Federal Research:   联邦研究：NIH Could Take Additional Actions to Manage Risks Involving Foreign Subrecipients
国立卫生研究院（NIH）可采取更多措施管理涉及外国分受助方的风险

What GAO Found  美国政府问责局的发现

All three of the selected Chinese entities GAO was asked to provide information on, received research funds in calendar years 2014 through 2021, whether directly through a federal award or indirectly through subawards to carry out part of the work of a federal award. Specifically, the National Institutes of Health (NIH) provided $200,000 in grant funding to Wuhan University, the only selected Chinese entity to receive funding directly from a federal agency. However, all three selected entities collectively received seven subawards, totaling over $2 million, from federal award recipients or a first-tier subrecipient (see figure).
美国政府问责局（GAO）被要求提供信息的三家中国实体，在 2014 年至 2021 年日历年间均获得了研究资金，无论是通过联邦拨款直接获得，还是通过分包拨款间接获得，以执行联邦拨款的部分工作。具体来说，国家卫生研究院（NIH）向武汉大学提供了 20 万美元的拨款资金，武汉大学是唯一一家直接从联邦机构获得资金的中国实体。然而，这三家选定实体共获得了七个分包拨款，总额超过 200 万美元，这些拨款来自联邦拨款接受者或一级分包接受者（见图）。

Awards and Subawards Identified to Three Selected Chinese Entities, Calendar Years 2014-2021
2014-2021 年日历年间向三家选定中国实体授予的拨款及分包拨款

Note: The figure may not reflect all funding to the selected entities in the time period reviewed due, in part, to limitations in federal reporting requirements.
注：由于联邦报告要求的限制，该图可能未反映审查期间向选定实体提供的所有资金。

Federal agencies and award recipients described efforts to assess risks, but gaps exist in NIH's risk assessment efforts. In January 2023, the Health and Human Services Office of Inspector General recommended that NIH implement enhanced monitoring, documentation, and reporting requirements for award recipients with foreign subrecipients. To address this recommendation, NIH noted it may need additional authorities and plans to explore government-wide practices, which will take time. However, federal internal controls require that agencies take timely corrective actions to address risks. While NIH pursues long-term actions for award recipients, it has not conducted its own near-term assessments, which could enhance its internal oversight.
联邦机构和奖助金接受者描述了评估风险的努力，但 NIH 的风险评估工作存在不足。2023 年 1 月，卫生与公众服务部监察长办公室建议 NIH 对拥有外国分受助人的奖助金接受者实施加强的监控、文档记录和报告要求。为应对该建议，NIH 表示可能需要额外的权限，并计划探索政府范围内的做法，这将需要时间。然而，联邦内部控制要求各机构及时采取纠正措施以应对风险。尽管 NIH 正在为奖助金接受者采取长期行动，但其尚未进行自身的短期评估，而这本可以增强其内部监督。

Why GAO Did This Study
GAO 为何进行本次研究

Federal agencies sometimes provide funds to foreign entities, such as universities and laboratories, for research or other purposes. Such collaborations can benefit agency missions and lead to advancements in areas such as public health. At the same time, Congress, the White House, and others have expressed concerns about entities from countries, such as China, exploiting U.S. funded research in ways that could harm U.S. national security or economic competitiveness.
联邦机构有时会向外国实体（如大学和实验室）提供资金，用于研究或其他目的。这类合作可以促进机构使命的实现，并推动公共卫生等领域的进步。与此同时，国会、白宫及其他方面对来自中国等国家的实体利用美国资助的研究，可能损害美国国家安全或经济竞争力表示担忧。

GAO was asked to provide information on federal funds disbursed to three selected Chinese entities—Wuhan University; the Wuhan Institute of Virology; and the Academy of Military Medical Sciences.
美国政府问责局（GAO）被要求提供有关向三家特定中国实体——武汉大学、武汉病毒研究所和军事医学科学院——发放的联邦资金的信息。

This report examines, among other things, the amount of federal funding GAO identified that was provided to the three selected Chinese entities in calendar years 2014 through 2021 and steps agencies and award recipients have taken to assess risks.
本报告审查了 GAO 确定的 2014 年至 2021 年日历年间向这三家中国实体提供的联邦资金金额，以及各机构和资助接受方为评估风险所采取的措施。

GAO searched USAspending.gov and other federal databases and reviewed award agreements, progress reports, payment information, and other documents from federal agencies and U.S.-based award recipients. GAO also interviewed federal officials and the U.S. award recipients.
GAO 检索了 USAspending.gov 及其他联邦数据库，审查了联邦机构和美国资助接受方的奖励协议、进展报告、付款信息及其他文件。GAO 还采访了联邦官员和美国资助接受方。