Skip to main content

NIH Requires Disclosure of Foreign Collaborations 

NIH funding recipients must disclose and receive prior approval for collaborations that qualify as a “foreign component”. 

Under NIH policy, a “foreign component” includes collaborations with investigators at a foreign site that are anticipated to result in co-authorship, use of facilities or instrumentation, or receipt of financial support or other resources from a foreign entity, regardless of whether NIH grant funds are expended or if they supported the co-author's involvement. All foreign components must be approved by NIH before work begins.  

Note: Other agencies have similar disclosure or prior approval requirements for foreign collaborations and resources, both funded and unfunded. 

Examples of activities that may require disclosure or prior approval include: 

  • Continuing to collaborate on an NIH-funded project with a co-PI, postdoctoral fellow, student, visiting scholar, or other researcher who has moved to a position outside the United States—even if this ongoing collaboration is no longer actively funded. 
  • Collaborating with a researcher from a foreign institution on a publication using data from an ongoing NIH-funded project.  
  • Hosting a visiting fellow whose salary is supported by a foreign government or institution. In these cases, the individual also needs to be disclosed as an in-kind resource on Other Support documents.  Faculty should follow Northwestern’s   Research Visitor Appointment Recommendation process and provide complete details about funding sources to ensure comprehensive screening. 

Even if the collaboration may not appear to constitute a “significant scientific element” of the project, Principal Investigators should consult Sponsored Research to help avoid potential compliance or funding issues.   

While the requirement to disclose "foreign components” has been in place for several years, NIH is focusing on to ensure compliance, such as through the review of publications reported on progress reports.

What does the PI need to do? 

  • Be sure to include any known foreign components up front in your research proposal. 
  • Throughout the life of your award, request that NIH approve all foreign components before work begins. To do so, provide your research administrator with the details of the foreign component, including who/what the foreign component is, the value it provides to the project, and whether there is associated funding. Your research administrator will submit the request through CERES, and Sponsored Research will contact NIH for prior approval.  
  • Because NIH may review publications in your progress report for co-authors affiliated with foreign institutions, address any related concerns proactively rather than waiting for them to be identified during the RPPR review. 
  • Continue to keep Other Support and Biographical sketch documents current and provide transparent disclosures of any foreign affiliations, sources of funding, or in-kind support. 

Questions? Contact the Sponsored Research team for questions related to reporting a foreign component or Other Support disclosures. Reach out to the Export Controls & International Compliance team if you are thinking of collaborating with high risk countries. 

Key Resources: