NSF's Implementation of PAPPG Chapter VII.D.3 "Foreign Gifts and Contracts Disclosure"

In accordance with Section 10339B, Foreign Financial Support, of the "CHIPS and Science Act of 2022" (42 U.S.C. § 19040), each institution of higher education that receives NSF funding must disclose annually, all "current financial support, the value of which is $50,000 or more, including gifts and contracts, received directly or indirectly from a foreign source" associated with a foreign country of concern. See Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII.D.3 for additional information. A list of the data elements may be found below.

An asterisk (*) indicates data fields that NSF intends to treat as confidential, subject to NSF's right or obligation to disclose such information as required or authorized by law.

Disclosures required under PAPPG Chapter VII.D.3

  1. Unique entity identifier (UEI).*
     
  2. Gift from a foreign source.
    1. Foreign source is an individual.
      1. Name of the individual.*
         
    2. Foreign source is an entity.
      1. Name of the entity. If the Legal Name is not available, the "Doing Business As" DBA/Trade Name may be entered.
        1. Legal Name, if known.*
        2. DBA / Trade Name, if known.*
      2. Does this entity have a U.S.-based subsidiary involved in the transaction? (Y/N) If yes, report the U.S.-based subsidiary of the foreign source as an intermediary in the Gift Recipient section.
         
    3. Type of foreign source.
      1. Is the gift from a foreign government, including but not limited to any agency of a foreign government? (Y/N)
      2. Is the gift from a nongovernmental legal entity or a subsidiary or affiliate thereof, created solely under the laws of a foreign state or states? (Y/N)
      3. Is the gift from an individual who is not a citizen or a national of the United States or a trust territory or protectorate thereof? (Y/N)
        1. Is the individual or entity identified in (ii) or (iii) acting as an agent on behalf of a foreign government? (Y/N)
          1. If yes, provide the name of the individual or entity acting as an agent on behalf of a foreign government.*
             
    4. Country of attribution.
      1. To which country of concern is the support attributable? For example:
        1. For natural persons, the country of attribution will be the country of citizenship, or, if unknown, the country of their principal residence.
        2. For incorporated entities, the country of attribution will be the country of incorporation, or, if unknown, the entity's principal place of business.
        3. For U.S.-based subsidiaries of an entity that is headquartered in a foreign country of concern, the country of attribution will be the foreign country of concern.
           
    5. Foreign source address.
      1. Foreign source has its principal residence or principal place of business located in a foreign country of concern, if applicable.
        1. Street Address.*
        2. Zip/Mail/Postal Code.
        3. City.
        4. State/Province.
        5. Country.
      2. Foreign source has its principal residence or principal place of business located outside a foreign country of concern, or the address of a U.S.-based subsidiary of an entity that is headquartered in a foreign country of concern, if applicable.
        1. Street Address.*
        2. Zip/Mail/Postal Code.
        3. City.
        4. State/Province.
        5. Country.
           
    6. Gifts from a foreign source.
      1. Amount.
      2. Date received.
         
    7. Specific restricted or conditional gift provisions.
      1. Types of restrictions or conditions.
        1. Are there any restrictions or conditions associated with the gift? (Y/N). If Yes:
          1. Do the restrictions or conditions include reporting requirements reflecting how the gift was used? (Y/N)
          2. Do the restrictions or conditions concern or relate to the employment, assignment, or termination of faculty? (Y/N)
          3. Do the restrictions or conditions concern or relate to the establishment of departments, centers, research or lecture programs, or new faculty positions? (Y/N) 
          4. Do the restrictions or conditions concern or relate to the selection or admission of students? (Y/N)
          5. Do the restrictions or conditions concern or relate to the misappropriation of know-how or intellectual property? (Y/N)
        2. If yes to any of the items listed in (i) through (v) above, provide a detailed description of such restrictions or conditions.
        3. If the restrictions or conditions do not fall into any of the categories listed in (i) through (v) above, please provide a detailed description of such restrictions or conditions.
           
    8. Recipient of gift.
      1. Did any researcher(s) named in the gift documentation receive financial or in-kind support from the gift for their research? An in-kind contribution is a non-cash contribution provided by an external entity that directly supports the research and development efforts of the individual(s). Gifts that are given directly to the researcher(s) without passing through the institution must also be reported. (Y/N) If yes, provide the name(s) of the individual(s).
        1. Name of the individual.*
        2. Department, if known.*
        3. Position, if known.*
      2. Is the gift given directly to the reporting institution (including a foundation of the institution, and related entities such as any educational, cultural, or language entity)? (Y/N)
        1. If the gift is given to any foundation or related entity, provide the name of the foundation, and/or related entities.
      3. Is the gift given indirectly to the reporting institution, including through an intermediary1? (Y/N) If yes, provide the name and address of any and all intermediaries.
        1. Name of intermediary.
          1. If the Legal Name is not available, the DBA/Trade Name may be entered.
            1. Legal Name, if known.*
            2. DBA / Trade Name, if known.*
        2. Address of intermediary.
          1. Street Address.*
          2. Zip/Mail/Postal Code.
          3. City.
          4. State/Province.
          5. Country.
             
  3. Contract with a foreign source.
    1. Foreign source is an individual.
      1. Name of the individual.*
         
    2. Foreign source is an entity.
      1. Name of the entity. If the Legal Name is not available, only the DBA/Trade Name needs to be entered.
        1. Legal Name, if known.*
        2. DBA / Trade Name, if known.*
      2. Does this entity have a U.S.-based subsidiary involved in the transaction? (Y/N) If yes, report the U.S.-based subsidiary of the foreign source as a third party or intermediary in the Domestic Party to Contract section.
         
    3. Type of foreign source.
      1. Is the contract with a foreign government, including but not limited to any agency of a foreign government? (Y/N)
      2. Is the contract with a nongovernmental legal entity, or a subsidiary or affiliate thereof, created solely under the laws of a foreign state or states? (Y/N)  
      3. Is the contract with an individual who is not a citizen or a national of the United States or a trust territory or protectorate thereof? (Y/N)
        1. Is the individual or entity identified in (ii) or (iii) acting as an agent on behalf of a foreign government? (Y/N)
          1. If yes, provide the name of the individual or entity acting as an agent on behalf of a foreign government.*
             
    4. Country of attribution.
      1. To which country of concern is the support attributable? For example:
        1. For natural persons, the country of attribution will be the country of citizenship, or, if unknown, the country of their principal residence.
        2. For incorporated entities, the country of attribution will be the country of incorporation, or, if unknown, the entity's principal place of business.
        3. For U.S.-based subsidiaries of an entity that is headquartered in a foreign country of concern, the country of attribution will be the foreign country of concern.
           
    5. Foreign source address.
      1. Foreign source has its principal residence or principal place of business located in a foreign country of concern.
        1. Street Address.*
        2. Zip/Mail/Postal Code.
        3. City.
        4. State/Province.
        5. Country.
      2. Foreign source has its principal residence or principal place of business located outside a foreign country of concern, or the address of a U.S.-based subsidiary of an entity that is headquartered in a foreign country of concern, if applicable.
        1. Street Address.*
        2. Zip/Mail/Postal Code.
        3. City.
        4. State/Province.
        5. Country.
           
    6. Contract terms.
      1. Amount.
      2. Contract start date.
      3. Contract end date, if known.
         
    7. Specific restricted or conditional contract provisions.
      1. Type of restrictions or conditions.
        1. Are there any restrictions or conditions associated with the contract? (Y/N). If Yes:
          1. Do the restrictions or conditions include reporting requirements reflecting how the contract was used? (Y/N)  
          2. Do the restrictions or conditions concern or relate to the employment, assignment, or termination of faculty? (Y/N)
          3. Do the restrictions or conditions concern or relate to the establishment of departments, centers, research or lecture programs, or new faculty positions? (Y/N)
          4. Do the restrictions or conditions concern or relate to the selection or admission of students? (Y/N)
          5. Do the restrictions or conditions concern or relate to the misappropriation of know-how or intellectual property? (Y/N)
        2. If yes to any of the items listed in (i) through (v) above, provide a detailed description of such restrictions or conditions.
        3. If the restrictions or conditions do not fall into any of the categories listed in (i) through (v), please provide a detailed description of such restrictions or conditions.
           
    8. Domestic party to contract.
      1. Did any researcher(s) named in the contract receive financial or in-kind support from the contract for their research? An in-kind contribution is a non-cash contribution provided by an external entity that directly supports the research and development efforts of the individual(s). Financial or in-kind support from a contract that is given directly to the researcher(s) without passing through the institution must also be reported. (Y/N) If yes, provide the name(s) of the individual(s).
        1. Name of the individual.*
        2. Department, if known.*
        3. Position, if known.*
      2. Is the contract entered into directly with the reporting institution (including a foundation of the institution, and related entities such as any educational, cultural, or language entity)? (Y/N)
        1. If the contract is entered into with any foundation or related entity, provide the name of the foundation, and/or related entities.
      3. Is the contract entered into by a third party, such as an intermediary2? (Y/N) If yes, provide the name and address of any and all intermediaries.
        1. Name of intermediary.
          1. If the Legal Name is not available, the DBA/Trade Name may be entered.
            1. Legal Name, if known.*
            2. DBA / Trade Name, if known.*
        2. Address of intermediary.
          1. Street Address.*
          2. Zip/Mail/Postal Code.
          3. City.
          4. State/Province.
          5. Country.
             

Certification

I certify that, in accordance with Section 10339B, Foreign Financial Disclosure Report, of the "CHIPS and Science Act of 2022" (42 U.S.C. § 19040), the organization is herewith reporting all "current financial support, the value of which is $50,000 or more, including gifts and contracts, received directly or indirectly from a foreign source associated with a foreign country of concern," as defined in the PAPPG Introduction, Section D. Misrepresentations and/or omissions may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§ 287, 1001, 1031, and 31 U.S.C. §§ 3729-3733 and 3802.

 

1NSF has expanded the definition of intermediary to include:

  1. an individual or entity other than an institution of higher education that receives a gift from or enters into a contract with a foreign source and then passes part or all of the support from the gift or contract to the institution of higher education, or
  2. an individual or entity other than a foreign source that sends support from a gift or contract to an institution of higher education on behalf of a foreign source.  
     

2NSF has expanded the definition of intermediary to include:

  1. an individual or entity other than an institution of higher education that receives a gift from or enters into a contract with a foreign source and then passes part or all of the support from the gift or contract to the institution of higher education, or
  2. an individual or entity other than a foreign source that sends support from a gift or contract to an institution of higher education on behalf of a foreign source.  
        
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