Guidance, Policies & Regulations

NSF Research Security & Disclosure Guidance 

• NSF Research Security Homepage 

• Guidelines for Research Security Analytics 

• Common Disclosure Forms 

• NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support 

NSF Risk Mitigation Process 

• TRUST Policy memo 

• NSF TRUST Overview 

NIH Research Security & Disclosure Guidance 

• NIH Foreign Interference Homepage 

• NIH Foreign Interference Data 

• NIH Requirements for Disclosure of Other Support, Foreign Components and Conflicts of Interest 

• NIH Current and Pending (Other) Support (CPOS) Common Form 

• NIH Co-Authorship and Foreign Components FAQs 

NIH Risk Mitigation Process 

• NIH Decision Matrix 

• NIH Decision Matrix Press Release (August 15, 2024) 

DOD Research Security & Disclosure Guidance  

• Department of Defense Academic Research Security Homepage 

DOD Risk Mitigation Process 

• Department of Defense Risk Matrix June 29, 2023 

DOE Research Security & Disclosure Guidance 

• DOE Office of Science Laboratory Policy Research Security 

• DOE Financial Assistance Letter - June 1, 2022 - DOE Current and Pending Support Disclosure Requirements for Financial Assistance 

• FY 2022 Continuation of Solicitation for the Office of Science Financial Assistance Program: DE-FOA-0002562 

DOE Risk Mitigation Process 

• DOE Science & Technology Risk Matrix - December 2022 

NASA Research Security & Disclosure Guidance 

NASA Preaward and Postaward Disclosure Requirements 

NASA Grant and Cooperative Agreement Manual - Oct. 2024 

• Section 9.4 - participation of China or Chinese-owned companies is prohibited 

• Section 10.6 - Current and Pending (Other) Support Disclosures 

• Section 16.7 - 16.9 - Export Controls 

• Section 16.12 - Security 

• Section 16.16 - Malign Foreign Talent Recruitment Programs 

• Section 19.0-19.3 - Risk Assessment 

• Section 29.7 - 29.9 - Postaward Disclosure Requirements 

The CHIPS and Science Act boosts investments to increase production of American-made semiconductors, tackle supply chain vulnerabilities to make more goods in the United States, revitalize U.S. scientific research and technological leadership, and strengthen the nation's economic and national security at home and abroad. The act also includes significant investments and protections for research and development with specific guidance to NSF to do the following: 

• Empowers NSF research security: The act requires NSF to maintain a Research Security and Policy Office to identify potential security risks. 

• Train researchers on best practices and prohibit federal employees and university researchers from participating in malign foreign talent recruitment programs (MFTRPs): The act requires covered individuals seeking funding from federal research agencies to complete annual training on research security. 

• Create a research security and integrity information-sharing organization: The act requires the establishment of an organization that would serve as a clearinghouse for information that helps institutions and researchers identify improper and illegal efforts that compromise research security. 

• Ensure transparency: The act requires universities applying for NSF funds to disclose agreements and gifts from China and other "foreign countries of concern." Also prohibits NSF funding from going to universities with Confucius Institutes. 

National Security Presidential Memorandum 33 (NSPM-33) is a directive from the executive branch (signed in 2021) requiring all federal funding agencies to strengthen protections of U.S. government-supported research and development against foreign government interference and exploitation. 

• Clarifies and simplifies how researchers disclose information to the federal government. Part of this solution is requiring researchers to use Digital Persistent Identifiers (DPIs), such as ORCID. 

• Requires Research Security Programs. It mandates a research security program at recipient organizations receiving more than $50 million dollars annually in federal research funding. 

• Requires Research Security and Export Controls Training. Federal government is tasked with supporting the development of training and programmatic guidelines at grantee institutions. 

• Establishes consequences for violating the requirements and provides guidance for sharing breaches among federal funding agencies. 

Implementation Guidance for NSPM-33 – Issued January 2022