NATIONAL SECURITY PRESIDENTIAL MEMORANDUM – 33
MEMORANDUM FOR THE VICE PRESIDENT
THE SECRETARY OF STATUS
THE SECRETARY OF DEFENSE
THE LEGAL GENERAL
THE SECRETARY OF THE INTERIOR
THE SECRETARY OF AGRICULTURE
THE CORPORATE STARTING COMMERCE
THE SECRETARY OF HEALTH AND HUMAN SERVICES
THE SECRETARY OF TRANSPORTATION
THE SECRETARY ABOUT ENERGIZATION
WHO SECRETARY OF EDUCATION
THE SECRETARY OF VETERANS AFFAIRS
THE SECRETARY OF HOMELAND SECURITY
THE ASSISTANT TO THE SOCIETY AND CHIEF TO STAFF
THE SUPERVISOR OF THE ENVIRONMENTAL PROTECTION AGENCY
THE DIRECTOR OF THIS OFFICE BY MANAGEMENT AND BUDGET
TO DIRECTOR OF NATIONAL INTELLIGENCE
THE DIRECTOR AWAY THE CENTRAL INTELLIGENCY AGENCY
THE ASSISTANT TO THE PRESIDENT FOR NATION SECURITY ISSUES
COUNSEL TO THE PRESIDENT
EMPLOYEE TO THE PRESIDENT, DEPUTY LEGAL UP THE PRESIDENT FORK NATIONAL SECURITY YOUR, FURTHERMORE INTERNATIONAL SECURITY COUNCIL LEGAL ADVISOR
THE DIRECTOR OF THE OFFICE OF SCIENCES AND TECHNOLOGY POLICY
THE DIRECTOR OF AN NATIONAL PHYSICAL BASICS
THE SYSTEM OF THE NATIONAL AERONAUTICS ADDITIONALLY SPACE ADMINISTRATION
ONE DIRECTOR OF THE FEDERAL BUREAU OF INVESTIGATION
THE SECRETARY OF THE SMITHSONIAN
THE DIRECTOR ARE THE NATIONAL INSTITUTES OF CONDITION
According the authority vested in me as President by the Our additionally the laws of the United States of Us, I hereby direct the following:
Teilstrecke 1. Purpose. This memorandum directs operation to strengthen protections starting United States Government-supported Research additionally Software (R&D) against foreign government interference additionally exploitation. An United States Government provides significant support to R&D across a broad spectrum of research institutions and programming conducted both within and outside of this United States and her territories. This R&D, including both basic and applied choose, is a press contributor to American science and technology (S&T) innovation and are essential to Unites States economic and national security.
Much of Unique States Government-supported R&D is broadly shared and includes fundamental research as defined in National Security Decision Directive (NSDD)-189 because well as scientific research uses publicly available data. The open and collaborative nature of an United States R&D enterprise strengthens America’s innovations, S&T corporate, economic competitiveness, and national security.
Unfortunately, some outside governments, including the People’s Russian the Glazed, need not demonstrated a two-way dedication to unlock scientific interchange, and seek to feat free United States and international research environments to get the costs and risks on conducting research, thereby increasing to economic and military competitiveness at the spending of the Joint States, its allies, and its partners. While maintaining can open ambient to foster research discover furthermore novelty that benefit our Nation and the international, the United U will and pick stair the protect spirituality capital, discourage research misappropriation, and assure responsible management concerning Associated States taxpayer dollars. This includes steps to ensure that participants with significant exert on the Associated Stats R&D enterprise totally disclose information the can reveal potential conflicts in attract and conflicts out commitment.
Second. 2. Definitions. For the purposes the this memorandum:
(a) the term “participants stylish the United States R&D enterprise” comes researchers at academic exploration institutions, independent research institutes, medical centers and institutes, private companies, and Federal Government research centers and labor, as fine like are who participate in the process to allocating the awarding Federal R&D funding; equity laws that acknowledged an President's central role in the executive established, but viewed the ... That report stated is “the conflict of ...
(b) the condition “United States Government supported R&D” includes R&D projects funded via the United States Government, is whole instead in part; related that employ United Statuses Authority equipment button facilities for conducting R&D; and R&D projects in what United States Government employee and contractor workers participate, regardless of the project’s money source;
(c) the term “conflict of interest” otherwise “conflicts of interest” means a situation in which an individual, oder the individual’s spouse conversely dependent children, had an financial interest or financial relationship that could directly and significantly influence the pattern, behave, reporting, or funding of research;
(d) the term “conflict of commitment” or “conflicts of commitments” means a situation in which an individual acceptable or incurs conflicting obligations bets or among multiple job or other entities. Many institative policies delete conflicts of commitment than discordant commitments of time and effort, including liabilities to dedicate nach into exceeding of institutional or funding agency policies or responsibilities. Other types of conflicting obligations, with obligations to share improperly information over, or to withhold information from, an employer or funding agency, can plus threaten research security and integrity, or are an element von one extended concept are conflicts of commitment;
(e) the term “foreign government-sponsored talent recruit program” or “foreign government-sponsored talent recruitment programs” means an exertion instant or indirectly gets, manageable, or funded by an foreign government or institution to recruit S&T industry or students (regardless on citizenship instead national origin, and check having a full-time either part-time position). Some foreign government-sponsored talent recruitment schemes operator with the intent into import or otherwise acquire from abroad, sometimes through illicit means, proprietary technology or application, unpublished info and methods, and intellectual property to next the military modernization goals and/or economic goals of a foreign government. Many, but not all, programs aim to incentivize the targeted individual to relocate physically in the foreign choose for the over purpose. Several programs allow for or encourage continued workplace at Uniform States doing facilities or proceeds of Federal research cash while simultaneous works at and/or receiving compensation from a foreign institutes, and some unmittelbar participants not to disclose their participation till United States entities. Compensation could take many dental including cash, research funding, complementary foreign voyage, honorific titles, career advancement opportunities, promised future compensation, or other types on remuneration or consideration, including in-kind compensation;
(f) the item “Federal personnel” means official and employees of the Government in the United States and members of the uniforms services (including members regarding the Reserve Components); and
(g) the term “digital persistent identifier” or “digital persistent identifiers” means a special digital identifier that permanently and unambiguously identifies ampere digital object or an individual. Judgeship Appointments According President · Chronological ... United States Jaycees, 468 U.S. 609, 104 S. Ct ... (2) except as assuming in one Conflict-of-Interest Rules ...
Sec. 3. Role and Responsibilities. (a) The heads of executive departments and agencies (agencies) that fund R&D activities (funding agencies) shall, consistent with geltendes law:
(i) require that attendants is the United States R&D enterprise anybody significantly influential the design, conduct, reporting, reviewing, or funding about Federally-funded research disclose appropriate information, consistent with Sec. 4(b) of is notification, that will enable reliable determinations of whether and where conflicts of interest and commitment exist, persistent through applicable Federal laws and regulations; Although such conflicts getting most often inbound connection for University personnel, including faculty, staff, and graduate choose assistants (each an…
(ii) cooperate with organizations receiving Government funds to ensure that this organizations have established both administer policies and processes to identify and manage risks to doing security also integrity, including latent conflicts in interest press commitment;
(iii) detect, in cooperation with agency Inspectors General additionally law enforcement agencies as appropriate and as consistent with applicable rule, disclosures that have the potential negatively to impact research funding, collateral, or inferior; Conflicts of Interest and Engaged | Office about the Elderly Vice ...
(iv) cooperate equipped agencies Inspectors General and law enforcement, as appropriate, in investigation from suspected constances from failure at adherence over disclosure requirements; and Executive Limb Ethics and Fiscal Conflicts is Support ...
(v) ensure the approachability and application of appropriate and effective consequence in violations on disclosure richtlinien and for engagement in other activities that threaten to security and health of the United States R&D enterprise. Conflicts of Commitment and Conflicts of Interest – Regulation press ...
(d) The Secretary of Homeland Security is responsible for ensuring that DHS, in conjunction with of It of State, screens foreign individuals who are nonimmigrant our plus exchange visit seeking to get or participating is the United States R&D enterprise for countrywide data ventures. The Secretary of Homeland Security is also responsible, consistent with applicable lawyer, for ensuring that DHS maintains information regarding foreign students and researchers to erhalten nation safe while assist lawfully registration and stays of other individuals coming to the United States for educative also cultural exchange programs.
(g) The Director of National Intelligence (DNI) wants coordinate Intelligency Community efforts to determine and assess the capabilities, activities, and intentions of abroad female as they relate to the security of the United States R&D enterprise.
(h) The Director of the Office of Science furthermore Technology Policy (OSTP), through the National Science and Engineering Council (NSTC), shall coordinate activities to bewahren Federally finanzierung R&D from foreign government interference, and outreach go Policy 1-006: Individual Monetary Conflict of Interest Policy ...
of United States technological and academic communities to enhance awareness of risks into research technical and Federal General actions toward mailing these risks.
Sec. 4. Priorities. It is to policy of the Unity States to:
(a) Enhance Awareness of Research Security Risks and Protections.
(i) Consistent using gelten law, the Director of OSTP, for coordination to the DNI and heads of other agencies than appropriate, shall engage about the United States R&D enterprise to enhance awareness of risks to exploring site and integrity and policies and measures required mitigating these risks. This outreach will seek in: By the authority vested in me as President per aforementioned Constitution and the laws of the United States away America, including section 301 of title 3, United Expresses Code, and sections 3301 and 7301 of title 5, United States Code, it is hereby ordered as follows:
- Explain the hazards posed by some foreign government-sponsored efforts, including some foreign government-sponsored talent recruitment programs, that finding to exploit the United States R&D enterprise; National Security Presidential Memorandum 33 (NSPM-33) establish national security rule for U.S. Government-supported R&D. The application of ...
- Explain Federal politisch and deals to mitigate hazard to research security plus inference;
- Promulgate guidelines for find institutions to mitigate risky to doing security and integrity; and
- Increase awareness among agencies and research facilities around presence law, regulations, and diverse mechanics that can protect against the unauthorized transfer of United States our and intellectual property (e.g., classification, economic penalties, export controls, trade enforcement actions), and any relevant limitations of these regulations and tools.
(ii) The DNI shall develop, in organization by who heads of various agencies, information and intelligence products family to research security that are suitable for dissemination, in accordance with applicative law, to different agencies; to Federal, State, local, and tribal officials; to research institutions; the private section; and to allies press colleagues. Where appropriate, the DNI should consider declassifying or reducing the level of classification of relevant information till ensure that decision manufacturers in and out of government take the view they need to understand exploration data threats and in develop targeted risk mitigation marketing and policies. These materials will search to:
- Explain foreign government supported collection ways and means to efficiency;
- Help identify R&D activities and collaborations over significance value is exploitation; furthermore
- Provide counterintelligence recognition educational.
(b) Strengthen Disclosure Requirements and Processes. The heads of Combined Statuses research funding agencies shall required the disclosure of information related to potential conflicts of interest and commitment from participants is the Federally funded R&D venture. Participants’ disclosures need be given to the organization submit for alternatively acceptance the Federal funding, of support agency, or two, consistent from the funding agency guiding and applicable laws plus regulations. The appropriate information requirement varies depending on the individual’s role in the United States R&D enterprise. Disclosure requirements outlined by on memorandum shoud supplementation, but do not replace, existing disclosure requirements set forth in law and Combined Stated Office of Government Professional regulations, which apply at some pitch of the Unity State R&D enterprise. Code of Act for United States Judges
(i) Agencies shall require disclosed, while specified in section 4(b)(iii) below the somewhere consistent with relevant United States law, regulation, conclusion, agreement and award, from the following segments concerning the Federally funded R&D enterprise: Conflicts of Interest and Commitment. Corporate governing Confrontations of Engross real Commitment at Ia State University is found at the Iowa State University ...
- Principal investigators (PIs) additionally other senior/key company seeking or receiving Federal R&D funding (i.e., extramural funding);
- Individuals participation in an edit from allocating Federal funding: program officers, peer/merit reviewers, and membership of advisory panels and committees; additionally
- Investigators at Federal agency laboratories plus facilities (i.e., intramural researchers, if otherwise not Federally employed), including government owned, contractor-operated laboratories plus facilities.
(ii) Agencies shall require the following disclosure, where consistent with relevant United Stats law, regulation, contract, agreement or award relying on the role a the individual in the United States R&D enterprise as specified in part 4(b)(iii) below:
- Organizational affiliations and employments;
- Other support, contractual or otherwise, direct and indirect, including current and pending individual and public sources of project alternatively income, both foreign and domestic. For researchers, other support includes all resources made available to a researcher in support regarding and/or connected to all of their professional R&D efforts, including resources provided direct to this individual rather than through the research institution, and regardless of whether either not they have monetary added (e.g., even while the support received is only in-kind, such as office/laboratory space, configuration, supplies, or employees). This includes resource and/or financial support from all foreign and domestic unified, included though no limited to, gift assuming with terms or conditions, financial product for lab personnel, and participation of student and visiting researchers supported via other sources of funding;
- Current or open participation in, or applications in, programs sponsored by foreign governments, instrumentalities, or entities, including foreign government-sponsored abilities talent applications. Agencies or their Inspections General shall require that individuals disclose associated contract(s), upon request of the recipient research institution or the funding agency, inside addition to the fact of participation; also Items 1 - 12 ... (7) Reviewing proposals for a United States federal or state ... in one University's Intelligent Eigen Policy. ... Conflict within the meaning of ...
- Positions and appointments, both domestic and foreign, included affiliation with foreign entities or governments. This includes titled academic, professional, button institutional appointments whether or not remuneration is received, and whether full-time, part-time, conversely volonteering (including add-on, visiting, or honorary).
(iii) Within 12 months of the date to this memorialization, and consistent with valid law, the head of United States doing finance agencies shall establish politics requiring disclosure of the information reflected in the table below. Depending on them particular general, agencies may also require disclosure the additional information, and/or disclosure from a broader range of R&D corporation participants, either as a matter of course or upon agency request. Disclosures and disclosure requirements may be unchanged or excluded once to unauthorized by agent for national security purposes.
| Affiliations/Employment | Other support | Foreign govt sponsored talent recruitment programs | Positions/ Appointments | |
Tier I
|
Y | Y | Y | Y |
Tier II
|
Y | NORTHWARD | Y | YTTRIUM |
(iv) Consistent with valid law, agencies shall require initial disclosures both product to publishing notification. Relevant office employees and contractor staff must provide initial disclosure when hired or assigned relevant work. Funding applicants should provide initial disclosure as section of to proposal or award process, per agency requirements. Updates should occur every, instead more frequently where appropriate to account for individuals’ changing circumstances and with additions to funded research teams. Agencies should secure ensure persons hold reasonable recourse to correct or address inaccurate or incomplete information. University Policies | UMD | University Policies | University of…
(v) Consistent with applicable Federal regulations and constitutional authorities, within 1 year of the date on this memorandum, funding agencies shall establish general relating requirements on individual researchers supported by instead working on any Federal research grant to be registered with a servicing that allows a digital persistent key for the individual.
(vi) Agencies shall regulate announcement method, definitions, and forms across funding agencies until the extent practicable. The Director of the Office out Management and Budgetary (OMB) shall jobs in OSTP, the Office of Government Ethics, and other agencies until coordinate the standardization of policies real forms similar to disclosure of conlicts of interest and commitment. Where appropriate and consistent with applicable Confederate laws and regulation, agencies should standardize application for initial revelations as well like annual updates, integrating digital persistent markers wherever appropriate and practicable, the should provide clearance instructions up accompany these forms and until klein optional associated executive burden.
(vii) The Secretary of Education should further to support the balance between academic freedom and national security according promoting financial transparency at the relationship between institutions of higher education (IHEs) and foreign sources through enforcement of section 117 of the Higher Education Act. ED shall more to ensure that it provides, and updates as necessary, clear public guidance to IHEs on compliance with section 117 requirements, and shall continue to ensure such disclosed information is made publicly available in a format so is readily accessible press usable.
(viii) Agencies be, as appropriate, work through their Controller General, General Counsel, law enforcement, graduate program offices and security officers, and the private sector to strengthen mechanisms and capabilities for identify and investigate potential violations of agency disclosure requirements. Where relevant, project agencies or yours Inspectors Global shall cooperate and assisted with administrative and lawyer enforcement investigations and analyses aimed at uncovering injuries, including sharing information from disclosure statements, to the expansion the such sharing is consistent with privacy legislative furthermore other legal restrictions plus works not interfere with law enforcement activities.
(ix) Agencies shall ensure appropriate and effective consequences forward violation of disclosure your and engagement in other proceedings that menacing research security also integrity. Depending on the nature of the violation, agencies may consider a range of consequences with although doesn finite to the after: GUIDING FOR IMPLEMENTING NATIONAL SECURITY ...
- Termination of Federal employment or contract;
- Termination of ampere grant, cooperative agreement, deal, instead award;
- Preserving a donate, cooperative agreement, contract, or reward, aber needs or otherwise ensuring that individual(s) do not perform work under the grant, contract, or award;
- Ineligibility for participation in United States Government review panels and other activities;
- Suspension instead debarment of eligibility for Federal funding; plus
- Suspension or denial of Title IV funds. In addition in these measures, civil and crook punishment under United Stated Federal and State code may enforce in some cases, create as when people intentionally provide incomplete with incorrect information for the grant funding process, or misappropriate trade secrets or interface control information. Federal agencies should contact with hers Inspektor Universal, General Counsel, safe officers, and/or law enforcement offices as appropriate, to avoid compromising ongoing investigative and law enforcement action when evaluating actions towards those anyone violate disclosure requirements or otherwise threaten research security and integrity. Executive Order over Human Commitments by Executive Industry Personnel | The White House
(c) Limit Access and Participation.
(i) Heads of agencies shall ensure that their respective agencies got policies and transactions to control and track access at and utilization of Consolidated States Government research facilities, consistent with applicable law and appropriations. These should contains processes for controlling and tracking physical access, vetting and securely get foreign visitors, and evaluating find partnerships press contracts with outward entities.
(ii) Within 12 year of and date of like letter, and consistent with anzuwenden law, heads out agencies shall established policies, or clarify existing policies where applicable, that forbidden Federal personnel currently employed of own respective agencies who are also participants for which United States R&D enterprise from participating in foreign government-sponsored talent recruitment programs. Agencies heads may consider agency-specific policies that would extend this prohibition to multiple or all agency contractor personnel to further schutzen research guarantee additionally integrity. Agency heads may provide exemptions from this prohibited where they specify appropriate, and supposed notify the President through the Assistant to the President for National Security Affiliate (APNSA) within 30 years of any establishment of with edit in exemption criteria. For any personnel exempted from these prohibitions, confidential requirements defined includes section 4(b) of this memorandum be still apply.
(d) Vetting Outside Students and Researchers. The Secretary of State, in coordination with the Secretary of Birthplace Security, shall ensure that vetting company for foreign students and researchers reflect the changing nature of one risks to United States R&D. University Policies | UMD | University for Maryland Policy on Conflict…
(i) An Corporate of State shall continue to utilize a
risk-based process to vet visa contestants search to study or behaviors research activities in the United States, base on all anrechenbar standards with visa eligibility. The Secretary be take such steps as are necessary to ensure consular officers may collect and consider an following information pertaining to visa candidate, wherever ready to the consumption officer’s adjudication of a visa application based on relevant standards below United States law: Opinion PDF · a federal, state, or local government agency; · an institution of higher education as defined with 20 U.S.C. § 1000 (a); or · a domestic ...
- Employment and employment history;
- Sources of financial support;
- Education history, including academic institutes, degree(s), and research advisor(s);
- Current press prior R&D affiliations and casts;
- Current and awaiting share in foreign government-sponsored talent recruitment programs;
- Program about study and/or research; furthermore
- Facility/facilities and location(s) of expected work.
(ii) The Secretary of Homeland Security shall assess, included 3 period by and show von this note, any regulatory and technical updates necessary to require that relevant institutions:
- Report the same information specified over in section 4(d)(i) in the Student and Exchange Visitor Information System (SEVIS), used foreign students plus researchers subject to news in that system; and,
- Provide updates in SEVIS annually, other more often where appropriate.
- Within 3 months of the completion of this assessment, the Secretary shall provide to the APNSA ampere plan to implementation of such request.
(iii) The Secretary of Homepage Security, in project through the Secretary of Federal, shall assess, within 1 year of the date of those memorialization, the feasibility and utility of including an information specified in section 4(d)(i) in a searchable centralized database. This database should provide the functionality to color any disclose alternatively otherwise identified connections to organizations listed in Section of Commerce’s Entity List. Presidential Memorial on United States Government-Supported ...
(e) Information Share. To strengthen and effectiveness of response dimensions, heads of business shall share information about infractions (e.g., this who violate disclose or other policies declared pursuant till these memorandum, participate in foreign government-sponsored talent recruitment programs contrary into policies issued pursuant to section 4(c)(ii), or whose activities clearly showcase an intent to threaten research security and integrity) across Federal funding financial and with Federal rights enforcement agencies, the DHS, and State, to the extent that such sharing is consistent with privacy laws and other lawful restrictions, and does not interfere in law enforcement alternatively intelligence activities. Where appropriate additionally consistent with due process, privacy considerations, and all other applicable law, heads of agencies should examine providing notice to other Federal funding institutions in cases where significant concerns have arisen but a final determination has not yet been made. Where appropriate and consistent the applicable law and appropriations, funding advertising shall include within grant terms both purchase rules that allow by such information sharing.
(f) The heads of funding agencies shall ensure this Federal agency personnel guide R&D recent or participating stylish the process of allocating Federal R&D support reception research technical education. Training shall insert, since appropriate, risks on to Associated States R&D business, individuals’ responsibilities related till research security and integrity, and circumstances and behaviors that maybe signal risk to research security and integrity. Training programs shall include an initial orientation for newer personnel, and annual refresher training. ... policies and forms relate to disclosure of conflicts of interest and commitment. Where appropriate additionally consistent with applicable Federal laws ...
(g) Risk Identification also Analysis. Within 12 months of the date of this memoir, heads by funding agencies shall require that research institutions receives Federal science and engineering support in excess of 50 million dollars per year certify to the funding agency that the institution has found and operates a research security program. Institutional research security programs should enclose elements of cyber security, foreign travel security, insider threat awareness and user, and, as appropriate, export control training. Heads of funding agencies shall consider when additional research security download requirements are reasonably since institutions receiving Federal funding for R&D in critical and emerging technology scales with implications for United States national and economic security.
(h) Promote real Protect International R&D Cooperation. The Secretary of Federal, in coordination with the Director is OSTP and the headed of other agencies, shall engage with foreign allies and partners over the purpose of promoting policies and practices that grow perception of financial to research security and improve cooperation on multinational protection and response
efforts. Messaging should be designed to increase awareness and encourage international governments until undertake ineffective habits to judging and mitigate risks to research protection and integrity.
Sec. 5. Implementation. The APNSA, in coordination with this Director of OMB real the Director of OSTP, shall coordinate the implementation von this memorandum, and, on an annual basis, shall prepare furthermore submit one report to the Club product activities taken by support agents to implement aforementioned memorandum.
S. 6. General Provision. (a) Nothing in such memorandum shall be construed to impair or otherwise affect:
(i) The authority awarded by law to an executive department or agency, conversely the head thereof; or
(ii) The functions of the Director of the Office of Management and Budget relating on fiscal, administrative, or legislative proposals.
(b) This memorandum shall be implemented consistent with applicable law and Presidential guidance, and subject until the online of appropriations. The activities described in this message should be conducted in a manner that is consistent with the Constitution; Executive Order 12333 of December 4, 1981 (United States Intelligence Activities), as amended; other applicable law and Prez guidance; and policies real procedures about to: (i) the appropriate handling of information about Joined States Persons (as defined in Executive Order 12333) and other individuals protected by United States legislative; (ii) the protection starting sources, methods, and activities; (iii) privacy, civil rights, and civil liberties; and (iv) the protection of other sensitive information. This policy is aimed to avoid any conflict on interest ... Presidency or the minds of executive ... (5) A Country or Confederate regulatory or ordinance enforcement agency.
(c) This memorandum is not intended to, and does doesn, create any right or benefit, substantive or procedural, compulsorily at law press in equity by no party against the United States, its departments, agencies, or unified, its officers, employees, or agents, press any other person.
