Regulatory Background

The U.S. 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. The U.S. Government recently enacted the following federal directives and legistion regarding disclosures, research security program requirements, and research security training:

• National Security Presidential Memorandum 33 (NSPM 33) and Implementation Guidance
  • Released in January 2021
  • Requires all federal research funding agencies to standardize disclosure requirements for federally funded awards
  • Requires research institutions receiving over $50 million per year in federal research funding to certify that they have implemented a research security program 
• CHIPS & Science Act
  • Mandates a variety of research security provisions including:
    • Annual Research Security Training requirements for Federal research award personnel: page 792, section 10634
    • Certification of no involvement in Maligned Foreign Talent Recruitment Programs (MFTRP): page 787, section 10632
• National Defense Authorization Act for Fiscal Year 2021
• JCORE Recommendations:  
  • Developed by The National Science and Technology Council Joint Committee on the Research Environment, Subcommittee on Research Security in coordination with the National Security Council
  • Outlines recommended practices and guidance for research institutions to meet the requirements of NSPM-33.
• Agency Specific Documents
  • National Science Foundation Proposal & Award Policies & Procedures Guide (PAPPG)
  • National Institutes of Health 
    • Harmonized Other Support table
    • Foreign Component definition
• Department of Energy 
  • Interim COI policy (NOTE: this new policy can be expanded upon in individual RFAs) 
  • 486.1A Foreign Government Sponsored or Affiliated Activities
  • 142.3B Unclassified Foreign National Access Program