Federal Research: Agencies Need to Enhance Policies to Address Foreign Influence
Fast Facts
To protect U.S. investments in scientific research from undue foreign influence, federal agencies should have conflict of interest policies and require researchers to disclose foreign interests.
Two of the 5 agencies we reviewed do not have agency-wide financial conflict of interest policies, and none of the 5 have non-financial policies (e.g., for researchers with multiple professional appointments). But all require researchers to disclose some non-financial interests in grant proposals—like foreign-provided lab space.
We recommended that agencies develop agency-wide conflict of interest policies to help them assess risks of foreign influence.
Highlights
What GAO Found
U.S. research may be subject to undue foreign influence in cases where a researcher has a foreign conflict of interest (COI). Federal grant-making agencies can address this threat by implementing COI policies and requiring the disclosure of information that may indicate potential conflicts. GAO reviewed five agencies—which together accounted for almost 90 percent of all federal research and development expenditures at universities in fiscal year 2018—and found that three have agency-wide COI policies, while two do not (see figure). The three agencies with existing policies focus on financial interests but do not specifically address or define non-financial interests, such as multiple professional appointments. In the absence of agency-wide COI policies and definitions on non-financial interests, researchers may not fully understand what they need to report on their grant proposals, leaving agencies with incomplete information to assess the risk of foreign influence. GAO found that, regardless of whether an agency has a conflict of interest policy, all five agencies require researchers to disclose information—such as foreign support for their research—as part of the grant proposal that could be used to determine if certain conflicts exist.
Elements of Conflict of Interest (COI) Policies at Agencies with the Most Federal Research Expenditures at Universities
Based on a review of university documents, GAO found that all 11 of the universities in its sample have publicly available financial and non-financial COI policies for federally funded research. These policies often align with the financial COI policies or requirements of the grant-making agencies.
All five agencies have mechanisms to monitor and enforce their policies and disclosure requirements when there is an alleged failure to disclose required information. All agencies rely on universities to monitor financial COI, and most agencies collect non-financial information such as foreign collaborations, that can help determine if conflicts exist. Agencies have also taken actions in cases where they identified researchers who failed to disclose financial or non-financial information. However, three agencies lack written procedures for handling allegations of failure to disclose required information. Written procedures for addressing alleged failure to disclose required information help agencies manage these allegations and consistently apply enforcement actions.
In interviews, stakeholders identified opportunities to improve responses to foreign threats to research, such as harmonizing grant application requirements. Agencies have begun to address such issues.
Why GAO Did This Study
The federal government reportedly expended about $42 billion on science and engineering research at universities in fiscal year 2018. Safeguarding the U.S. research enterprise from threats of foreign influence is of critical importance. Recent reports by GAO and others have noted challenges faced by the research community to combat undue foreign influence, while maintaining an open research environment that fosters collaboration, transparency, and the free exchange of ideas.
GAO was asked to review federal agency and university COI policies and disclosure requirements. In this report, GAO examines (1) COI policies and disclosure requirements at selected agencies and universities that address potential foreign threats, (2) mechanisms to monitor and enforce policies and requirements, and (3) the views of selected stakeholders on how to better address foreign threats to federally funded research. GAO reviewed laws, regulations, federal guidance, and agency and university COI policies and requirements. GAO also interviewed agency officials, university officials, and researchers.
Recommendations
GAO is making nine recommendations to six agencies, including that grant-making agencies address non-financial conflicts of interest in their COI policies and develop written procedures for addressing cases of failure to disclose required information. Five agencies agreed with GAO's recommendations. The National Science Foundation neither agreed nor disagreed with GAO's recommendation, but identified actions it plans to take in response.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Office of Science and Technology Policy | 1. The Director of the Office of Science and Technology Policy should work with the Executive Office of the President to issue the guidance that is pending review and expedite the issuance of any additional forthcoming guidance on addressing foreign threats to federally funded research. (Recommendation 1) |
In January 2022, the Office of Science and Technology Policy (OSTP) Subcommittee on Research Security, in cooperation with the National Science and Technology Council (NSTC) issued implementation guidance for Federal departments and agencies on addressing foreign threats to federally funded research. In December 2020, we reported that OSTP had developed but not issued interagency guidance on addressing foreign influence, which is an important step to enhance and expedite agencies' efforts to address foreign influence in federally funded research (GAO-21-130). We recommended that OSTP work with the Executive Office of the President to issue the guidance that, at the time of our report, was pending and expedite the issuance of any additional forthcoming guidance on addressing foreign threats to federally funded research. Following our report, in January 2021, OSTP and the White House issued the National Security Presidential Memorandum #33 (NSPM-33) which required all federal research funding agencies to strengthen protections against foreign government interference through standardized disclosure and security requirements, and the coordination of policies and processes with the intelligence community. OSTP's subsequent January 2022 guidance on the implementation of NSPM-33, completed implementation of our recommendation by providing detailed guidance in five key areas: (1) disclosure requirements and standardization, (2) digital persistent identifiers, (3) consequences for violation of disclosure requirements, (4) information sharing, and (5) research security programs. OSTP's January 2022 guidance also includes general guidance that agencies should apply across their implementation efforts to address these and other key areas identified in the NSPM-33. By issuing this guidance, OSTP provided agencies with information they need to more fully address the threats of foreign influence in federally funded research.
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| Department of Defense | 2. The Secretary of Defense should develop an agency-wide policy on conflict of interest for grants, to address both financial and non-financial conflicts. (Recommendation 2) |
DOD concurred with our recommendation. In November 2022, the Department noted that it is working to revise its guidance document (referred to as an instruction document) to all DOD Components requiring a conflict of interest policy, including non-financial conflicts. Department officials said drafting the instruction will involve coordinating with all DOD stakeholders, including the DOD Components, and they anticipate issuing the revision by June 1, 2024.
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| Department of Defense | 3. The Secretary of Defense should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic.(Recommendation 3) |
DOD concurred with our recommendation. In November 2022, the Department noted that it is working to develop a guidance document (referred to as an instruction document) for all DOD Components to delineate policies and responsibilities for addressing failures to disclose required information on research awards. Department officials said drafting the instruction will involve coordinating with all DOD stakeholders, including the DOD Components, and they anticipate issuing the revision by June 1, 2024.
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| Department of Energy | 4. The Secretary of Energy should develop an agency-wide policy on conflict of interest for grants, to address both financial and non-financial conflicts. (Recommendation 4) |
DOE concurred with our recommendation. DOE issued an interim conflict of interest (COI) policy for financial and organizational conflicts of interest for financial assistance awards on December 21, 2021. In March 2023, DOE noted its intent to issue a Notice of Public Rulemaking to establish conflict of interest and conflict of commitment (COI/COC) requirements, which will replace the interim COI policy. As of April 2024, DOE reported that the Conflict of Interest Notice of Proposed Rulemaking has been drafted and is going through internal DOE review for posting to the Federal Register, but there is no estimated timeline for when the notice may be posted. DOE officials noted they would follow up with GAO by October 2024.
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| Department of Energy | 5. The Secretary of Energy should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic. (Recommendation 5) |
DOE concurred with our recommendation. DOE issued an interim conflict of interest (COI) policy for financial and organizational conflicts of interest for financial assistance awards on December 21, 2021, which includes procedures, roles, and responsibilities, for addressing and enforcing information disclosures required for all entities. In March 2023, DOE noted its intent to issue a Notice of Public Rulemaking to establish conflict of interest and conflict of commitment (COI/COC) requirements, which will replace the interim COI policy. As of April 2024, DOE reported that the Conflict of Interest Notice of Proposed Rulemaking has been drafted and is going through internal DOE review for posting to the Federal Register, but there is no estimated timeline for when the notice may be posted. DOE officials noted they would follow up with GAO by October 2024.
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| Department of Health and Human Services | 6. The Secretary of Health and Human Services should instruct the Director of the National Institutes of Health to update the agency's conflict of interest policy to include a definition on non-financial conflicts, such as the one developed by OSTP, and address these conflicts, both foreign and domestic. (Recommendation 6) |
HHS (NIH) concurred with our recommendation. In January 2022, NIH implemented efforts to align the Biographical Sketch (Biosketch), Other Support format page and Application Form Instructions with the guidance issued by the OSTP JCORE Subcommittee on Research Security. The updated Other Support instructions and format page further clarify the need to report level of commitment and to ensure that there is no overlap in commitment (conflict of commitment). In February 2024, NIH noted that it will update the NIH Grants Policy Statement in FY2025 to include the definitions issued by the National Science and Technology Council (NSTC) Research Security Subcommittee , which is coordinating the development of common disclosure forms for the Biographical Sketch and Current and Pending (Other) Support sections of an application for Federal research and development (R&D) grants or cooperative agreements. The FY2025 update will also include these new disclosure forms and and instructions for the sections noted above. NIH officials stated they would provide additional updates in January 2025.
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| National Aeronautics and Space Administration | 7. The Administrator of the National Aeronautics and Space Administration should update the agency's conflict of interest policy to include a definition on non-financial conflicts, such as the one developed by OSTP, and address these conflicts, both foreign and domestic. (Recommendation 7) |
NASA concurred with our recommendation. In October 2022, NASA issued a draft of the agency's updated conflict of interest (COI) policy for grants and cooperative agreements, which includes a definition of non-financial conflicts, such as conflicts of commitment. As of February 2024, the agency stated it is working to address OSTP's February 2024 guidance on common disclosure forms before it can implement the forms and release the accompanying policy. NASA anticipates obtaining OSTP approval on an implementation plan, adopting and implementing the disclosure forms, and releasing its policy by October 31, 2024.
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| National Aeronautics and Space Administration | 8. The Administrator of the National Aeronautics and Space Administration should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic. (Recommendation 8) |
NASA concurred with our recommendation and noted that in October 2022 the agency issued a draft conflict of interest (COI) policy that includes a policy to document procedures, including roles and responsibilities, for addressing and enforcing failures to disclose required information, both foreign and domestic. The policy describes activities that NASA may take if an individual fails to disclose required information, regulations that must be adhered to when enforcement and other actions are implemented, and in which circumstances NASA may apply enforcement actions to an entity (as opposed to an individual) in the event that an individual violates their entity's disclosure requirements. As of February 2024, the agency stated it is working to address OSTP's February 2024 guidance on common disclosure forms before it can release an accompanying policy that describes procedures for addressing and enforcing failures to disclose required information. NASA anticipates obtaining OSTP approval on an implementation plan, adopting and implementing the disclosure forms, and releasing its policy by October 31, 2024.
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| National Science Foundation | 9. The Director of the National Science Foundation should include a definition on non-financial conflicts in their agency policies, such as the one developed by OSTP, and address these conflicts, both foreign and domestic. (Recommendation 9) |
In January 2024, NSF issued an update to the foundation's "Proposal & Award Policies & Procedures Guide (PAPPG)" with an effective date of May 20, 2024. The update included NSF's implementation of the "Current and Pending (Other) Support Common Form" developed by the National Science and Technology Council's Research Security Subcommittee. This subcommittee was responsible for the development of consistent disclosure requirements and common forms for federal research and development grants and cooperative agreements, as outlined in OSTP's National Security Presidential Memorandum-33 (NSPM-33) Implementation Guidance. This disclosure form referenced in the PAPPG includes a definition of non-financial conflicts, or conflicts of commitment, which reflects the definition found in OSTP's NSPM-33 Implementation Guidance. NSF's inclusion of this common form and definition, as well as the associated "Common Form for Biographical Sketch," in its guidance document reflects the foundation's commitment to communication to the community regarding research security risks, both foreign and domestic.
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