[Last Updated 10/08/2024]

General Information/Introduction

UConn researchers should be transparent regarding their other research support, other research activities, and research collaborations when submitting grant proposals to external sponsors. Disclosure of such support, via forms commonly referred to as “Current and Pending” or “Other Support,” allows the identification of potential duplication of funding, assessment of the investigator’s capacity/available effort to complete proposed projects, the evaluation of potential conflicts of interest, and the overall protection of national security and economic interests.

While the format/form being provided to the sponsor may vary, if applicable to a proposal under development, PIs should include ALL support, including grants and contracts from all domestic and non-U.S. sources, including support internal to UConn. Additional guidance is generally available in the specific funding opportunity announcement to which the proposal is responding, and MUST be followed to avoid return without review or other negative consequences.

Federal agencies are increasingly placing additional scrutiny on potential foreign influence and its impact upon the U.S. research enterprise. Efforts at the federal level are currently underway to standardize disclosure requirements, forms, and other requirements, and some agencies have provided additional guidance on completing disclosure documents. For additional assistance, or to report changes to disclosure documents related to existing awards, please contact your department administrator or preaward@uconn.edu.

National Institutes of Health (NIH)

National Science Foundation (NSF)

U.S. Department of Defense (DOD)

U.S. Department of Energy (DOE)

National Aeronautics & Space Administration (NASA)

U.S. Department of Agriculture

NATIONAL INSTITUTES OF HEALTH

WHO and WHEN:

At Just-in-Time (JIT), all individuals included in the grant application as senior/key personnel MUST submit Other Support documents/information, except:

• Other Significant Contributors
• Program Directors, training faculty and others involved in the oversight of training grants

For Research Performance Progress Reports (RPPR) all senior/key personnel who have had a change in active Other Support MUST submit Other Support information, except:

• Other Significant Contributors
• Consultants
• Program Directors, training faculty and others involved in the oversight of training grants

WHAT should be disclosed:

Information on other active and pending support may be reviewed to ensure there is no scientific, budgetary, or commitment overlap. Other Support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant. Other support does not include training awards, prizes, or gifts.

• All ongoing projects/awards and proposals currently under consideration (listed in that order). This includes proposals and awards that were not routed through UConn SPS.
• Internal UConn proposals / awards.
• Consulting activities that involve conducting research, regardless of whether or not remuneration is received.
• Research conducted during the summer semester for faculty members with an Academic Year appointment, regardless of whether or not remuneration is received.
• Participation in a foreign “talent” or similar program.
• Financial support for laboratory personnel, travel, living expenses, etc.
• High-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.).
• Start-up packages and all other research-related support from entities other than UConn, even if the research will be carried out at another institution.
• Collaborations with other researchers outside of the applicant institution that directly benefit the individual’s research endeavors.
• In-kind contributions that are not intended for use on the project/proposal that the Other Support form is related to, e.g. office/lab space, equipment, supplies, or staff/students supported by an outside source. In-kind resources intended for use on the proposed project should be included as part of the Facilities and Resources or Equipment section of the application, not Other Support.

HOW to disclose:

The Other Support Format MUST be used for applications and RPPRs submitted for due dates on or after January 25, 2022. NIH anticipates that a template will soon be available in Science Experts Network Curriculum Vitae (SciENcv). The Other Support form now includes the REQUIRED certification by each PD/PI or other senior/key personnel that the statements it contains are “true, complete, and accurate.” Electronic signature is required for this certification; neither a typed name nor a scanned wet-ink signature is acceptable. DocuSign and Adobe Pro are acceptable alternatives. Other Support submissions MUST be submitted as a combined, flattened, PDF. Supporting documentation including, “…copies of contracts specific to senior/key personnel foreign appointments and/or employment with a foreign institution for all foreign activities and resources that are reported in Other Support,” MUST be provided with the Other Support submission.  Copies MUST be in English.

Senior personnel MUST provide English-language copies of foreign grants, contracts and any other agreements specific to foreign appointments, affiliations and/or employment with a foreign institution.

NIH ADDITIONAL RESOURCES:

• NIH Other Support page
• NOT-OD-21-110: Implementation of Changes to the Biographical Sketch and Other Support Format Page
• Sample New and Renewal application Other Support
• Other Support FAQ page (updated regularly)
• Biosketch Format, Instructions and Samples
• Protecting U.S. Biomedical Intellectual Innovation

NATIONAL SCIENCE FOUNDATION (NSF)

The National Science Foundation (NSF) expects that Senior/Key Personnel will list any activity that provides funding to their work and/or a commitment of time by the individual in the same manner as described in the previous section for NIH, using the Current and Pending section of proposals. The National Science Foundation also requires that PIs submit information about Collaborators and Other Affiliations (COA) for senior project personnel. This information is in addition to Current and Pending Support, and may include advisor/advisee relations, coauthors, editorships, business or family relationships that are relevant to peer review.

Effective January 22, 2024, NSF Proposal and Award Policies and Procedures Guide (PAPPG) 24-1 includes several revisions to the Preaward Disclosure (Biographical Sketch and Current & Pending Support) documents. Additional information is available at NSF’s Documents Required for Senior Personnel page; additional information regarding the appropriate location for inclusion of other disclosures, please see NSF’s table describing Pre- and Post-Award Disclosures Relating to the Biographical Sketch and Current & Pending Support.

WHO and WHEN (see above for upcoming changes):

• At proposal, all Senior/Key Personnel listed on the proposal MUST submit Current & Pending Support, Biosketch, and Collaborators & Other Affiliations documents.
• If an Authorized Organizational Representative discovers that a disclosure should have been made at time of proposal submission, but was not, they have 30 days to submit a post-award request to NSF.
• When submitting annual and final project reports, PIs and Co-PIs MUST specify whether new active other support has been received. If yes, they MUST attach updated Current & Pending Support document(s).

WHAT should be disclosed:

All resources made available to an individual in support of and/or related to all of his/her research efforts, regardless of whether or not they have monetary value. Current and pending support also includes in-kind contributions (such as office/laboratory space, equipment, supplies, employees, students). In-kind contributions not intended for use on the project/proposal being proposed also MUST be reported. Current and pending support information MUST be provided for this project, for ongoing projects, and for any proposals currently under consideration from whatever source, irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.

• Information MUST be provided for all current and pending support irrespective of whether such support is provided through the proposing organization or directly to the individual.
• Examples of current and pending support have been expanded to include non-profit organizations and consulting agreements.
• All projects and activities that require a time commitment MUST be reported (no minimum has been established), even if the support received is only in-kind.
• Clarification that for biographical sketches “appointments” should include any titled academic, professional, or institutional position whether or not remuneration is received

HOW to disclose:

NSF requires information on all current and pending support for ongoing projects and proposals. Detailed information about the content is available in the Proposal and Award Policies and Procedures Guide (PAPPG), Chapter II.D.2.h.ii.. 

SciENcv: Science Experts Network Curriculum Vitae – NSF has partnered with the National Institutes of Health (NIH) to use SciENcv: Science Experts Network Curriculum Vitae as an NSF-approved format for use in preparation of the current and pending support section of an NSF proposal. Adoption of a single, common researcher profile system for Federal grants reduces administrative burden for researchers. SciENcv will produce NSF-compliant PDF versions of the current & pending support format. Proposers MUST save these documents and submit them as part of their proposals via FastLane (prior to its decommissioning in January 2023), Research.gov, or Grants.gov.

NSF ADDITIONAL RESOURCES:

• NSF Documents Required for Senior Personnel (includes Biosketches, Current and Pending Support, and Collaborators and Other Affiliations)
• Current Proposal & Award Policies and Procedures Guide (NSF 23-1)
• NSF Pre- and Post-Award Disclosures Relating to the Biographical Sketch and Current & Pending Support
• Current and Pending Support FAQs
• FAQs on using SciENcv
• Collaborators and Other Affiliations Information

U.S. DEPARTMENT OF DEFENSE (DOD)

RECENT CHANGES:

June 8, 2023

New Policy on Risk-Based Security Reviews of Fundamental Research

The Under Secretary of Defense for Research and Engineering signed a policy on June 8, 2023 that requires all fundamental research projects that are selected for award by the Department of Defense to go through a review for potential conflicts of interest and conflicts of commitment arising from foreign influence. DOD components have been instructed to develop risk-based security review processes that:

• Use the Fundamental Research Review Template contained within Appendix B of the Science and Technology (S&T) Guide (March 2021 OR updated version) to verify that the fundamental research project proposal meets the criteria of fundamental research;
• Are consistent with the DOD Component Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions
• Use the disclosures and Standard Form 424 submitted by the proposing institution for all covered individuals listed in fundamental research project proposals selected for award, to identify potential research security risks, and employ relevant publicly available information, at a minimum, to verify the information submitted
• Conduct an annual review of funded research projects using the Research Performance Progress Report (RPPR)

The review processes must not discourage international research collaboration or delay time to award. The memo also outlines policies for research security risk-based mitigation decisions AND for rejection of a fundamental research project proposal based on research security risks. The Office of the Under Secretary of Defense for Research and Engineering (OUSD(R&E)) will oversee the review processes developed by DOD components.

Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education (June 29, 2023)

Office of the Under Secretary of Defense for Research and Engineering

WHO:

Report all resources and other support for all individuals designated in an application as senior/key personnel–including for the PI and for other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation.

WHEN:

The Department of Defense issued a memo in March 2019 clarifying that all key personnel MUST disclose current and pending support in grant applications related to research and research-related educational activities.

WHAT should be disclosed:

DOD requires full disclosure of current and pending support from domestic and non-domestic sources. For all previous (award period of performance ending within the past 5 years), current, and pending research support, include the title, time commitments, supporting agency, name and address of the funding agency’s procuring Contracting/Grants Officer, performance period, level of funding, brief description of the project’s goals, and list of the specific aims. If applicable, identify where the proposed project overlaps with other existing and pending research projects. Clearly state if there is no overlap. Proposers shall submit the below information for all key personnel, whether or not the individuals’ efforts under the project are to be funded by the DOD:

• 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 is receiving 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.

List all positions and scientific appointments, both domestic and foreign, held by senior/key personnel that are relevant to an application, including affiliations with foreign entities or governments. This includes titled academic, professional, or institutional appointments whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).

Information MUST be provided about all current support for ongoing projects, irrespective of whether such support is provided through the applicant organization, through another domestic or foreign organization, or is directly provided to an individual who supports the senior/key personnel’s research efforts.

Report all current projects and activities that involve senior/key personnel, even if the support received is only in-kind (e.g., office/laboratory space, equipment, supplies, employees). All research resources including, but not limited to, foreign financial support, research or laboratory personnel, lab space, scientific materials, selection to a foreign “talents” or similar-type program, or other foreign or domestic support MUST be reported.

Provide the total award amount for the entire award period covered (including facilities and administrative costs), as well as the number of person-months (or partial person-months) per year to be devoted to the project by the senior/key personnel involved.

If there is no previous, current, or pending support, enter “None.” An updated previous, current, and pending support document will be required if an award is recommended for funding.

HOW to disclose:

This information shall be included in the Senior Key Person Profile form included in the Notice of Funding Opportunity (NFO) and will not be included in the overall proposal page limits. Failure to submit this information may cause the proposal to be returned without further review.

Please check the program solicitation.

DOD ADDITIONAL RESOURCES:

• March 20, 2019 Memorandum: Actions for the Protection of Intellectual Property, Controlled Information, Key Personnel and Critical Technologies
• Congressionally Directed Medical Research Program (CDMRP): General Application Instructions, Version 604
• Public Law 116-283, January 1, 2021: Disclosure of Funding Sources in Applications for Federal Research and Development Awards

U.S. DEPARTMENT OF ENERGY (DOE)

WHO:

All Senior/key personnel.  DOE defines Senior/key personnel as:

• • “An individual who contributes in a substantive, meaningful way to the scientific development or execution of a Research, Development and Demonstration (RD&D) project proposed to be carried out with a DOE award.”
  • DOE clarifies that typically these individuals have a doctoral or other professional degree, although individuals with other levels of education/experience may be considered Senior/key if their involvement meets the above DOE definition.

Other covered individuals.  At the award negotiation stage or during the performance of an award, DOE may designate project personnel as Senior/key and require their Current and Pending Support form.  This could include consultants, postdocs, graduate students, etc.

WHEN to disclose:

• Proposal stage: Follow the instructions provided in the Funding Opportunity Announcement for your proposal submission.  DOE instructed Contracting and Grants Officers to begin including these requirements in new FOA’s, as of June 1, 2022.
• Award stage:
  • Adding new Senior/key personnel – If there are changes or additions to Senior/key personnel for the project, the new person MUST submit a Current and Pending Support form within 30 days of joining the project team, or on a timeline provided by the program office.
  • Changes to previously submitted Current and Pending Support – Changes to a previously submitted Current and Pending Support form MUST be submitted within 30 days of the change, or on a timeline provided by the program office.

Note: Typically not applicable to financial assistance agreements that exclusively fund conferences, workshops, and other technical meetings.

WHAT to disclose:

The Current and Pending Support form MUST include “…all resources made available, or expected to be made available [pending], to an individual in support of the individual’s RD&D efforts…”  This is regardless of:

• • Whether the source of support is domestic or non-domestic
  • Whether the resource is made available through MSU or directly to the individual
  • Whether the resource has monetary value

Details of any obligations to a program, entity or organization sponsored by a non-domestic government MUST be provided to DOE upon request.  This may include providing supporting documents (with certified translation to English) of any identified source of support.

• All proposals and ongoing projects/awards.  May also include past support, if so, the requirement to include past support as well as the timeframe, will be included in the Funding Opportunity Announcement.
• Research gifts (with or without terms and conditions)
• Professional appointments, regardless of whether the appointment is:
  • Full-time, part-time or voluntary
  • Faculty, visiting, adjunct or honorary
• Involvement in foreign government-sponsored talent recruitment programs
• Consulting activities that involve conducting research
• Research conducted during the summer semester for faculty members with an Academic Year appointment
• “…in-kind contributions requiring a commitment of time and directly supporting the individual’s RD&D efforts.”  Examples include provision of office or lab space; access to equipment or supplies; and access to employee or student labor

WHO:

NASA designates as a senior/key person all Principal Investigators (PIs), all co-Principal Investigators (CoPIs), and co-Investigators (Co-Is) proposing to spend 10 percent or more of their time in any given year on a NASA-funded grant or cooperative agreement. NASA program offices may designate additional personnel categories as a senior/key person on a project-by-project basis, and these designations must be explicitly stated in all Notices of Funding Opportunities (NOFO). PIs and Co-PIs MUST provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work.

WHAT should be disclosed:

Like NSF, NASA has provided a table of Pre-Award and Post-Award Disclosure Requirements.

PIs and Co-PIs shall provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work. Co-Is proposing to spend 10% or more of their time in any given year to the proposed effort shall provide a list of ongoing and pending projects and proposals (regardless of salary support) that require more than 10% of their time in any given year. Proposals do not need to include the current proposal on the list of pending proposals unless it has been submitted in response to another funding opportunity (i.e., NASA or another sponsor).

PIs and Co-PIs also shall list their current and pending support with Chinese universities and other similar institutions or a Chinese-owned company at the prime recipient level and at all subrecipient levels, whether the bilateral involvement is funded or performed under a no exchange of funds arrangement3. (See paragraph 2.2.1).

HOW to disclose:

For those investigators for whom it is required (see above), the proposal shall provide a list with the following information for each current and pending project:

• Title of funded project or proposal title;
• Name of PI on award or proposal;
• Program name (if appropriate) and sponsoring agency or organization, including a point of contact with their telephone number and email address;
• Performance period;
• Total amount received by that investigator (including indirect costs) or the amount per year if uniform (e.g., $50 k/year); and
• Time commitment by the investigator for each year of the period of performance, regardless of salary support.

The proposing PI MUST notify the NASA Program Officer identified for the FA immediately of any successful proposals that are awarded for substantially the same research as proposed to NASA, any time after the proposal due date and until the announcement of NASA’s selections.

Current and pending support is not required for Co-Is at non-U.S. institutions. Current and pending support is usually not required for students. It may be requested, depending on the specifics of the Notice of Funding Opportunity (NOFO).

Please check the program solicitation for specific requirements.

NASA ADDITIONAL RESOURCES:

• NASA Grant and Cooperative Agreement Manual

U.S. DEPARTMENT OF AGRICULTURE

WHO:

Each project director/principal investigator (PD/PI) and other senior personnel specified in the Request for Applications (RFA). For Agriculture and Food Research Initiative (AFRI) applications, completion of this is only required for PDs/PIs and CoPDs/CoPIs.

WHEN to disclose:

At proposal, by uploading an attachment (see Additional Resources below for the recommended template) to the R&R Senior/Key Person Profile (Expanded)

WHAT and HOW to disclose:

• Record information for active and pending projects, including the subject proposal.
• All current efforts to which PD/PI(s) and other senior personnel have committed a portion of their time MUST be listed, whether or not salary for the person involved is included in the budgets of the various projects. For AFRI applications, list only projects for which salary is requested.
• Provide analogous information for all proposed work which is being considered by, or which will be submitted in the near future to, other possible sponsors, including other USDA programs. Concurrent submission of a proposal to other organizations will not prejudice its review by NIFA.
• For concurrent projects, the percent of time committed MUST not exceed 100%.

Please check the program solicitation for specific requirements.

USDA ADDITIONAL RESOURCES:

• USDA National Institute of Food and Agriculture (NIFA) Current and Pending Support Form
• USDA NIFA Grants Application Guide
• USDA NIFA Conflict of Interest List
• USDA NIFA Federal Assistance Policy Guide