Regulations & Guidelines A list of regulations, policies, and resources you need to protect your research portfolio. U.S. Research Security Policies & Guidance Background Information on Research Security JASON Report, Safeguarding the Research Enterprise (Mar 2024) JASON Report on Fundamental Research Security (Dec 2019) NSDD-189 – National Security Decision Directive 189 (1985)NSF – NSTC Research Security Subcommittee, NSPM-33 Implementation Guidance Disclosure Requirements & Standardization Policies Related to Research Security Executive Order on Addressing United States Investments in Certain National Security. Technologies and Products in Countries of Concern (Aug 2023)2023 National Defense Authorization Act Section 1335 The CHIPS & Science Act (Sep 2022)NSTC – NSPM-33 Implementation Guidance (Jan 2022)The BIOSECURE Act (2022) 2022 Small Business Act (SBIR/STTR Reauthorization and Due Diligence Requirements) (15 U.S.C. 638)National Defense Authorization Act 2022 Protecting American Intellectual Property Act of 2022Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policymaking (Jan 2021) National Security Presidential Memorandum on United States Government-Supported Research and Development National Security Policy 33 (NSPM-33) (Jan 2021)National Defense Authorization Act (NDAA) (2021) Holding Foreign Companies Accountable Act Disclosure - Security and Exchange Commission (2021) CFIUS 85 CFR 57124 - Provisions Pertaining to Certain Investments in the United States by Foreign Persons (Sep 2020) National Defense Authorization Act (NDAA) (2020) Executive Order 13587 - Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information (Oct 2011) National Insider Threat Policy Actions and Practices Related to Research Security NSTC – NSPM-33 Implementation Guidance (Jan 2022)OSTP Report - PROTECTING THE INTEGRITY OF GOVERNMENT SCIENCE (Jan 2022) NSTC – Recommended Practices for Strengthening the Security and Integrity of America’s Science and Technology Research Enterprise (Jan 2021) GAO – Federal Research: Agencies Need to Enhance Policies to Address Foreign Influence (Dec 2020)NSF – Former NSF Director Dr. France A. Cordova, “Dear Colleague” Letter to the Academic Community (Jul 2019)NIH - Dear Colleagues Letter - Dr. Francis Collins, Director of NIH (Aug 2018) Information on Disclosure Requirements and Standardization NSF – Draft Common Disclosure Forms for the Biographical Sketch and Current and Pending (Other) Support (Aug 2022)Department of Energy (DOE) – PF 2022-32 Department of Energy Current and Pending Support Disclosure Requirements for Financial Assistance (Jun 2022)NSPM-33 Implementation Guidance (Jan 2022)NSF – NSF Proposal and Award Policies and Procedures Guide (PAPPG) (NSF 22-1) (Oct 2021)NSPM-33 (Jan 2021)Government Accountability Office (GAO) – Federal Research: Agencies Need to Enhance Policies to Address Foreign Influence (Dec 2020)National Institutes of Health (NIH) – Requirements for Disclosure of Other Support, Foreign Components, and Conflicts of Interest Information on Digital Persistent Identifiers (DPIs) NSTC – NSPM-33 Implementation Guidance (Jan 2022)NSPM-33 (Jan 2021) Assessing and Mitigating Risk NSTC – Recommended Practices for Strengthening the Security and Integrity of America’s Science and Technology Research Enterprise (Jan 2021) JASON Report on Fundamental Research Security (Dec 2019) Research Security Guidance from Associations and Societies COGR – Matrix of Science & Security Laws, Regulations, and Policies (Sep 2022) AAU – Actions Taken to Address Foreign Security Threats, Undue Foreign Interference, and Protect Research Integrity at U.S. Universities (Jun 2022) COGR – Summary of NSTC Guidance for Implementing NSPM-33: Provisions Regarding DPIs, Consequences, Information Sharing and Research Programs (Jan 2022)AAU, APLU – Principles and Values to Guide Actions Relevant to Foreign Government Interference in University Research (May 2021) The Association of American Universities (AAU), Association of Public and Land-Grant Universities (APLU), Council on Government Relations (COGR) – University Actions to Address Concerns about Security Threats and Undue Foreign Government Influence on Campus (May 2020) Letter to ACE Member Presidents and Chancellors Regarding Growing Concerns about Foreign Influence/Interference (May 2019) A Letter to ACE Member Presidents Hosting Confucius Institutes (July 2018)Association of American Medical Colleges (AAMC) – Research Security and Foreign Interference at U.S. Academic Institutions Webpage Canada Research Security Policies & Guidance Canada National Security Guidelines for Research Partnerships Policy on Sensitive Technology Research and Affiliations of Concern Directive of Conflict of Interest Global Affairs Canada Policy on Research and Scientific Integrity United Kingdom Trusted Research Policies & Guidance United Kingdom National Security Investment Act NPSA Informed Investment Information NPSA Trusted Research Guidance Trusted Research Checklist Export Controls Applying to Academic Research Exports Controls on Academic Research - UK Case Studies Additional Research Security Guidance from International Entities European Union European Union Trust Project Australia “Guidelines to Counter Foreign Interference in the Australian University Sector”, University Foreign Interference Taskforce (Nov 2019, modified in Nov 2021) Australian Strategic Policy Institute, China Defence Universities Tracker (launched Nov 2019, updated May 2021) Denmark “Guidelines for International Research and Innovation Cooperation” (May 2022) Japan Policy Directions for Ensuring Research Integrity in Response to New Risks Associated with Increasing Internationalization and Openness of Research Activities (April 2021) New Zealand Due Diligence Assessments: For Espionage and Foreign Interference Threats (May 2022) Sweden Swedish Foundation for International Cooperation in Research and Higher Education (STINT), Responsible Internationalisation: Guidelines for Reflection on International Academic Collaboration (2020) International Organizations Organization for Economic Co-operation and Development (OECD) – OECD Report on Integrity and Security in the Global Research Ecosystem (June 2022) G7 – Common Values and Principles on Research Security and Research Integrity (June 2022) Global Research Council – Statement of Principles and Practices for Research Ethics, Integrity, and Culture in the Context of Rapid-Results Research (May 2022)
