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Regulatory Background
The U.S. federal government has expressed serious growing concerns regarding inappropriate influence and exploitation by foreign entities over federally funded research and the open university research environment. One issue that has moved to the forefront is the failure of federally-funded researchers at U.S. institutions to disclose their relationships and activities with foreign institutions and funding agencies. Several federal agencies have indicated that failure to disclose foreign relationships and activities may jeopardize eligibility for future funding.
To address these concerns and protect U.S. research assets, the federal government has established several key directives, legislation, and guidance.
Key Federal Initiatives
The regulatory background for research security in the United States is largely shaped by two key initiatives: National Security Presidential Memorandum 33 (NSPM-33) issued in 2021 and the CHIPS and Science Act of 2022.
NSPM-33 (2021)
- What it means for research: NSPM-33 directs all federal research funding agencies to standardize disclosure requirements for federally funded awards.
- Impact on Institutions: It also mandates research institutions receiving over $50 million per year in federal research funding to certify that they have implemented a research security program.
- Guidance for Implementation: The JCORE (Joint Committee on the Research Environment) Recommendations, developed by the National Science and Technology Council, outlined best practices to help institutions establish and maintain robust research security programs that meet NSPM-33 requirements.
CHIPS & Science Act of 2022
What it means for research: This act reinforces and expands upon research security measures, introducing specific legal requirements for researchers and institutions. Key provisions include:
- Annual Research Security Training: Mandates regular training for personnel involved in federally funded research to ensure awareness of security risks and policies (see Sec. 10634, page 792 of the Act).
- Malign Foreign Talent Recruitment Program (MFTRP) Restrictions: Requires researchers to certify they are not participating in MFTRPs and establishes consequences for such involvement (see Sec. 10632, page 787 of the Act)
Office of Science and Technology Policy (OSTP) Final Implementation Guidance (2024)
OSTP issued final guidelines for federal agencies on implementing the research security program requirements established by NSPM-33 and the CHIPS and Science Act. The guidance established “as a standardized requirement” that federal agencies require covered institutions to certify that their research security programs include specific elements relating to “(1) cybersecurity; (2) foreign travel security; (3) research security training; and (4) export control training, as appropriate.”
Additional Legislation
National Defense Authorization Act for Fiscal Year 2021 included provisions that bolster research security, often setting the stage for or reinforcing requirements related to disclosure, protection of controlled information, and addressing foreign influence concerns.
Agency Specific Requirements
Federal funding agencies have updated their policies and guidance to align with these overarching directives. It’s crucial to be aware of the specific requirements for any federal agency from which you seek or receive funding.
Office for Research Protections
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200 Innovation Blvd.
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The Office for Research Protections (ORP) ensures that research at the University is conducted in accordance with federal, state, and local regulations and guidelines that protect human participants, animals, students, and personnel involved with research.