Academic Research Security

The Department of Defense greatly values its partnership with the academic community. Of paramount importance to the integrity and effectiveness of the academic research community has been the open, transparent, and merit-based nature of research collaborations. In recent years the Department, along with other federal research funding agencies, has become concerned that foreign governments may try to undermine the integrity of the academic research enterprise. This site is a resource for the actions that the Department and the interagency are taking to ensure the integrity of fundamental research in academia as well as steps that the academic community has taken. This site does not cover security measures for research that is not designated as fundamental research, which may include CUI or classified research that require additional protection. The Department welcomes dialogue with our partners in academia about ways to mitigate risks to academic research.

DoD Component Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions
DoD Component Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions

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Policy for Risk-Based Security Reviews of Fundamental Research
On June 8, 2023, the Under Secretary of Defense for Research and Engineering signed a Department of Defense-wide policy on reviewing fundamental research projects for conflicts of interest arising from foreign influence. The policy is part of the Department’s implementation of National Security Presidential Memorandum 33.

The Department values its relationship with the academic community and has benefited greatly from funding fundamental research at universities. This policy will protect fundamental research from foreign influence without stifling the progress of science, hindering international collaboration, or excluding talented foreign students and researchers from the research the Department funds. The goal in developing this policy is to ensure consistent and transparent implementation across the Department, set realistic expectations for DOD-funded researchers and institutions, abide by law and regulation, and be non-discriminatory.

The policy is posted to Defense.gov at : https://media.defense.gov/2023/Jun/29/2003251160/-1/-1/1/COUNTERING-UNWANTED-INFLUENCE-IN-DEPARTMENT-FUNDED-RESEARCH-AT-INSTITUTIONS-OF-HIGHER-EDUCATION.PDF

The policy is accompanied by two documents – the “Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions” and the “FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232) as amended.”

The “Decision Matrix to Inform Fundamental Research Proposal Mitigation Decisions” is a guide to assist program managers and DOD Components in reviewing fundamental research proposals for potential conflicts of interest. The document also describes conditions under which mitigation is required or recommended, depending on the type of conflict and the timeframe in which it occurs. The Department is making this document public to be as transparent as possible about the types of behaviors the Department finds problematic and to give DOD-funded researchers a better understanding about how their proposals may be received. The Office of the Under Secretary of Defense for Research and Engineering will update the decision matrix as necessary to incorporate changes in law and policy, account for lessons learned, and ensure consistency with other Federal agencies.

The “FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232) as amended” identifies foreign institutions that have been confirmed as engaging in problematic activity as described in Section 1286(c)(8)(A) of the referenced law. It also identifies problematic foreign talent programs. It is one of the sources that supplements the decision matrix document.

Questions, concerns, or feedback on the policy and accompanying documents should be emailed to the Academic Liaison at osd.mc-alex.ousd-r-e.mbx.academic-liaison@mail.mil
DoD Documents
DoD Documents

“The Department of Defense (DoD) fully supports free scientific exchanges and dissemination of research results to maximum extent possible” - ATL Memorandum, DoD Policy on Fundamental Research, May 24, 2010

“The National Defense Authorization Act (NDAA) for FY 2019, Section 1286, pages 443-445, directs the Secretary of Defense to establish an initiative to work with academic institutions who perform defense research and engineering activities.” - USD(R&E) Memorandum, “Collecting Assistance Award Information As Required in Section 1281(d)(1) of the National Defense Authorization Act for Fiscal Year 2020”, June 29^th, 2020

“For decades, scientist at universities and research centers, supported by the Department of Defense (DoD), have made ground-breaking scientific discoveries that underpinned dramatic commercial and national security advances, significantly improving the lives of citizens here and abroad. Yet today, the ability to make similar advances is at risk, and research integrity is jeopardized through foreign governments’ exploitation that internationally target U.S. and allied partner research and intellectual capital. Let us redouble our efforts to protect research integrity and intellectual capital while seeking a long-term competitive advantage and premier innovation enterprise” USD(R&E) Letter to Academia, October 10^th, 2019

This memorandum directs action to strengthen protections of United States Government-supported Research and Development (R&D) against foreign government interference and exploitation. “National Security Presidential Memorandum – 33, Presidential Memorandum on United States Government-Supported Research and Development National Security Policy”, January 14^th, 2021

“Initiative to Support Protection of National Security Academic Researchers from Undue Influence and Other Security Threats (10 U.S.C. 2358 note)”

An act to authorize appropriations for fiscal year 2021 for military activities of the Department of Defense, for military construction, and for defense activities of the Department of Energy, to prescribe military personnel strengths for such fiscal year, and for other purposes. NDAA 2021 Section 1049 “Confucius Institutes”
Confucius Institute Waiver Program
Confucius Institute Waiver Program

Section 1062 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2021 prohibits the Department from providing funding to any U.S. institution of higher education hosting a Confucius Institute unless that institution receives a waiver from the Secretary of Defense. This prohibition does not apply to direct funding to students attending U.S. institutions of higher education. International institutions that host Confucius Institutes are not subject to the prohibition in section 1062 of the NDAA for FY 2021 and thus do not require waivers to receive Department of Defense (DoD) funding. The prohibition on funding goes into effect on October 1, 2023.

The DoD Office of the Under Secretary of Defense for Research and Engineering Confucius Institute Waiver Program is responsible for considering and approving or denying waiver applications from any U.S. institution of higher education that is hosting a Confucius Institute and desires a waiver from the prohibition on funding required by Section 1062 of the NDAA for FY 2021. The CIWP uses the NDAA for FY 2021 definition of Confucius Institute, which is: a cultural institute funded either directly or indirectly by the Government of the People’s Republic of China.

The Department has a separate process for reviewing and adjudicating waiver requests of the prohibition in Section 1091 of the NDAA for FY 2019 on obligating or spending funds for Chinese language instruction provided by a Confucius Institute. U.S. institutions of higher education hosting a Confucius Institute granted a waiver of the prohibition in Section 1062 of the NDAA for FY 2021 may still be subject to the prohibition in Section 1091 of the NDAA for FY 2019.

Guidance for applying to the Confucius Institute Waiver Program can be found here.
Academic Documents
Academic Documents

“AAU and APLU have previously identified and shared effective practices universities are employing to ensure the security of research, protect against intellectual property theft and academic espionage, and prevent actions or activities by foreign government and/or other entities that seek to exert undue foreign government influence or infringe on core academic values (e.g. free speech, scientific integrity, etc.).” AAU-APLU Report: University Actions to Address Concerns about Security Threats and Undue Foreign Government Influence on Campus (May 2020)
Interagency Documents
Interagency Documents

OSTP “education brief” on conflicts of interest and conflicts of commitment. Enhancing the Security and Integrity of America’s Research Enterprise.

“The Biden-Harris Administration holds a strong commitment to protecting research security and maintaining the core values behind America’s scientific leadership, including openness, transparency, honesty, equity, fair competition, objectivity, and democratic values. During its final week in office, the previous administration issued a National Security Presidential Memorandum (NSPM-33) to “strengthen protections of United States Government-supported R&D against foreign government interference and exploitation” while “maintaining an open environment to foster research discoveries and innovation that benefit our nation and the world.”” OSTP blog post: “Clear Rules for Research Security and Researcher Responsibility”, August 10^th, 2021

For more information e-mail the DoD Academic Liaison at osd.mc-alex.ousd-r-e.mbx.academic-liaison@mail.mil