May 2022

Dear Faculty, Researchers, and Staff:

As mentioned in prior communications from the Office of the Vice Provost for Research, the federal government remains concerned that some foreign governments do not demonstrate, as we do in the U.S., a dedication to open scientific exchange and seek to exploit U.S. and international research environments. With a continued commitment to openness in fostering research discoveries and innovation, the federal government is taking steps to protect intellectual capital, discourage research misappropriation, and ensure proper stewardship of funds. 

In January 2021, National Security Presidential Memo-3 (NSPM-33) outlined the Administration’s expectations for protection against foreign government interference and exploitation in federally funded research and development. In January 2022, the Office of Science and Technology Policy issued guidance tofederal agencies around the implementation of NSPM-33. Over the comingmonths, we expect federal agencies to respond by modifying policies andprocedures with which universities will need to comply, and complete their plans for implementation of NSPM-33.

The five areas of research security addressed by NSPM-33 that will impact research and sponsored programs include 1) disclosure requirements and standardization, 2) digital persistent identifiers, 3) consequences for disclosurerequirement violations, 4) information sharing, and 5) research security programs.

Regarding disclosure requirements and research data security, tools and resources have been developed and faculty have been engaged through various outreach efforts to 1) facilitate understanding of agency-specific disclosure requirements for sponsored research; 2) communicate NYU policies and procedures along with best practices around data management planning; and 3) conduct research data risk assessments, categorize research data, andprovide secure environments for research data.

In the next 12-18 months, guidance, policies, and procedures will again be updated to achieve compliance with agency implementations for disclosure and the use of digital persistent identifiers. In addition, an institutional researchsecurity program will be developed to address requirements related to 1) cybersecurity, 2) foreign travel security, 3) research security training, and 4) export control training.

The Offices of Research Administration, Research IT, Libraries, andCompliance and Risk Management, with input from faculty and researchers at WSQ, NYUAD, and NYUSH, will conduct a gap analysis, create tools and training modules, and develop guidance to meet the federal standards forcompliance with NSPM-33 and certification of NYU’s research security program. We will continue to support the critical research and network of international collaborations across NYU while achieving compliance with government requirements around foreign interference.

Below are steps you can take now to ensure that you are appropriately disclosing affiliations and support to NYU and to external sponsors:


Nancy Daneau, Associate Vice Provost for Research