Research Security
Growing concerns about research security led to the National Security Presidential Memorandum-33 (NSPM-33), a directive from the President, managed by the White House Office of Science and Technology Policy (OSTP). The CHIPS and Science Act of 2022 strengthens this by adding additional regulations including expanded export control compliance, banning participation in malign foreign talent programs, requiring research security training, and enforcing the reporting of foreign funding.
International collaboration remains vital to the University’s research, fostering diverse perspectives, driving large-scale experiments, and addressing global challenges.
What is Research Security?
Research security in a university setting refers to the protection of sensitive research data, intellectual property, and scientific discoveries from theft, interference, or exploitation by unauthorized entities. It involves safeguarding against foreign influence, cyberattacks, and other risks that could compromise the integrity of research or create national and economic security concerns. Key aspects of research security include:
- Compliance
- Adhering to regulations, such as export control laws and government directives like NSPM-33, that govern international research.
- Foreign Influence Management
- Preventing unauthorized access to research through foreign collaborations or talent recruitment programs.
- Training and Awareness
- Educating researchers on how to identify and avoid security risks including transparent disclosures, international travel, cybersecurity and export controls.
In essence, research security programs will need to be designed to ensure that UC Berkeley can conduct research openly while maintaining the integrity, confidentiality, and legal compliance of our research.
How does NSPM-33 impact Berkeley?
National Security Presidential Memorandum-33 (NSPM-33) impacts universities by requiring us to enhance our research security practices, particularly in federally funded research. Its goal is to protect sensitive research from foreign influence, theft, and misuse while preserving the openness of academic collaboration. Key components include:
- Disclosure Requirements
- UCB must ensure researchers provide accurate and detailed disclosures of foreign affiliations, funding, and participation in foreign talent programs. This transparency helps the government assess potential risks.
- Research Security Programs
- UCB must implement formal research security programs that include cybersecurity measures, export control compliance, and training to protect against espionage or intellectual property theft.
- Researcher Training
- UCB is required to offer research security training programs, educating researchers on the risks and regulations related to mitigating undue foreign influence.
- Increased Reporting
- UCB must report foreign gifts, contracts, and financial transactions more rigorously, especially those involving countries deemed to pose security risks.
- Oversight and Compliance
- NSPM-33 increases federal oversight of university research, requiring UCB to demonstrate compliance with national security regulations to continue receiving federal research funding.
Overall, with NSPM-33, UCB must balance open research with the need to protect U.S. national interests in an increasingly complex global environment.
How does NSPM-33 impact Berkeley researchers?
National Security Presidential Memorandum-33 (NSPM-33) also directly affects individual researchers at universities, particularly those involved in federally funded projects. Key impacts on researchers include:
- Increased Disclosure Requirements
- Researchers must provide detailed disclosures about their foreign affiliations, funding sources, and involvement in foreign talent recruitment programs. Failure to transparently disclose foreign engagements in current and pending support and biosketches can lead to penalties, including loss of funding or exclusion from future research opportunities.
- Enhanced Training
- Researchers are required to undergo mandatory research security, cybersecurity, export controls and foreign travel training. This helps them understand the risks of foreign interference and compliance with national security regulations. Failure for the university to certify that federally funded researchers to conduct required training could put the university and researcher at risk.
- Compliance with Export Controls
- Researchers working on projects involving sensitive technologies or materials must adhere to export control laws, ensuring that they do not share controlled information with foreign entities or collaborators without proper authorization.
- Foreign Collaboration Scrutiny
- Researchers collaborating with foreign institutions may face more scrutiny regarding the nature of those partnerships from federal sponsors and agencies, particularly with countries of concern. Researchers may need to seek approval for certain collaborations or ensure they meet the university’s and federal sponsor’s compliance standards.
- Administrative Burden
- The additional reporting and compliance requirements can increase the administrative workload for researchers, as they need to carefully track and report their external funding, foreign relationships, and other relevant activities.
Overall, NSPM-33 requires researchers to be more transparent about their work and collaborations, which can be challenging but is essential for maintaining the integrity of research and national security.