Reference Library

Issued in January 2023 by the National Academies, this report outlines recommended conditions that should be in place for the Department of Defense to consider granting a waiver to allow an institution of higher education (IHE) hosting a Confucius Institute (CI) to continue receiving agency funding, as contemplated under the FY2020 NDAA. A companion highlights summary is also available.

A Government of Canada website (October 2022) that provides guidance and resources for researchers engaging in international research.

September 2022. Requires agencies to implement a due diligence program to assess security risks for SBIR and STTR proposals. Disclosure requirements include information on foreign ties, business relationships, investment, and ownership. [Source: AAU, January 2024].

A September 2022 NASA presentation (at 49:32 in the recorded Federal Demonstration Partnership federal agency updates session) in which NASA clarified how it applies the Wolf Amendment restriction. NASA explained that it defines a 'Chinese-owned company' as any company owned by China, or any company incorporated under the laws of China, and that Chinese universities and similar institutions are considered to be incorporated under the laws of China and are therefore subject to the funding restrictions.

Requires NIST to offer resources and technical assistance to research intensive universities to help them mitigate cyber risks related to conducting research.

Directs NSF to collect annual summaries of foreign financial support from universities. The provision establishes a reporting threshold of $50,000 or more in [cumulative] financial support, including gifts and contracts, received directly or indirectly from a foreign country of concern (China, Russia, North Korea, and Iran at the time the law was enacted), or any other country determined to be a concern by the Secretary of State. This is in addition to the reporting of gifts and contracts from all foreign countries with a cumulative value of $250,000 or more via the Higher Education Act and Department of Education.

OSTP to issue guidance to Federal research agencies to prohibit participation in 'foreign talent recruitment programs' by agency personnel and provide additional clarification to the research community regarding which activities are considered 'foreign talent recruitment programs.' OSTP is also directed to issue guidance clarifying that researchers working on Federally supported research projects must disclose participation in FTRPs in Federal research award proposals. OSTP is further directed to issue guidance for Federal research agencies to prohibit researchers working on agency-funded projects from participating in 'malign foreign talent recruitment programs,' and certify both at the time of proposal and annually that they are not part of a malign foreign talent recruitment program.

Places restrictions on eligibility for NSF R&D funding for institutions that host or support Confucius [or Confucius-like] institutes.

Directs [NSF] to establish a research security and integrity information sharing analysis organization to enable the research community to share information, identify research security risks, and implement risk assessment and mitigation best practices and procurement of a non-government organization to run this center. The SECURE Program, including the SECURE Center and SECURE Analytics, were implemented to answer this call.

Expands the requirement for RCR training to include faculty and other senior personnel on [NSF] awards and expands the scope of such training to include mentoring training and training to raise awareness of research security risks as well as Federal export control, disclosure, and reporting requirements.

Authorizes the NSF OCRSSP, in coordination with the Office of Inspector General (OIG), to conduct risk assessments, including through the use of open-source analysis and analytical tools, of R&D award applications and disclosures to NSF.

Directs [NSF] to develop an online resource to inform institutions and researchers of security risks and best practices and explain Foundation research security policies.

Establishes a Chief of Research Security position within the NSF Office of the Director to manage the Office of Research Security and Policy.

Establishes an Office of Research Security, Strategy, and Policy within NSF.

Requires NIST to consider the needs of IHEs when creating cybersecurity guidance.

DOE Office of Science to develop and maintain tools and processes to manage and mitigate research security risks such as an S&T risk matrix, informed by threats identified by the Office of Defense National Intelligence (ODNI).

Signed into law in August 2022, the CHIPS and Science Act includes a number of research security provisions. Key sections address research security at DOE, NIST cybersecurity guidance, NSF Office of Research Security and Policy, research security training requirements, information sharing analysis organizations, Confucius Institute restrictions, foreign financial support reporting, and foreign talent recruitment program requirements.

Released in May 2022 from the Committee on guidelines for international research and innovation cooperation to facilitate international cooperation in research.

A January 2022 report by the White House OSTP/NSTC Research Security Subcommittee providing additional details on 1.) Disclosure Requirements and Standardization 2.) Persistent Identifiers 3.) Consequences for Violation of Disclosure Requirements 4.) Information Sharing and 5.) Research Security Programs. Largely superseded by the final July 9, 2024 guidelines.

A summary document issued by COGR in January 2022 that highlights key points of the Guidance for Implementing NSPM-33 Provisions.

Issued by the NCSC in December 2021, this document includes links to risk mitigation materials that can be utilized to improve: physical security, personnel security, operations security, cybersecurity, defensive counterintelligence, insider threat mitigation, and supply chain risk management.

November 2021 guidelines for the Australian University sector to help manage and engage with risk to deepen resilience against foreign interference in the university sector.

A May 2021 joint release from AAU and APLU highlighting key principles that can be adapted by both universities and the federal government to protect the research enterprise from foreign influence.

Published April 2021, Japan's policy directions for ensuring research integrity in response to new risks associated with increasing internationalization and openness of research activities.

Issued March 2021. Requires immediate notification of undisclosed Other Support. If a recipient discovers Other Support information on an active NIH grant that should have been, but was not, disclosed during just-in-time or in an annual progress report, updated Other Support must be submitted to the Grants Management Specialist as soon as the undisclosed information is known.