On June 7, 2019, the U.S. Department of Energy (DOE) issued Order 486.1, Department of Energy Foreign Government Talent Recruitment Programs establishing new requirements for reporting interactions with talent recruitment programs operated or funded by foreign governments. To implement this new order, all employees and collaborators (including joint appointments, guest researchers, subcontractors, and others) will be asked to answer a yes/no question (“Are you personally receiving or expecting to receive compensation from a foreign government-run or -funded program?”) via the Training Management System (TMS). “Compensation” and other terms are defined in more detail in the FAQs below.
If you answer “yes,” you will be prompted to complete a new conflict of interest statement (if you are an employee) or otherwise provide additional information which will be reviewed by Argonne’s Legal department (if you are a collaborator).
Employees will receive the question via TMS the week of August 5, and collaborators will receive the question the week of August 19. You will have two weeks to respond in TMS so that the laboratory can meet the DOE requirement.
Order 486.1 FAQs
The Order
Q. What is DOE concerned about?
A. While the U.S. Department of Energy (DOE) encourages international collaborations at the national laboratories, federal agencies have growing concerns about the national and economic security risks associated with international research and collaborations involving sensitive foreign countries. DOE’s intent is not to stop international collaborations, but to protect specific science and technology.
To address these concerns, on June 7, 2019, DOE issued an order, establishing new requirements for reporting talent recruitment programs operated or funded by foreign countries.
Q. What are “foreign government talent recruitment programs”?
A. Generally, such programs include any foreign-state-sponsored attempt to acquire U.S.-funded scientific research through programs run or funded by the government that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working or educated in the United States. In exchange for compensation, the person may be asked to share knowledge or expertise with the foreign state or its researchers, students, or other representatives.
DOE’s full definition of a foreign government talent recruitment program is available in Order 486.1.
The Impact
Q. Does this order apply to all DOE laboratories?
A. Yes, though each has created its own compliance plan and timeline for implementing it.
Q. Will this requirement impact many members of the Argonne National Laboratory community?
A. Our initial impression is that few Argonne community members will be affected, especially since employees already have an obligation to report conflicts of interest.
Q. Who is impacted?
A. All employees and other research and development collaborators in the Argonne community will be asked to help Argonne comply. The span of on-site research and development collaborators includes joint appointments, Argonne Associates, emeritus, subcontractors, and various categories of guest researcher appointments.
However, the order does not apply to non-Argonne individuals when they are working under approved agreements called cooperative research and development agreements (CRADA), strategic partnership project agreements (SPP), or agreements for commercializing technology (ACT). In addition, the order does not apply to non-Argonne individuals when they are working under proprietary or non-proprietary user agreements.
Compliance
Q. What do I have to do to help Argonne comply?
A. You will receive a notification to complete an activity (answer a yes/no question) in the Training Management System (TMS). You must complete the activity promptly. Thereafter, these requirements will be included as part of the regular conflict of interest reporting systems.
Q. What if I am not able to access the Training Management System?
A. We offer online assistance with the Training Management System and contact information for TMS representatives. For help with your Argonne username and password, or help accessing TMS remotely through a VPN connection, contact the Argonne Service Desk at ext. 2-9999.
Q. What happens if I answer “No”?
A. Your answer will be recorded and will form the basis for our compliance report to DOE.
Q. What happens if I answer “Yes”?
A. The Legal department will review the situation to determine the next step. You may be asked for additional information to ensure a clear understanding of the situation. As with any potential conflict of interest, if the payment or benefit from the foreign government entity is determined to be detrimental to the laboratory, you may be asked to end involvement with the activity/relationship if you wish to continue at Argonne National Laboratory.
Q. What should I do if I am uncertain of answering yes or no?
A. Contact the Legal Department regarding questions about any potential conflict of interest at COI@anl.gov.
Q. What happens if I don’t answer the question?
A. Your management chain and TMS representatives will receive a notice that you have not completed the acknowledgement and will remind you to do so. You must answer the question within two weeks of the date the request is sent.
Q. What if I don’t report the payment or benefit from a foreign government?
A. Failure to disclose a payment or benefit from a foreign government may lead to disciplinary action up to and including termination.
Q. How often will I need to answer this question?
A. All employees must submit conflicts of interest certifications on an annual basis, or immediately if circumstances change or are expected to change in a way that may create an actual or potential conflict of interest not previously reported, as set forth in LMS POL-26 Employee Conflicts of Interest.
Q. Will Argonne National Laboratory have to do anything else to comply?
A. Some procedures and processes will have to be updated. For example, we will add the question about foreign-government compensation to Argonne employment application documents. We also will update the conflict of interest policy, employee conduct policy, and other related policies and forms.
Definitions and details
Q. What are examples of compensation?
A. Examples of compensation include cash, salary, research funding or equipment (unless under an approved SPP, CRADA, ACT, or user agreement), reimbursed expenses (unless for DOE-approved travel), honorific title/award, honorarium, promised or anticipated future compensation, or other types of remuneration or consideration.
Q. What does “remuneration or consideration” mean?
A. “Remuneration or consideration” is language from DOE Order 486.1. That phrase generally refers to anything of value or benefit given in return for services or that persuades someone to enter into an agreement.
Q. What is a foreign government entity?
A. A foreign government entity includes country, regional, or local level foreign governments, foreign national laboratories, certain foreign corporations, and foreign public universities.
Q. Do I need to report support from a foreign government entity related to my J1 Visa?
A. Yes.
Q. What if a third party pays for my hotel or airfare to attend a work-related conference?
A. If such third-party-funded hotel or airfare is disclosed and approved through the normal lab travel process, such third-party-funded hotel or airfare does not need to be disclosed as a conflict of interest, provided any direct payments to the individual by the third party are turned over to the lab by the individual.