Research Security Policy Overview

Overview of Policies and Guidance Specifically Related to Current/Pending Support, Biosketches and Foreign Components CLASP Monthly Meeting October 2021

Need for Transparency failed to fully disclose foreign sources of research funding and the extent of their work for research institutions and universities in China. inewsource Jan. 28, 2020

Federal Actions Main Goal: Harmonize requirements across agencies

Joint Commission on the Research Environment Recommendations Research Security Programs Designate chief research security officer Establish research security and integrity working groups/task forces Develop written research security plans Include elements of cybersecurity, foreign travel security, insider threat awareness and education, export control training Provide guidance and controls for foreign talent program participation (agreement review/disclosure to the extent possible) Conflict of Interest/Conflict of Commitment disclosure policies and admin support for disclosing to federal agencies (note wide suggested applicability to include graduate students, visiting scholars) (consequences for non-disclosure)

5 National Security Presidential Memorandum (NSPM) 33

NSPM-33 Directs Action Outlines specific institutional responsibilities, including education Requires agency policies and processes to manage risks to research security and research integrity (including COI/COC) Requires consequences for non-disclosure Agencies may require disclosure of additional information

NSPM-33 Disclosure Requirements Organizational affiliation and appointments Other support includesallresources made available to a researcher in support of and/or related to all of their professional R&D efforts, including resources provided directly to the individual rather than through the research institution, and regardless of whether or not they have monetary value (e.g., even if the support received is only in-kind, such as office/laboratory space, equipment, supplies, or employees) Current or pending participation in, or applications to, programs sponsored by foreign governments, instrumentalities, or entities, including foreign government-sponsored talent recruitment programs Positions and appointments, both domestic and foreign, including affiliations with foreign entities or governments. This includes titled academic, professional, or institutional appointments whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary)

Implementation of NSPM-33 August 10, 2021 letter from OSTP Will develop clear and effective implementation guidance in 90 days Disclosure policy Oversight and enforcement Research security programs

National Defense Authorization Act 2021 Section 223 Individuals listed on applications must: Disclose amount, type and source of current and pending support Certify disclosure is current, accurate, and complete Agree to update at time of award and upon request Institutions must certify that individuals listed on application have been made aware of the requirement Penalties for non-compliance included in statute

NIH: New Biographical Sketch and Other Support For Due Dates on or after January 25, 2021 NOT-OD-21-073 Changes to Other Support Signature block has been added for PD/PIs or Other Senior/Key Personnel to certify to the accuracy of the information submitted. For Other Support Submissions that include foreign activities and resources, recipients are required to submit copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution as supporting documentation. If they are not in English, recipients must provide translated copies. Immediate notification of undisclosed Other Support. When a recipient organization discovers that a PI or other Senior/Key personnel on an active NIH grant failed to disclose Other Support information outside of Just-in-Time or the RPPR, as applicable, the recipient must submit updated Other Support to the Grants Management Specialist named in the Notice of Award as soon as it becomes known. Must report outside consulting (if research) and in-kind contributions

Other Agency Responses to Date NSF: Has implemented clarifications, immediate notification of undisclosed current and pending support and a standardized form for current and pending support, FAQ s DoD: Will be taking a risk-based approach, but will work hard to harmonize Others ????

Action Items: Steps to Compliance for Faculty Carefully review agreements with outside entities Include commitments relating to effort, IP, transfer of data and physical materials, requirements to host visitors. Ensure COI disclosures (both internal and external) are complete and accurate Update your CV and grant biosketches as appropriate Update information about outside activities in progress reports Report ANY foreign support/collaborations to your Chair and to granting agencies via ORPA Observe changes in simultaneous/external appointments procedures in Faculty Handbook

ORPA Website https://www.rochester.edu/orpa/compliance/ #bio