Ethics, Compliance and Audit Services
Research Security Resources
Federal Resources
The federal government has provided ample guidance and resources when it comes to assessing risks related to these issues. UCOP recommends that campuses review and utilize relevant guidance and information provided by the federal government in their efforts to conduct research security reviews.
- Research Security at the National Science Foundation NSF has taken the lead in developing research security practices for federal agencies that sponsor research. NSF created a webspace dedicated to communicating requirements, guidance and expectations.
- Foreign Interference, National Institutes of Health NIH created this website dedicated to foreign interference (i.e. influence) where the agency shares news, guidance and requirements to better educate the extramural research community on these issues.
- Department of Commerce, Export Administration Regulations, Supplement 3 to part 732, “Know Your Customer” The Department of Commerce uses this concept as a foundational tenet of an export control program. Beyond export controls, the concept also has utility for conducting research security or other types of international engagement reviews performed at the campus. “Know Your Customer” is discussed at length in a separate FAQ below.
- Academic Research Security, Department of Defense Like NSF and NIH, DoD has created its own resource website with guidance and resources on research security, as well as new requirements that DoD is implementing related to research security. The DoD takes a risk-based approach and does not allow researcher to participate in malign foreign talent recruitment programs. Review for any DoD sponsored research.
- National Science and Technology Council Recommended Practices for Strengthening the Security and Integrity of America’s Science and Technology Research Enterprise This document is meant as a supplement to NSPM-33 guidance for universities to use during research security reviews.
- National Science Foundation commissioned JASON report See page 37, 7.3 Assessment Tools. NSF commissioned this academic think tank to consider the issues around foreign influence and best practices to address it.
- NIST: Safeguarding International Science: Research Security Framework See page 44, 7.5 Review Category 5: Extramural Funding Opportunities.
UC Resources
- Guidance Documents: These guidance documents include discussion on roles and responsibilities and export control risks that will be useful for all stakeholders in the international agreement review process.
- Research Security Video Shorts