The National Landscape
At the highest level, the White House Office of Science and Technology Policy has tasked these Agencies and Departments with providing guidance to recipients of Federal funding. Following are legislative and Agency guidance on efforts to address this challenge.
The White House Office of Science and Technology Policy
- Enhancing the Security and Integrity of America’s Research Enterprise Presentation
- Critical and Emerging Technologies List
Joint Committee on the Research Environment
Foreign Influence Legislation
- National Defense Authorization Act 2020
National Defense Authorization Act 2019: Federal regulations resulting from the National Defense Authorization Act (NDAA) 2019, Section 889 have enacted prohibitions from purchasing or using telecommunications equipment and services from Huawei Technologies Co or ZTE Corp and their subsidiaries or affiliates and video surveillance products or telecommunications equipment from Hytera Communications, Hangzhou HikvisionDigital Technology Co, or Dahua Technology Co and their subsidiaries or affiliates. A comprehensive list of these companies and their subsidiaries or affiliates is located here. - Presidential Memorandum 33 (NSPM-33)
The purpose of NSPM-33 is to strengthen protections of U.S. Government-supported R&D against foreign government interference and misappropriation while maintaining an open environment to foster research discoveries and innovation that benefit the United States and the world.
Federal Funding Agency Guidance
- DARPA Fundamental Research Risk-Based Security Review Process
- DOD Controlled Unclassified Information Guidance
- DOE Directive on Foreign Government Talent Recruitment Programs
- DOE Directive on Unclassified Foreign National Access Program
- DOE Request for Unclassified Foreign National Access
- NIH Guidance on Investigator Disclosures of Foreign Financial Interest
- NSF Report on Fundamental Research Security
Federal Bureau of Investigation Guidance
Department of Defense’s Policy for Risk-Based Security Reviews of Fundamental Research:
Travel
You should be careful not to travel outside the United States with controlled items or computers or other devices that contain controlled information. If you wish to travel internationally for the purposes of conducting or presenting research, you should consult with the Export Compliance Officer to determine whether any restrictions apply. In particular, if you are involved in controlled research, you must contact the Export Compliance Officer prior to finalizing any international travel plans.
Restricted Party Screening
UIUC uses a software tool called Descartes Visual Compliance to expedite restricted party screening of the U.S. government export control lists of individuals or entities that are barred or otherwise restricted from entering into certain types of transactions with U.S. persons. Additional lists, which may be found in Visual Compliance under Authorities Consulted, are also used for the identification of parties restricted for other reasons. These may not be associated with export control but may be of interest when considering national security or foreign policy concerns. Please read the following instructions to learn more about how to use the Descartes Visual Compliance software: Complete Visual Compliance Screening Instructions.
Restricted party screening should be completed:
- Before initiating formal or informal collaborations
- Before discussing plans to engage in sponsored projects
- Before exchanging personnel, materials, data, confidential information, or money with foreign persons, academic institutions, governments, companies, or other foreign entities
- Before considering research collaborations or appointments
Restricted party screening must be completed for:
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- Foreign sponsors and vendors
- Foreign research collaborators
- Foreign sponsors of international travel and international conferences
- University-sponsored applicants on H1-B and J-1 Research Scholar, Professor, and ShortTerm Scholar visas
- All personnel associated with export-controlled research
- Foreign entities with whom the university has confidentiality or non-disclosure agreements
- Foreign visitors, visiting scientists, and visiting speakers
- Subcontractors and subawardees to sponsored projects
- Recipients of Materials Transfer Agreements
Export Control
When conducting transactions with a sanctioned country, the items/technology or activity itself may be controlled. Approval or US Agency licensing may be required and must be obtained before the activity.
Highly restricted countries may require additional consideration due to the continued risk posed by changing US regulations.
For more information, please click here to visit SPA’s Export Controls webpage.