Federal research security compliance is built around a straightforward principle: transparency and complete disclosure of all appointments, affiliations, financial support, and in-kind resources that support an investigator's research endeavors—domestic or foreign—paired with statutory prohibitions on participating in Malign Foreign Talent Recruitment Programs (MFTRPs).
The Statutory and Policy Framework
1. NSPM-33 and OSTP Implementation Guidance
National Security Presidential Memorandum 33 (NSPM-33) directed federal research agencies to standardize disclosure requirements across the federal government, establish clear consequences for nondisclosure, and require research security programs at institutions receiving significant federal R&D funding.
2. The CHIPS and Science Act of 2022 (Public Law 117-167, Sections 10631–10638)
The CHIPS and Science Act codified several mandatory research security obligations into federal statute:
- Prohibition on Malign Foreign Talent Recruitment Programs (MFTRPs) (Section 10632 / 42 U.S.C. 19232): Each federal research agency must require covered individuals (senior/key personnel) listed on an application for a research and development award to certify that they are not a party to a malign foreign talent recruitment program, and recipient institutions must certify that such individuals have been made aware of and complied with this prohibition.
- Definition of a Malign Foreign Talent Recruitment Program (Section 10638(4) / 42 U.S.C. 19237(4)): Not every international academic collaboration or fellowship is an MFTRP. Under the statute, an MFTRP is a program, position, or activity sponsored by a foreign country of concern (defined at the time of enactment as the People's Republic of China, the Democratic People's Republic of Korea, the Russian Federation, and the Islamic Republic of Iran, or an entity based in such a country) or unauthorized foreign entity that includes compensation or remuneration plus problematic obligations or indicators defined in Section 10638(4)—such as unauthorized transfer of intellectual property or unpublished data, establishing a parallel laboratory or overlapping funding for the same research, inability to terminate the contract, or requirements to conceal or omit acknowledgment of the U.S. home institution or funding agency.
- Research Security Training Requirement (Section 10634 / 42 U.S.C. 19234): Covered individuals must complete research security training within 12 months prior to proposal submission (as implemented by each federal research agency's schedule), and institutions exceeding the statutory annual federal R&D expenditure threshold must certify that they maintain a compliant research security program covering cybersecurity, foreign travel security, research security training, and export control training.
3. NSTC Common Disclosure Forms
To reduce administrative divergence while tightening compliance, federal research agencies (led by NSF and NIH) adopted the NSTC Common Forms for the Biographical Sketch and Current and Pending (Other) Support (implemented electronically via SciENcv):
- Biographical Sketch: Requires disclosure of all domestic and foreign professional appointments and affiliations (including titled academic, professional, or institutional positions whether or not remuneration is received, and whether full-time, part-time, or voluntary/adjunct/visiting).
- Current and Pending (Other) Support: Requires disclosure of all resources made available to a senior/key person in support of and/or related to all of their research endeavors, including in-kind contributions (such as office/laboratory space, equipment, supplies, or employees/students supported by an outside source) that are not intended for use on the proposed project itself or that have an associated time commitment.
Key Agency Differences: NIH vs. NSF Disclosure Mechanics
| Feature | NIH requirements | NSF requirements |
|---|---|---|
| Supporting foreign contracts/agreements | For Other Support submissions, recipients must provide copies of contracts, grants, or any other agreements specific to senior/key personnel foreign appointments and/or employment with a foreign institution, translated into English if not in English. | Does not routinely require attaching copies of foreign employment contracts with the Current and Pending (Other) Support form unless specifically requested by NSF. |
| Electronic signature by senior/key personnel | Each senior/key person must electronically sign their Other Support submission (and Biographical Sketch under the Common Form implementation) certifying the accuracy of the information prior to institutional submission. | Each senior/key person certifies the accuracy of their Biographical Sketch and Current and Pending (Other) Support in SciENcv at proposal preparation and update stages. |
| Post-award failure to disclose (undisclosed support discovered later) | Under NIH GPS Section 2.5.1, if an organization discovers that a senior/key person failed to disclose Other Support information that should have been included in a Just-in-Time or RPPR submission, the recipient must submit updated Other Support to the Grants Management Specialist as soon as it becomes known (within 30 calendar days per NIH guidance). | Under NSF PAPPG, if an organization discovers that a PI/co-PI or senior/key person failed to disclose required Current and Pending (Other) Support or Biographical Sketch information at the time of proposal submission, the AOR must submit the post-award disclosure to NSF within 30 calendar days of identification. |
| Adding a Foreign Component (NIH) vs. International Activities (NSF) | At NIH, adding a Foreign Component (any significant scientific element or segment of a project outside the U.S., whether or not NIH grant funds are expended there) to an active domestic award requires prior written NIH GMO approval. | At NSF, international travel, foreign subawards, and international activities are reviewed through the proposal and post-award notification/approval framework in the PAPPG. |
Practical Checklist for Sponsored Programs Offices
- Cross-check appointments against Current and Pending (Other) Support: If a faculty member lists a visiting, honorary, or adjunct appointment at a foreign institution on their Biographical Sketch, verify whether that appointment provides laboratory space, funded graduate students/postdocs, equipment, or research funds that must also be reported on Current and Pending (Other) Support.
- Verify English translations for NIH foreign agreements: Before submitting NIH Just-in-Time or RPPR Other Support for an investigator with a foreign appointment or employment, confirm that the underlying foreign contract or agreement (and an English translation) is included and that the investigator's electronic signature certification is valid.
- Coordinate Higher Education Act Section 117, FCOI, and Grant Disclosures: Ensure your institution's conflict-of-interest office, sponsored programs office, and general counsel can reconcile internal FCOI disclosures and foreign gift/contract reporting with what is submitted on federal grant applications.