Research Security Definitions

The China Defense Universities Tracker is a database of Chinese institutions engaged in military or security-related science and technology research. It is a tool that enables universities, governments, the business community, and scholars to conduct due diligence as they conduct business with China.  

A policy research organization within Georgetown University’s Walsh School of Foreign Service, CSET provides decision-makers with data-driven analysis on the security implications of emerging technologies. 
 

The CHIPS and Science Act is a federal statute signed into law on August 9, 2022, to boost American semiconductor research, development, and production, ensuring U.S. leadership in the technology that forms the foundation of everything from automobiles to household appliances to defense systems. 

A conflict of commitment is a situation in which an individual accepts or incurs conflicting obligations between or among multiple employers or other entities. Many organizational policies define conflicts of commitment as conflicting commitments of time, including obligations to dedicate time in excess of institutional or funding agency policies or commitments. Other types of conflicting obligations, including obligations to share information improperly with, or to withhold information from, an employer or funding agency, can also threaten research security and integrity, and are an element of a broader concept of conflicts of commitment.

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

According to the 18 U.S.C.§208, a conflict of interest is a personal interest or relationship that conflicts with the faithful performance of official duty. An example would be a situation in which an individual, or the individual’s spouse or dependent children, has a significant financial interest, or financial relationship that could directly and significantly affect the design, conduct, reporting, or funding of research.

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

The Consolidated Screening List (CSL) is a list of parties for which the United States government maintains restrictions on certain exports, reexports, or transfers of items. If you go to this International Trade Administration page, the “Tools” section includes links to the CSL search engine, downloadable CSL files, and the CSL Application Programming Interface (API), all consisting of the consolidation of multiple export screening lists of the Departments of Commerce, State, and Treasury. 

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

Controlled unclassified information (CUI) is information that requires safeguarding, or dissemination controls consistent with applicable laws, regulations, and government-wide policies, but is not classified.

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

A covered individual or senior/key personnel is an individual who:

1. contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency; and 
2. is designated as a covered individual by the federal research agency concerned. 

Consistent with NSPM-33, this means principal investigators (PIs) and other senior/key personnel seeking or receiving federal research and development funding (i.e., extramural funding) and researchers at federal agency laboratories and facilities (i.e., intramural researchers, whether or not federally employed), including government-owned, contractor-operated laboratories and facilities.

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

Critical and emerging technologies (CETs) are a subset of advanced technologies that are potentially significant to U.S. national security. A current list of CETs may be found in a recent National Science and Technology Council report. If a foreign associate or affiliated entity is proposing to work on research related to a CET, then a review concerning a technology match of the CET with that of the research scope is needed. Understanding the military-civil fusion technology applications with respect to CET research efforts is critical to understanding and determining the balance of benefits and risks.

Current and pending research support is:

1. All resources made available, or expected to be made available, to an individual in support of the individual’s research and development efforts, regardless of
   1. whether the source is foreign or domestic; 
   2. whether the resource is made available through the entity applying for a research and development award or directly to the individual; or 
   3. whether the resource has monetary value; and 
2. includes in-kind contributions requiring a commitment of time and directly supporting the individual’s research and development efforts, such as the provision of office or laboratory space, equipment, supplies, employees, or students. 

This term has the same meaning as the term Other Support as applied to researchers in NSPM-33: For researchers, Other Support includes all resources 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 organization, 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).  This includes resource and/or financial support from all foreign and domestic entities, including but not limited to, gifts provided with terms or conditions, financial support for laboratory personnel, and participation of student and visiting researchers supported by other sources of funding. 

The DOC FAM (DAO 207-12) sets forth Department of Commerce (DOC or Department) policies and procedures for foreign national visitor and guest access to Department facilities, resources and activities. The FAM acknowledges the increased diversity of foreign participation and the need for updated control measures beyond foreign visitor control to manage present day risks associated with physical and logical access to the Department’s facilities and resources.

The Export Administration Regulations (EAR) govern the export and re-export of some commodities, software, and technology.  

Export Controls are federal Laws and regulations that govern the transfer or disclosure of goods, technologies, software, services, and funds originating in the U.S. to persons or entities in foreign countries or non-U.S. persons, even if located in the U.S.

A foreign country of concern is:

1. A country that is a covered nation (as defined in 10 U.S.C. 4872(d)); and 
2. Any country that the Secretary, in consultation with the Secretary of Defense, the Secretary of State, and the Director of National Intelligence, determines to be engaged in conduct that is detrimental to the national security or foreign policy of the United States. 

A foreign talent recruitment program is an effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position). 

Some foreign government-sponsored talent recruitment programs operate with the intent to import or otherwise acquire from abroad, sometimes through illicit means, proprietary technology or software, unpublished data and methods, and intellectual property to further 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 to the foreign state for the above purpose. Some programs allow for or encourage continued employment at United States research facilities or receipt of federal research funds while concurrently working at and/or receiving compensation from a foreign institution, and some direct participants not to disclose their participation to United States entities. Compensation could take many forms including cash, research funding, complimentary foreign travel, honorific titles, career advancement opportunities, promised future compensation, or other types of remuneration or consideration, including in-kind compensation. 

A gift includes any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, license, special access, equipment time, samples, research data, or other item having monetary value. A gift also includes services as well gifts of training, transportation, local travel, lodging, meals, research hours, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has occurred. A gift by definition is given without expectation of anything in return. 

An honorarium is a payment of money or anything of value for an appearance, speech, article, or other form of compensation or award. 

The host organization is an organization receiving a visiting scientist/researcher. 

The potential for an insider to use their authorized access or understanding of an organization to harm that organization. This harm can include malicious, complacent, or unintentional acts that negatively affect the integrity, confidentiality, and availability of the organization, its data, personnel, or facilities. 

* Adapted from this CISA document.

The Consolidated Screening List (CSL) is a list of parties for which the United States government maintains restrictions on certain exports, reexports, or transfers of items.  If you go to this International Trade Administration page, the “Tools” section includes links to the CSL search engine, downloadable CSL files, and the CSL Application Programming Interface (API), all consisting of the consolidation of multiple export screening lists of the Departments of Commerce, State, and Treasury. 

The International Traffic in Arms Regulations (ITAR) (22 CFR parts 120-130) governs the manufacture, export, and temporary import of defense articles, the furnishing of defense services, and brokering activities involving items described on the USML (ITAR section 121.1). 

An intramural researcher is an agency employee who conducts research supported by the agency in which they are employed. 

A program where the foreign country (often the government) targets the technology and location for a non-traditional collector to acquire intellectual property to fill an identified knowledge gap to foster the goals of achieving national military and economic superiority. This program is implemented through foreign challenges, fellowships, and scholarship awards. 

Foreign government-sponsored talent recruitment program operated with the intent to import or otherwise acquire from abroad, sometimes through illicit means, proprietary technology or software, unpublished data and methods, and intellectual property to further the military modernization goals and/or economic goals of a foreign government.

 MCF is an aggressive, strategy to enable the development of the most technologically advanced military in the world through research and development efforts, as well as by acquiring and diverting the world’s cutting-edge technologies – including through theft – to achieve military dominance. 

An action associated with the employment of a single or set of mutually supporting security access control measures collaboratively designed with the Principal Investigator to mitigate known or anticipated threat or vulnerability to an emerging data or technology set resident within the science and research environment having minimal impact upon research project or program objectives. 

Refers to those federal departments and organizations who authorities derive from portions of United States Code (U.S.C.) other than Title 50 or E.O. 12333, which addresses U.S. intelligence activities. NT50s are involved in many activities that affect national security, such as conducting foreign affairs, combating pandemic diseases, halting illicit trafficking, conducting scientific and medical research, regulating finance, commerce, and transportation, and protecting food, water, and nuclear infrastructures.

* Adapted from U.S. Department of Agriculture, Departmental Regulation 4600-003: USDA Defensive Counterintelligence and Insider Threat Programs, Washington, D.C., 2021

Individuals whose primary profession is not intelligence collection but who collect sensitive U.S. technologies and information on behalf of foreign adversaries.

* Adapted from an FBI document.

A persistent digital identifier is a digital identifier that is globally unique, persistent, machine resolvable and processable, and has an associated metadata schema. Consistent with NSPM-33, digital persistent identifiers for individuals are used to disambiguate and identify an individual person. 

A Principal Investigator, or PI, is the individual responsible for the preparation, conduct, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project. 

A research agency or federal research agency is any federal department or agency with an annual extramural research expenditure of over $100,000,000. This term has the same meaning as “funding agency” in NSPM-33. 
 

Incudes basic research, applied research, and experimental development. 

Basic research is experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts. 

Applied research is original investigation undertaken in order to acquire new knowledge and directed primarily towards a specific practical aim or objective. 

Experimental development is creative and systematic work, drawing on knowledge gained from research and practical experience, which is directed at producing new products or processes or improving existing products or processes. Like research, experimental development will result in gaining additional knowledge. Experimental development includes the production of materials, devices, and systems or methods, including the design, construction, and testing of experimental prototypes. Experimental development also includes technology demonstrations in cases where a system or component is being demonstrated at scale for the first time, and it is realistic to expect additional refinements to the design (feedback R&D) following the demonstration.

Support provided to an individual or entity by a Federal research agency to carry out R&D activities, which may include support in the form of a grant, contract, cooperative agreement, or other such transaction. The term does not include a grant, award, contract, agreement, or other transaction for the procurement of goods or services to meet the administrative needs of a federal research agency. 

Individuals who have a formal affiliation with the organization but are not employees of the organization to perform research on a specified topic. Research associates may be either foreign or domestic. 

Research integrity is the use of honest and verifiable methods in proposing, performing, and evaluating research; reporting research results with particular attention to adherence to rules, regulations, and guidelines; and following commonly accepted professional codes or norms.

A research organization is an entity that has applied for or received an R&D award from a federal research agency. This term has the same meaning as “entity” as defined in Section 223 of the NDAA for 2021. 

Safeguarding the research enterprise against the misappropriation of research and development to the detriment of national or economic security, related violations of research integrity, and foreign government interference. 

* Adapted from National Science and Technology Council, "Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development," Subcommittee on Research Security, Joint Committee on the Research Environment, 2022

A risk-balanced approach to implementing a research security program that balances open scientific international collaboration while safeguarding the U.S. research ecosystem. Both objectives are intrinsic to research security and integrity initiatives. 
 

Countries determined by the Secretary of State to have repeatedly provided support for acts of international terrorism. (See this Department of State web page for more information.)
 

Includes R&D projects funded by the U.S. government, in whole or in part; projects that use U.S. government equipment or facilities for conducting R&D; and R&D projects in which U.S. government employee and contractor personnel participate, regardless of the project’s funding source.
 

The technical capability to observe and record the actions and activities of an individual, at any time, on any information system, platform or device accessing U.S. government information.