Ohio State University Pays $2.1 Million Settlement Over Undisclosed Foreign Affiliations with China

Ohio State University has settled federal claims for $2.1 million, acknowledging that a former researcher maintained "inappropriate foreign affiliations." The settlement addresses allegations that the university did not disclose researchers' connections to China when applying for and receiving federal grants funded by taxpayers.

The Department of Justice (DOJ) contended that Ohio State failed to adequately report affiliations and financial backing from Chinese universities and state-operated research entities in various applications and reports provided to the National Aeronautics and Space Administration (NASA) and the National Science Foundation (NSF) between 2012 and 2023. Among the specific allegations was the involvement of a principal investigator in China's Thousand Talents Program.

University's Response and Corrective Actions

In response to the revelations, Ohio State stated it suspended the principal investigator privileges of the individual, identified as Shum, ceased expenditures on the implicated federal awards, and initiated disciplinary actions. The university also repaid the federal grant funds in question. Shum is no longer an employee at Ohio State, and the institution affirmed its cooperation with federal authorities during the investigation.

Ohio State emphasized its commitment to national security and highlighted its established reputation for fostering research integrity and security. The university detailed safeguards such as specialized research compliance and secure research departments, compulsory systems for disclosing conflicts of interest and research security, and comprehensive training programs addressing security and foreign influence.

Federal Allegations and Undisclosed Ties

A press release from the Justice Department clarified that the grant applications mandated Ohio State to disclose all connections to foreign governments.

The agreement addresses claims that OSU did not reveal collaborations, affiliations, or funding from the People's Republic of China (PRC) involving specific OSU personnel working on NASA and NSF grants. Specifically, the settlement resolves allegations that, since 2014, annual Faculty Activity Reports submitted internally to Ohio State had documented affiliations with PRC universities and state-run research organizations, yet this information was not conveyed to NASA or NSF.

The Justice Department's release also pointed out that Ohio State learned in 2019 that a researcher involved in NASA-funded projects was participating in China’s Thousand Talents Program. However, the university did not notify NASA and the National Science Foundation until 2023.

Federal authorities characterize the Thousand Talents Program as an initiative supported by Beijing, designed to recruit individuals possessing expertise in or access to foreign technology and intellectual property. The DOJ also indicated that additional Ohio State employees linked to the federal grants had undisclosed relationships with Chinese entities or received funding from China.

Protecting Federally Funded Research

Brett Shumate, Assistant Attorney General of the Justice Department's Civil Division, emphasized the importance of transparency, stating, "American universities that benefit from the federal government’s support for scientific research and advancement must fully disclose all foreign funding in their grant applications."

He added, "We will continue to hold accountable any university that fails to comply with disclosure requirements designed to protect research security and federally-funded scientific achievements."