Â鶹ŮÀÉ

The Florida legislature has enacted certain legislation regarding foreign influence concerns.Ìý The legislation requires public disclosure of foreign gifts, scrutiny of grant applicants and vendors with certain foreign connections, and thorough scrutiny of foreign applicants for research positions and of foreign travel and activities of employees of major research institutions.Ìý In follow-up to the legislation, the Florida Board of Governors (BOG) enactedÌý, as well as aÌý document. Both the legislation and the regulation require the designation of a Research Integrity Office for the purposes of implementing and overseeing these foreign influence concerns.ÌýThe Â鶹ŮÀÉ President has designated the Â鶹ŮÀÉ Office of Compliance & Ethics as the Research Integrity Office for Foreign Influence (RIO-FI).Ìý

For additional guidance on evaluating foreign influence concerns, the DoD's Defense Advanced Research Projects Agency (DARPA) has published aÌýÌýand the NIH has published aÌý.

1. Foreign Gifts and Contracts
   

   A state university, or any employee or representative of a state university, may not solicit or accept any gift in its official capacity, including any physical object, loan, reward, promise of future employment, favor, or service, from a college or university based in a foreign country of concern or from a foreign principal as those terms are defined inÌý.Ìý

   ;Ìý

2. International Cultural Agreements
   

   A state university is prohibited from participating in any agreement with, or acceptance of any grant from, a foreign country of concern or associated entity, which constrains freedom of contract, allows control by the foreign county of concern, or promotes a detrimental agenda.Ìý Any such agreement must be shared with appropriate federal agencies prior to execution of the agreement, which is subject to prohibition if deemed to be detrimental to the safety and security of the United States. Any such entity may not accept anything of value conditioned upon participation in a specified program or endeavor.

   In addition, a state university may not accept any grant from or participate in any agreement (ie, written statement of mutual interest in academic or research collaboration) with any college or university based in a foreign country of concern, or with any foreign principal, or accept any grant from or participate in any partnership with any college or university based in a foreign country of concern, or with any foreign principal, unless such partnership or agreement is deemed by the BOG to be valuable to students and the state university and is not detrimental to the safety or security of the United States or its residents.

   Examples of activities with foreign countries of concern that require BOG approval are delineated in the BOG'sÌý, and include the following activities: (i) Hiring a foreign principal for academic, administrative, research purposes, or research scholars, (ii) Collaborating with a foreign principal on a research project in furtherance of the university’s mission; (iii) Sharing data with a foreign principal; (iv) Engaging in a student exchange program in a foreign country of concern; (v) Partnerships facilitated by third-party providers on behalf of State University System institutions; and (vi) Licensing intellectual property for academic or research purposes to or from a foreign principal.Ìý Enrolling a student from a foreign country of concern or hiring an individual who has worked at an institution in a foreign country of concern do not require BOG approval.Ìý

   A foreign principal includes any person who is domiciled in a foreign country of concern and is not a citizen or lawful permanent resident of the United States.Ìý Domicile is defined as a physical presence in a foreign country of concern with an intent to return thereto. Intent is demonstrated by an absence of seeking citizenship in the United States.

   For more information on international cultural agreements, please contactÌýÂ鶹ŮÀÉ’s Center for Global EngagementÌýor theÌý.

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3. Foreign Gift Reporting
   

   Each state university is required to disclose any gift or contract with a value of $50,000 or more from any foreign source to the BOG.Ìý ÌýIf a foreign source provides more than one gift in a single fiscal year and the total value of those gifts is $50,000 or more, all gifts received from that foreign source must be reported. For more information on Â鶹ŮÀÉ’s implementation of these requirements and BOG guidance, please seeÌýÌý²¹²Ô»åÌý.

   Ìý;Ìý(3)Ìý

4. Foreign Influence ScreeningÌý
   

   Each state university with a research budget of $10 million or more is required to screen applicants for research positions who are citizens of a foreign country or have a specified affiliation with a foreign country of concern, with specified exceptions. The screening must take place prior to interviewing or offering applicants a position.

   The RIO-FI is required to review certain designated materials and take reasonable steps to verify the information listed in applications and is authorized to approve applicants for hire based on a risk-based determination.Ìý The RIO-FI is required to report to the FBI and to any law enforcement agency designated by the BOG the identity of any applicant rejected from employment based on the specified screening.

   For more information on screening foreign researchers, please scroll down.

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5. Foreign Travel
   

   Each state university with a research budget of $10 million or more is required to establish an international travel approval and monitoring program, which must require preapproval and screening by the RIO-FI for any employment-related foreign travel and activities engaged in by faculty, researchers, and research department staff and provide an annual report to the BOG of foreign travel to countries of concern.Ìý Â鶹ŮÀÉ's international travel approval and monitoring program is led by the Global Travel Safety and Security Subcommittee (GTSSS).Ìý For further information about foreign travel workflow and the approval process or the subcommittee, please contact Jaeson Weber, Director, Emergency Management, and Chair of the GTSSS (Jweber15@fau.edu).

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Please note that Â鶹ŮÀÉ's Research Integrity Office for Foreign Influence is a separate office from the Division of Research Office of Research Integrity.Ìý For more information on Â鶹ŮÀÉ's Research Integrity Office for Foreign Influence, please contact Â鶹ŮÀÉ's Chief Compliance & Ethics Officer. For more more information on the Â鶹ŮÀÉ Division of Research Office of Research Integrity, please visit theÌýOffice of Research IntegrityÌýWebpage. For more information on International Research Collaborations at Â鶹ŮÀÉ, please visit theÌýDivision of Research Guidelines for International Research Collaborations.

A.Ìý Impacted Parties

Under Florida law, Â鶹ŮÀÉ is required to meet certain screening requirements before offering a Research or Research-Related Support Position to:Ìý

• Foreign Nationals seeking employment in Research or Research-Related Support Positions, including graduate and undergraduate students seeking such positions; andÌý
• U.S. Citizens or Permanent Residents seeking employment in Research or Research Related Support Positions if they have an affiliation with an institution or program in a Foreign Country of Concern or have had one year or more of employment or training in a Foreign Country of Concern.

These categories will include current Â鶹ŮÀÉ employees, students or visiting scholars moving into new research or research-related support positions if a previous screening has not yet been undertaken.

B. ÌýDefinitions

Affiliation: A professional, training, research, financial or educational relationship, including without limitation the receipt of funding or other professional support or services.

Foreign Country of Concern: The People’s Republic of China, the Russian Federation, the Islamic Republic of Iran, the Democratic People’s Republic of Korea, the Republic of Cuba, the Venezuelan regime of Nicolás Maduro, or the Syrian Arab Republic including any agency of or any other entity under significant control of such countries.

Foreign National: A person who is neither a U.S. Citizen nor a lawful U.S. Permanent Resident.

Permanent Resident: A person who is not a U.S. Citizen who is lawfully living in the U.S. permanently under legally recognized and lawfully recorded permanent residence as an immigrant.

Research: A systematic study directed toward fuller scientific knowledge or understanding of the subject studied. ÌýResearch includes all research activities, both basic and applied, and all development activities, including the training of individuals in research techniques.

Research or Research-Related Support Position: These positions include:

• Faculty (including Adjunct Faculty),
• Graduate Research Assistants and Graduate Research Associates,
• Individuals compensated by the research grant or contract funds,
• Interns or OPS positions engaged in Research,
• Paid Visiting Researchers, including Visiting Assistant Professors and Visiting Research Associates,
• Post-Doctoral Scholars, and
• Positions where the Individual is engaged in Research.Ìý

Â鶹ŮÀÉ has compiled a non-exclusive list of job codes. This list can be accessed from the Department of Human Resources. Other jobs not on the list may be included if the position qualifies as a research or research-related support position. Administrative positions that support the research effort (i.e., proposal teams, contract teams, accountants, compliance teams, HR, etc.) and students completing lab work or research as part of a class are not considered Research-Related Support Positions.

C.Ìý Request for InformationÌý

Once a final candidate has been selected by the hiring authority, and based on the candidates responses to the application questions regarding their status per Section A above, during the hiring review proces, the candidate will be routed through the Â鶹ŮÀÉ Research Integrity Office for Foreign Influence (RIOFI) to determine if the selected candidate meets the screening criteria.Ìý If the candidate meets the criteria noted in Section A above, the RIOFI will request that the candidate provide the following information through a secure portal:

1.ÌýPublications, Funding & Professional Activities:ÌýÌý

• A list of all published material for which the individual: (i) received credit as an author, (ii) received credit as a researcher, or (iii) contributed significant research, writing, or editorial support;
• A list of the individual’s current and pending research funding from any source, including: (i) funder, (ii) amount, (iii) role on the project, and (iv) a brief description of the research; and
• A full disclosure of non-university professional activities, including any consulting work and/or affiliations with an institution or program in a Foreign Country of Concern.

2.ÌýPassport and Non-Immigrant Visa Application (Foreign Nationals Only):

• If an individual has a passport and a copy of their submitted Nonimmigrant Visa Application, the individual is also required to provide a copy of the biographical pages(s) of the passport and a copy of the Application.
• If the individual does not have a passport or a copy of their Application or has not yet submitted one, they are asked to indicate this and the individual will be required to provide these as part of the visa review process.

Contemporaneously with the request for information from the RIOFI, Human Resources will commence the candidate's background check through Â鶹ŮÀÉ's third party vendor.Ìý This background cehck will consist of additional verifications required under Florida law for the impacted parties noted in Section A above.ÌýÌý

All information must be received by the candidate and cleared by the RIOFI pursuant to Section D below before a formal offer of employment may be extended to faulty or staff.Ìý Graduate research assistants may be presented with a letter of proposed financial support conditioned on clearance pursuant to Section D below, but may not be granted access to research data or activies or other sensitive data until the screening process has been completed and clearance has been given by the RIOFI.

D. ÌýThe Screening Process

Â鶹ŮÀÉ is required to take reasonable steps to:

1. Contact and verify every institution of higher education attended;
2. Contact and verify all previous employment for the most recent ten years;
3. Review publicly available information to identify any education, employment, publication, or professional activity that may have not been included in the resume; and
4. Review publicly available information to identify persons subject to sanctions or restrictions under U.S. federal law.
5. Submit the applicant’s name and other identifying information to the Federal Bureau of Investigation (FBI) or any other federal agency willing to scrutinize the applicant for national security or counterespionage purposes.

The review and verification process will take place through the RIOFI, in coordination with Human Resources, the Â鶹ŮÀÉ Export Control Officer, third party vendors and other resources as needed.Ìý The review of publicly available information for items 3 and 4 will focus on affiliations with a Foreign Countries of Concern. Ìý

After the background check and the review process has been completed, if there are any areas of concern, the RIOFI shall review the information in connection with a subcommittee comprised of representatives from the Division of Research, the Division of Academic Affairs, the Office of Human Resources, and the Export Control Officer to make a risk-based determination regarding the hiring of the individual. An applicant who fails to disclose a substantial educational, employment, or research-related activity or publication or presentation may not be employed in a research or research-related support position unless the department head or designee certifies in writing the substance of the nondisclosure and the reasons for disregarding such failure to disclose.

The RIOFI may provide approval to move forward with an offer or make recommendations to the hiring authority for any limitations or rejections. ÌýThose individuals rejected for employment based on the verification process and risk-based analysis must be reported by the RIOFI to the FBI and any law enforcement agency designated by the Florida Board of Governors.Ìý

Failure to provide copies of the above-referenced information; identification of affiliations or activities that violate U.S. Federal/state laws, regulations or Â鶹ŮÀÉ policies; and/or failure to disclose a substantial educational activity, employment activity, research-related activity, publication, or presentation will result in further action, up to and including denial/termination of admission and/or employment.

For questions regarding the screening review process, please contact Â鶹ŮÀÉ’s Chief Compliance & Ethics Officer or the Assistant Director of Compliance.