Sec. 226. Limitation on availability of funds for fundamental research collaboration with certain institutions
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Except as provided in subsection (b), none of the funds authorized to be appropriated by this Act or otherwise made available for any fiscal year for the Department of Defense may be provided to an institution of higher education for any principal investigator who conducts fundamental research in collaboration directly or indirectly with a covered nation or foreign entity of concern. The Secretary of Defense may waive the limitation under subsection (a), on a case-by-case basis, with respect to a principal investigator at an institution of higher education, if the Secretary of Defense determines that such a waiver is in the national security interests of the United States.
As a condition of receiving funds from the Department of Defense, an institution of higher education shall certify to the Secretary of Defense that the principal investigator of the project of the institution that is applying for funding from the Department of Defense— is not conducting fundamental research in collaboration with an entity described in subsection
(a)as of the date of the certification; and will not conduct fundamental research in collaboration with such an entity during the period for which such funding is received. As a condition of maintaining a contract with the Department of Defense, an institution of higher education shall— using publicly available information, perform due diligence on any academic institution or laboratory the institution is collaborating with, or intends to collaborate with, under the contract; and certify to the Secretary of Defense that the principal investigator of the project of the institution to which the contract pertains— has not conducted fundamental research in collaboration with an entity described in subsection
(a)at any time during the period in which such contract was in effect, up to and including the date of the certification; and will not conduct fundamental research in collaboration with such an entity during any period in which such contract is in effect. An institution of higher education shall— submit the certification under paragraph
(1)on an annual basis during each year in which the institution receives funds from the Department of Defense; and submit the certification under paragraph
(2)on an annual basis during each year in which a contract is in effect between the institution and the Department. On an annual basis, the Secretary of Defense shall submit to the appropriate congressional committees a report on the compliance of the Department of Defense and institutions of higher education with the requirements of this section. Each report shall include, for each waiver issued under subsection
(b)in the period covered by the report— a justification for the waiver; and a detailed description of the type and extent of any collaboration between an institution of higher education and an entity described in subsection
(a)allowed pursuant to the waiver, including identification of the institution and entities involved, the type of technology involved, the duration of the collaboration and terms and conditions on intellectual property assignment, as applicable, under the collaboration agreement. Each report under paragraph
(1)shall be submitted in unclassified form and shall be made available on a publicly accessible website of the Department of Defense. The limitation under subsection
(a)shall apply with respect to the first fiscal year that begins after the date that is one year after the date of the enactment of this Act and to any subsequent fiscal year. In this section: The term foreign entity of concern has the meaning given that term in section 10612(a) of the Research and Development, Competition, and Innovation Act ( 42 U.S.C. 19221(a) ) and includes a foreign entity that is identified on the list published under section 1286(c)(9)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( Public Law 115–232 ; 10 U.S.C. 4001 note). The term institution of higher education has the meaning given that term in section 102 of the Higher Education Act of 1965 ( 20 U.S.C. 1002 ) and includes— any department, program, project, faculty, researcher, or other individual, entity, or activity of such institution; and any branch of such institution within or outside the United States. The term fundamental research means basic and applied research in science and engineering, the results of which are expected to be published and shared broadly within the scientific community. Such term does not include research that is proprietary or classified and subject to access restrictions under other provisions of Federal law. The term collaboration means any level of coordinated activity between an institution of higher education and an entity described in subsection (a), whether direct or indirect, formal or informal, and includes— sharing of research facilities, resources, or data; transfer, sharing, or dissemination of technology, information, or any technical know-how; any financial or in-kind contribution intended to produce a research product; sponsorship or facilitation of research fellowships, visas, or residence permits; joint ventures, partnerships, or other formalized agreements for the purpose of conducting research or sharing resources, data, or technology; inclusion of researchers as consultants, advisors, or members of advisory or review boards; and such other activities as may be determined by the Secretary of Defense in consultation with the Secretary of State and Director of National Intelligence. The term appropriate congressional committees means— the Committee on Armed Services and the Committee on Science, Space, and Technology of the House of Representatives; and the Committee on Armed Services of the Senate and the Committee on Commerce, Science, and Transportation of the Senate. The term covered nation has the meaning given that term in section 4872(d) of title 10, United States Code.
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Sec. 226
Limitation on availability of funds for fundamental research collaboration with certain institutions
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