National Security Presidential Memo 33 (NSPM-33)

The White House issued National Security Presidential Memo 33 (NSPM-33) in January 2021, followed by supplemental Implementation Guidance in January 2022. Both have direct impacts on institutions of higher education that receive federal-sponsored research funds. National Security Presidential Memorandum 33 is a directive from the executive branch intended to safeguard the security and integrity of federally funded research.

NSPM-33 mandates the establishment of research security programs to protect against foreign government interference and exploitation at research institutions receiving federal funds in excess of $50 million per year. NSPM-33 directs agencies and departments to focus on improving research security in the following areas:

  • Disclosure Requirements and Standardization
  • Digital Persistent Identifiers
  • Consequences for Violation of Disclosure Requirements
  • Information Sharing
  • Research Security Programs

The University fulfills the effort reporting requirement through the use of the Effort Reporting System (ERS). ERS is a web-based tool that calculates the distribution of effort for all employees paid from federal and federal flow-through funds, captures certification electronically, and provides a mechanism for processing corrections and re-certifying reports.

Disclosure Requirements and Standardization

The Office of Science & Technology Policy (OSTP) Implementation Guidance issued in January 2022 addressed standardization of disclosure requirements by federal agencies, including clarity regarding who discloses what, relevant limitations and exclusions; disclosure process (e.g., updates, corrections, certification, and provision of supporting documentation); and expected degree of cross-agency uniformity.

The National Science and Technology Council (NSTC) Research Security Subcommittee has worked to develop consistent disclosure requirements for use by senior personnel, as well as to develop proposed common disclosure forms for the Biographical Sketch and Current and Pending (Other) Support sections of an application for Federal research and development (R&D) grants or cooperative agreements.

COMMON DISCLOSURE FORMS FOR THE BIOGRAPHICAL SKETCH AND CURRENT AND PENDING (OTHER) SUPPORT

DISCLOSURE REQUIREMENTS

A table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending (Other) Support1 has been created to provide helpful reference information regarding pre-award and post-award disclosures. The table includes the types of activities to be reported, where such activities must be reported in the application, as well as when updates are required in the application and award lifecycle. A final column identifies activities that are not required to be reported.

Research Security Program

Elements of Research Security per NSPM-33:

  1. Disclosures. Significant increases to disclosures for recipients of sponsored research funding, along with consequences for non-disclosure, such as researcher debarment from future funding.
  2. Cybersecurity. Satisfaction of basic safeguarding protocols and procedures.
  3. Foreign travel security. International travel policies for faculty and staff.
  4. Research security training. Training to relevant personnel on research security threat awareness and identification, including insider risk training where applicable.
  5. Export control training, as appropriate. Training to relevant personnel on requirements and processes for reviewing foreign sponsors, collaborators and partnerships, and for ensuring compliance with Federal export control requirements and restricted entities lists.

As currently proposed, institutions must implement a Research Security program, including:

  1. Certifying the institution’s Research Security program to the Federal government;
  2. Designating an institutional point of contact for the program; and
  3. Creating a written program description.

Resources

Related information