Sec. 1286. INITIATIVE TO SUPPORT PROTECTION OF NATIONAL SECURITY ACADEMIC RESEARCHERS FROM UNDUE INFLUENCE AND OTHER SECURITY THREATS
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## SEC. 1286 INITIATIVE TO SUPPORT PROTECTION OF NATIONAL SECURITY ACADEMIC RESEARCHERS FROM UNDUE INFLUENCE AND OTHER SECURITY THREATS **[**[10 U.S.C. 2358 note](/us/usc/t10/s2358)**]** ###
(a)Initiative Required The Secretary of Defense shall, in consultation with other appropriate government organizations, establish an initiative to work with institutions of higher education who perform defense research and engineering activities— ####
(1)to support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security; ####
(2)to limit undue influence, including through foreign talent programs, by countries to exploit United States technology within the Department of Defense research, science and technology, and innovation enterprise; ####
(3)to limit academic institutions identified on the list developed under subsection (c)(8)(A) from benefitting from funding provided by the Department of Defense to United States academic institutions; and ####
(4)to support efforts toward development of domestic talent in relevant scientific and engineering fields. ###
(b)Institutions and Organizations The initiative required by subsection
(a)shall be developed and executed to the maximum extent practicable with academic research institutions and other educational and research organizations. ###
(c)Requirements The initiative required by subsection
(a)shall include development of the following: ####
(1)Information exchange forum and information repositories to enable awareness of security threats and influence operations being executed against the United States research, technology, and innovation enterprise. ####
(2)Training developed and delivered in consultation with institutions of higher education and appropriate Government agencies, and other support to institutions of higher education, to promote security and limit undue influence on institutions of higher education and personnel, including Department of Defense financial support to carry out such activities, that— #####
(A)emphasizes best practices for protection of sensitive national security information; #####
(B)includes the dissemination of unclassified materials and resources for identifying and protecting against emerging threats to institutions of higher education, including specific counterintelligence information and advice developed specifically for faculty and academic researchers based on actual identified threats; and #####
(C)includes requirements for appropriate senior officials of institutions of higher education to receive from appropriate Government agencies updated and periodic briefings that describe the espionage risks to academic institutions and associated personnel posed by technical intelligence gathering activities of near-peer strategic competitors. ####
(3)The capacity of Government agencies and institutions of higher education to assess whether individuals affiliated with Department of Defense programs have participated in or are currently participating in foreign talent programs or expert recruitment programs. ####
(4)Opportunities to collaborate with defense researchers and research organizations in secure facilities to promote protection of critical information and strengthen defense against foreign intelligence services. ####
(5)Regulations and procedures— #####
(A)for Government agencies and academic organizations and personnel to support the goals of the initiative; and #####
(B)that are consistent with policies that protect open and scientific exchange in fundamental research. ####
(6)Policies to limit or prohibit funding provided by the Department of Defense for institutions or individual researchers who knowingly violate regulations developed under the initiative, including regulations relating to foreign talent programs. ####
(7)Policies to limit or prohibit funding provided by the Department of Defense for institutions or individual researchers who knowingly contract or make other financial arrangements with entities identified in the list described in paragraph (9), which policies shall include— #####
(A)use of such list as part of a risk assessment decision matrix during proposal evaluations, including the development of a question for proposers or broad area announcements that require proposers to disclose any contractual or financial connections with such entities; #####
(B)a requirement that the Department shall notify a proposer of suspected noncompliance with a policy issued under this paragraph and provide not less than 30 days to take actions to remedy such noncompliance; #####
(C)the establishment of an appeals procedure under which a proposer may appeal a negative decision on a proposal if the decision is based on a determination informed by such list; #####
(D)a requirement that each awardee of funding provided by the Department shall disclose to the Department any contract or financial arrangement made with such an entity during the period of the award; and #####
(E)a requirement that each awardee of funding provided by the Department shall provide to the Department an annual certification of compliance with policies promulgated pursuant to this paragraph; ####
(8)Initiatives to support the transition of the results of institution of higher education research programs into defense capabilities. ####
(9)#####
(A)A list of academic institutions of the People's Republic of China, the Russian Federation, and other countries that— ######
(i)have a history of improper technology transfer, intellectual property theft, or cyber or human espionage; ######
(ii)operate under the direction of the military forces or intelligence agency of the applicable country; ######
(iii)are known— ######
(I)to recruit foreign individuals for the purpose of transferring knowledge to advance military or intelligence efforts; or ######
(II)to provide misleading information or otherwise attempt to conceal the connections of an individual or institution to a defense or an intelligence agency of the applicable country; or ######
(iv)pose a serious risk of improper technology transfer of data, technology, or research that is not published or publicly available. #####
(B)The list described in subparagraph
(A)shall be developed and continuously updated in consultation with the Bureau of Industry and Security of the Department of Commerce, the Director of National Intelligence, United States institutions of higher education that conduct significant Department of Defense research or engineering activities, and other appropriate individuals and organizations. ####
(10)#####
(A)A list, developed and continuously updated in consultation with the National Academies of Science, Engineering, and Medicine and the appropriate Government agencies, of foreign talent programs that pose a threat to the national security interests of the United States, as determined by the Secretary. #####
(B)In developing and updating such list, the Secretary shall consider— ######
(i)the extent to which a foreign talent program— ######
(I)poses a threat to research funded by the Department of Defense; and ######
(II)engages in, or facilitates, cyber attacks, theft, espionage, attempts to gain ownership of or influence over companies, or otherwise interferes in the affairs of the United States; and ######
(ii)any other factor the Secretary considers appropriate. ####
(11)Development of measures of effectiveness and performance to assess and track progress of the Department of Defense across the initiative, which measures shall include— #####
(A)the evaluation of currently available data to support the assessment of such measures, including the identification of areas in which gaps exist that may require collection of completely new data, or modifications to existing data sets; #####
(B)current means and methods for the collection of data in an automated manner, including the identification of areas in which gaps exist that may require new means for data collection or visualization of such data; and #####
(C)the development of an analysis and assessment methodology framework to make tradeoffs between the measures developed under this paragraph and other metrics related to assessing undue foreign influence on the Department of Defense research enterprise, such as commercial due diligence, beneficial ownership, and foreign ownership, control, and influence. ###
(d)Procedures for Enhanced Information Sharing ####
(1)Collection of information #####
(A)Defense research and development activities Not later than October 1, 2020, for the purpose of maintaining appropriate security controls over research activities, technical information, and intellectual property, the Secretary, in conjunction with appropriate public and private entities, shall establish streamlined procedures to collect appropriate information relating to individuals, including United States citizens and foreign nationals, who participate in defense research and development activities. #####
(B)Fundamental research programs With respect to fundamental research programs, the academic liaison designated under subsection
(h)shall establish policies and procedures to collect, consistent with the best practices of Government agencies that fund academic research, appropriate information relating to individuals who participate in fundamental research programs. ####
(2)Protection from release The procedures required by paragraph
(1)shall include procedures to protect such information from release, consistent with applicable regulations. ####
(3)Reporting to government information systems and repositories The procedures required by paragraph
(1)may include procedures developed, in coordination with appropriate public and private entities, to report such information to existing Government information systems and repositories. ###
(e)Annual Reviews Required Not later than March 30, 2025, and not later than March 30 of each year thereafter— ####
(1)each head of a Department of Defense component that awards grants for research shall carry out a review of a representative sample of the research grants awarded by the respective component in the previous fiscal year to ensure that the component is awarding grants in compliance with the applicable policies of the Department of Defense; and ####
(2)the Under Secretary of Defense for Research and Engineering shall carry out a separate review of a representative sample of the research grants awarded by such components in the previous fiscal year. ###
(f)Annual Report ####
(1)In general Not later than April 30, 2020, and annually thereafter, the Secretary, acting through appropriate Government officials (including the Under Secretary for Research and Engineering), shall submit to the congressional defense committees a report on the activities carried out under the initiative required by subsection
(a)and on the periodic reviews conducted pursuant to subsection (e). ####
(2)Contents The report required by paragraph
(1)shall include the following: #####
(A)With respect to the activities carried out under the initiative required by subsection (a), the following: ######
(i)A description of the activities conducted and the progress made under the initiative. ######
(ii)The findings of the Secretary with respect to the initiative. ######
(iii)Such recommendations as the Secretary may have for legislative or administrative action relating to the matters described in subsection (a), including actions related to foreign talent programs. ######
(iv)Identification and discussion of the gaps in legal authorities that need to be improved to enhance the security of research institutions of higher education performing defense research. ######
(v)A description of the actions taken by such institutions to comply with such best practices and guidelines as may be established by under the initiative. ######
(vi)Identification of any incident relating to undue influence to security threats to academic research activities funded by the Department of Defense, including theft of property or intellectual property relating to a project funded by the Department at an institution of higher education. ######
(vii)A description of the status of the measures of effectiveness and performance described in subsection (c)(11) for the period covered by such report, including an analytical assessment of the impact of such measures on the goals of the initiative. #####
(B)With respect to the periodic reviews conducted pursuant to subsection (e), the following: ######
(i)The total number of research grants awarded by the Department in the fiscal year covered by the reviews. ######
(ii)The number of reviews carried out pursuant to subsection (e)(1). ######
(iii)The number of reviews carried out pursuant to subsection (e)(2). ######
(iv)A description of the processes by which the heads of the components described in paragraph
(1)of subsection
(e)and the Under Secretary of Defense for Research and Engineering conducted the reviews under such subsection. ######
(v)An assessment of issues identified during the reviews carried out under subsection (e), including a list of grants that were identified as having not been awarded in compliance with applicable policies of the Department of Defense. ####
(3)Form The report submitted under paragraph
(1)shall be submitted in both unclassified and classified formats, as appropriate. ###
(g)Publication of Updated Lists ####
(1)Submittal to congress Not later than January 1, 2021, and annually thereafter, the Secretary shall submit to the congressional defense committees the most recently updated lists described in paragraphs
(8)and
(9)of subsection (c). ####
(2)Form Each list submitted under paragraph
(1)shall be submitted in unclassified form but may include a classified annex. ####
(3)Public availability Each list submitted under paragraph
(1)shall be published on a publicly accessible internet website of the Department of Defense in a searchable format. ####
(4)Intervening submittal and publication The Secretary may submit and publish an updated list described in paragraph
(1)more frequently than required by that paragraph, as the Secretary considers necessary. ###
(h)Designation of Academic Liaison ####
(1)In general Not later than 180 days after the date of the enactment of the William M.
(Mac)Thornberry National Defense Authorization Act for Fiscal Year 2021, the Secretary, acting through the Under Secretary of Defense for Research and Engineering, shall designate an academic liaison with principal responsibility for working with the academic and research communities to protect Department-sponsored academic research of concern from undue foreign influence and threats. ####
(2)Qualification The Secretary shall designate an individual under paragraph
(1)who is an official of the Office of the Under Secretary of Defense for Research and Engineering. ####
(3)Duties The duties of the academic liaison designated under paragraph
(1)shall be as follows: #####
(A)To serve as the liaison of the Department with the academic and research communities. #####
(B)To execute initiatives of the Department related to the protection of Department-sponsored academic research of concern from undue foreign influence and threats, including the initiative required by subsection (a). #####
(C)To conduct outreach and education activities for the academic and research communities on undue foreign influence and threats to Department-sponsored academic research of concern. #####
(D)To coordinate and align academic security policies with Department component agencies, the Office of Science and Technology Policy, the intelligence community, and appropriate Federal agencies. #####
(E)To the extent practicable, to coordinate with the intelligence community to share, not less frequently than annually, with the academic and research communities unclassified information, including counterintelligence information, on threats from undue foreign influence. #####
(F)Any other related responsibility, as determined by the Secretary in consultation with the Under Secretary of Defense for Research and Engineering. ###
(i)Institution of Higher Education Defined The term “**institution of higher education**” has the meaning given such term in section 101 of the Higher Education Act of 1965 (20 U.S.C. 1001).
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Sec. 1286
INITIATIVE TO SUPPORT PROTECTION OF NATIONAL SECURITY ACADEMIC RESEARCHERS FROM UNDUE INFLUENCE AND OTHER SECURITY THREATS
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