not paid) must be reported, and countries of foreign participants must be identified.

Refer to award terms and the referenced technical report instructions for further details.

Agency Communications:

DoD memo issued on March 20, 2019, outlines disclosure requirements for all key personnel listed on DoD-funded financial assistance agreements.

DoD memorandum for immediate prohibition on Procurement of Foreign-Made Unmanned Aircraft Systems