The document, issued in February 2021 by the White House Office of Science and Technology Policy, outlines disclosure policies and recommended practices designed to safeguard the integrity and security of the U.S. research enterprise while promoting principled international collaboration. It highlights the critical role of transparency, full disclosure, and robust organizational policies in counteracting risks posed by some individuals and foreign governments—such as the diversion of intellectual property and threats to national competitiveness. In response, coordinated federal actions, including the National Security Presidential Memorandum 33 (NSPM-33), mandate strengthened disclosure requirements, standardization of processes, and comprehensive vetting and training for individuals involved in federally funded research. Agencies are tasked with identifying violations and imposing proportionate consequences, from contract termination to legal penalties.
In addition to federal measures, the document provides detailed recommendations for research organizations—particularly universities—to reinforce research security and integrity. These include demonstrating organizational leadership, fostering openness and transparency through mandatory disclosures of foreign affiliations, support, and appointments, as well as ensuring compliance via consistent training, information sharing, and effective enforcement mechanisms. The guidance emphasizes the value of digital persistent identifiers and calls for active management of risks associated with collaborations and data handling. Ultimately, the document asserts that a collaborative, well-regulated approach across government, academia, and private sectors is essential for preserving the openness of the U.S. research landscape while maintaining robust defenses against threats, thereby ensuring continued American leadership in science and technology.
