What Is the FCPA?

The Foreign Corrupt Practices Act (FCPA) is a U.S. federal law that prohibits offering, authorizing, promising, or giving money or “anything of value” to a foreign official—directly or indirectly—when done with a corrupt motive and for the purpose of:

  • influencing any act or decision,
  • inducing a person to act or fail to act in violation of their lawful duty,
  • securing an “improper advantage,” or
  • inducing a person to use their influence to affect an official act or decision.

Importantly, the law also applies when something of value is provided to another person knowing it will be passed along to a foreign official—one of the most common risk areas in research contexts.

In addition, the FCPA requires institutions to maintain accurate books and internal controls, meaning that any item of value provided to a foreign official—monetary or non-monetary—must be fully and accurately documented in financial or administrative records.

Key Definitions

Foreign Official

Under the FCPA, “foreign official” is defined broadly. Many individuals involved in international research activities may fall under this definition, including:

  • University faculty or administrators at foreign public institutions
  • Scientists employed by foreign governments
  • Regulators employed by foreign governments
  • Officials from foreign health ministries or ethics boards
  • High-ranking foreign federal employees
  • Staff at foreign government–controlled organizations
  • Individuals acting on behalf of foreign governments
  • Foreign political party members or candidates

Even seemingly routine acts—such as covering travel costs or offering gifts—may raise FCPA concerns when foreign officials are involved.

Anything of Value

The term includes far more than direct payments. Examples include:

  • Gifts, meals, entertainment, travel expenses
  • Rebates, commissions, allowances, reimbursements
  • Charitable or political contributions
  • Uncompensated use of HMS facilities
  • Promises of admission to Harvard or employment opportunities
  • Offers of authorship, co-authorship, or other academic benefits
  • Access to non-public research data

Why Is the FCPA Relevant to Researchers?

Scientific research frequently involves international collaboration—grants, partnerships, data sharing, site reviews, fieldwork, or ethics approvals. These interactions may involve foreign officials even when it isn’t obvious.

Unintentional violations can still result in:

  • Significant financial penalties
  • Criminal liability
  • Institutional sanctions
  • Suspension of grants or loss of funding
  • Reputational or professional harm
  • Disruption of research programs

Understanding how the FCPA applies to research activities helps prevent these risks.

Examples of Activities That May Raise FCPA Concerns

Researchers may encounter FCPA-sensitive situations during routine work. Risk-prone scenarios include, but are not limited to:

  1. Engaging a third-party consultant abroad to obtain regulatory approvals — without a formal anti-corruption clause or due diligence, meaning payments to them could be construed as indirect bribes.
  2. Making a donation or charitable contribution to a foreign public university or hospital that is evaluating your grant or research proposal — which may be viewed as an attempt to influence decision-making.
  3. Offering academic incentives — such as co-authorship, visiting-scholar status, or future collaborations — to a foreign official or institution to persuade them to expedite review or approve a study.
  4. Funding what is labeled a “service fee” or “administrative fee” to a public foreign institution, but at an amount that is clearly above standard or market rate, without a corresponding legitimate service.
  5. Providing gifts, travel, hospitality, or other benefits to foreign-institution personnel (or their associates) under the pretense of “courtesy,” but with the underlying intent — or risk — of securing favorable decisions.
  6. Engaging agents, vendors, or local partners without proper vetting, documentation, or contractual obligations, thereby risking indirect transfers of value to foreign officials.

Best Practices for Researchers

  1. Understand Who Qualifies as a Foreign Official
    When collaborating internationally, assume that individuals affiliated with foreign public institutions may be considered foreign officials under the FCPA.
  2. Avoid Offering Anything of Value That Could Be Seen as Improper Influence
    Do not offer gifts, payments, travel, honoraria, or favors to foreign officials—directly or through third parties.
    If unsure, contact HMS Research Compliance before proceeding.
  3. Maintain Transparent and Accurate Records
    Record all payments, benefits, and transfers of value to international collaborators.
    This includes non-monetary benefits such as authorship, access to facilities, or specialized training.
  4. Use Formal, Approved Agreements for International Engagements
    Ensure that collaborations, services, or any transfers of value are supported by written agreements approved through appropriate HMS offices, such as:

Consequences of Non-Compliance

FCPA violations can result in:

  • Civil and criminal penalties, including fines and imprisonment
  • Grant loss or funding suspension
  • Institutional sanctions
  • Loss of public trust and professional credibility
  • Reputational damage
  • Harm to international business opportunities and collaborations

Who Can Help?

If you are uncertain whether an interaction, exchange, or planned activity complies with the FCPA:

Ask before you act.
HMS Research Compliance is available to help.

For questions or guidance, contact:
📧ARI@hms.harvard.edu
📞(617) 432-4408

Resources

Foreign Corrupt Practices Act (FCPA)

Resource Guide to the U.S. Foreign Corrupt Practices Act

DOJ Guidelines for Investigations and Enforcement of the Foreign Corrupt Practices Act