National Security Presidential Memorandum-33 Implementation Guidance
Appendix: Definitions
November 1, 2023
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Academic appointments and positions – positions that are identified as personnel on research
grants and cooperative agreements where the senior/key person is identified as affiliated with an
institution of higher education or on an indexed publication. Academic appointments and
positions are those defined in institutional policy, and conveyed in a formal manner (e.g., via
appointment letter, executed offer letter, employment contract), that relate to research, teaching,
or associated scholarly activities at one or more foreign or domestic institutions. Examples
include but are not limited to assistant professor, associate professor, and professor; adjunct and
affiliate faculty positions of all ranks; visiting faculty positions of all ranks; visiting scholar or
instructor; clinical faculty position of all ranks; lecturer; research faculty position of all ranks; and
emeritus faculty position of all ranks. Also included are graduate research and teaching assistants
at the master’s and doctoral level, as well as post-doctoral scholars. Excluded from this definition
are routine academic or university service activities, performed at the departmental, college or
institutional level at one’s primary or other collaborating institutions, such as serving on or chairing
faculty or staff search committees, graduate student research or thesis committees, compliance
committees, ad hoc task forces, graduate and undergraduate studies committees, capital
improvement projects, or faculty governance committees.
Conflict of commitment – a situation in which an individual accepts or incurs conflicting
obligations between or among multiple employers or other entities. Many organizational policies
define conflicts of commitment as conflicting commitments of time and effort, including obligations
to dedicate time in excess of organizational or research agency policies or commitments. Other
types of conflicting obligations, including obligations to improperly share information with, or to
withhold information from, an employer or research agency, can also threaten research security
and integrity, and are an element of a broader concept of conflicts of commitment used in this
document.
Conflict of interest – a situation in which an individual, or the individual’s spouse or dependent
children, has a significant financial interest, or financial relationship that could directly and
significantly affect the design, conduct, reporting, or funding of research.
Controlled unclassified information (CUI) – information that requires safeguarding or
dissemination controls consistent with applicable laws, regulations, and Government-wide
policies, but is not classified.
Covered individual or senior/key person – an individual who (a) contributes in a substantive,
meaningful way to the scientific development or execution of a research and development project
proposed to be carried out with a research and development award from a Federal research
agency; and (b) is designated as a covered individual by the Federal research agency concerned.
Consistent with NSPM-33, this means principal investigators (PIs) and other senior/key person
seeking or receiving Federal research and development funding (i.e., extramural funding) and
researchers at Federal agency laboratories and facilities (i.e., intramural researchers, whether or
not federally employed), including Government-owned, contractor-operated laboratories and
facilities.
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This Appendix replaces the Definitions contained in the NSPM-33 Implementation dated January 2022.
Current and pending (other) support – (a) All resources made available, or expected to be
made available, to an individual in support of the individual’s research and development efforts,
regardless of (i) whether the source is foreign or domestic; (ii) whether the resource is made
available through the entity applying for a research and development award or directly to the
individual; or (iii) whether the resource has monetary value; and (b) includes in-kind contributions
requiring a commitment of time and directly supporting the individual’s research and development
efforts, such as the provision of office or laboratory space, equipment, supplies, employees, or
students. This term has the same meaning as the term Other Support as applied to researchers
in NSPM-33. For researchers, Other Support includes all resources made available to a
researcher in support of and/or related to all of their professional R&D efforts, including resources
provided directly to the individual rather than through the research organization, and regardless
of whether or not they have monetary value (e.g., even if the support received is only in-kind, such
as office/laboratory space, equipment, supplies, or employees). This includes resource and/or
financial support from all foreign and domestic entities, including but not limited to, financial
support for laboratory personnel, and participation of student and visiting researchers supported
by other sources of funding.
Digital persistent identifier (DPI or digital PID) – a digital identifier that is globally unique,
persistent, machine resolvable and processable, and has an associated metadata schema.
Consistent with NSPM-33, digital persistent identifiers for individuals are used to disambiguate
and identify an individual person.
Federal research agency or Research agency – any Federal department or agency with an
annual extramural research expenditure of over $100,000,000. This term has the same meaning
as “funding agency” in NSPM-33.
Foreign country of concern – means the People's Republic of China, the Democratic People's
Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country
deemed to be a country of concern as determined by the Department of State.
Foreign government-sponsored talent recruitment program – effort organized, managed, or
funded by a foreign government, or a foreign government instrumentality or entity, to recruit
science and technology professionals or students (regardless of citizenship or national origin, or
whether having a full-time or part-time position). Some foreign government-sponsored talent
recruitment programs operate with the intent to import or otherwise acquire from abroad,
sometimes through illicit means, proprietary technology or software, unpublished data and
methods, and intellectual property to further the military modernization goals and/or economic
goals of a foreign government. Many, but not all, programs aim to incentivize the targeted
individual to relocate physically to the foreign state for the above purpose. Some programs allow
for or encourage continued employment at United States research facilities or receipt of Federal
research funds while concurrently working at and/or receiving compensation from a foreign
institution, and some direct participants not to disclose their participation to United States entities.
Compensation could take many forms including cash, research funding, complimentary foreign
travel, honorific titles, career advancement opportunities, promised future compensation, or other
types of remuneration or consideration, including in-kind compensation.
Gift – includes any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, license,
special access, equipment time, samples, research data, or other item having monetary value. A
gift also includes services as well as gifts of training, transportation, local travel, lodging, meals,
research hours, whether provided in-kind, by purchase of a ticket, payment in advance, or
reimbursement after the expense has occurred. A gift by definition is given without expectation of
anything in return.
Honorarium – a payment of money or anything of value for an appearance, speech, article, or
other form of compensation or award.
Insider threat – the potential for an insider to use their authorized access or understanding of an
organization to harm that organization. This harm can include malicious, complacent, or
unintentional acts that negatively affect the integrity, confidentiality, and availability of the
organization, its data, personnel, or facilities.
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Institutional appointments and positions – appointments and positions conveyed in a formal
manner (e.g., via appointment letter, executed offer letter, employment contract) by one’s primary
place of employment or by another organization. For those in academia, the responsibilities of
such appointments and positions reside in administration (e.g., president, chancellor, provost, or
vice-president; associate or assistant vice-president; vice-provost; associate or assistant vise-
provost; dean; associate or assistant dean; department, program, or institute director or chair),
though of course such positions also sometimes involve teaching, research, and service. For
those outside academia, institutional appointments and positions encompass a wide range of
titles (e.g., chief executive officer, chief operating officer, chief technology officer, chief information
officer, president, chief research officer; and vice president; regional manager; section, group or
project leader, project member). Individuals within both academic and non-academic institutions
also may be appointed by their institution to serve in a formal capacity at another organization,
foreign or domestic (e.g., as a visiting researcher or faculty member, team member on a corporate
project, or as a paid consultant to local, state or Federal organizations). Additionally, individuals
within both academic and non-academic institutions may be appointed to an institutional position
by an organization or organizations, foreign or domestic, other than their own.
Intramural Researcher – an agency employee who conducts research supported by the agency
in which they are employed.
Malign foreign talent recruitment program –
(A) any program, position, or activity that includes compensation in the form of cash, in-kind
compensation, including research funding, promised future compensation, complimentary foreign
travel, things of non de minimis value, honorific titles, career advancement opportunities, or other
types of remuneration or consideration directly provided by a foreign country at any level (national,
provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign
country, whether or not directly sponsored by the foreign country, to the targeted individual,
whether directly or indirectly stated in the arrangement, contract, or other documentation at issue,
in exchange for the individual—
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(i) engaging in the unauthorized transfer of intellectual property, materials, data products, or
other nonpublic information owned by a United States entity or developed with a Federal research
and development award to the government of a foreign country or an entity based in, funded by,
or affiliated with a foreign country regardless of whether that government or entity provided
support for the development of the intellectual property, materials, or data products;
(ii) being required to recruit trainees or researchers to enroll in such program, position, or
activity;
(iii) establishing a laboratory or company, accepting a faculty position, or undertaking any
other employment or appointment in a foreign country or with an entity based in, funded by, or
affiliated with a foreign country if such activities are in violation of the standard terms and
conditions of a Federal research and development award;
(iv) being unable to terminate the foreign talent recruitment program contract or agreement
except in extraordinary circumstances;
(v) through funding or effort related to the foreign talent recruitment program, being limited in
the capacity to carry out a research and development award or required to engage in work that
would result in substantial overlap or duplication with a Federal research and development award;
(vi) being required to apply for and successfully receive funding from the sponsoring foreign
government’s funding agencies with the sponsoring foreign organization as the recipient;
(vii) being required to omit acknowledgment of the recipient institution with which the individual
is affiliated, or the Federal research agency sponsoring the research and development award,
contrary to the institutional policies or standard terms and conditions of the Federal research and
development award;
(viii) being required to not disclose to the Federal research agency or employing institution the
participation of such individual in such program, position, or activity; or
(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and
conditions of the Federal research and development award. And
(B) A program that is sponsored by— (i) a foreign country of concern or an entity based in a
foreign country of concern, whether or not directly sponsored by the foreign country of concern;
(ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain
National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358 note; Public Law 115–
232 ); or (iii) a foreign talent recruitment program on the list developed under section 1286(c)(9)
of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358
note; 1 Public Law 115–232 ).
The following are not considered malign foreign talent recruitment programs unless such
activities are funded, organized, or managed by an academic institution or a foreign talent
recruitment program on the lists developed under paragraphs (8) and (9) of section 1286(c) of the
John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001
note; Public Law 115–232):
(i) making scholarly presentations and publishing written materials regarding scientific
information not otherwise controlled under current law;
(ii) participation in international conferences or other international exchanges, research
projects or programs that involve open and reciprocal exchange of scientific information, and
which are aimed at advancing international scientific understanding and not otherwise controlled
under current law;
(iii) advising a foreign student enrolled at an institution of higher education or writing a
recommendation for such a student, at such student’s request.
Professional appointments and positions – appointments and positions conveyed in a formal
manner (e.g., via appointment letter, executed offer letter, employment contract) by one or more
organizations, foreign or domestic, other than one’s primary place of employment. They are
undertaken owing to the individual’s professional expertise (e.g., as a physician, structural
engineer, mathematician) and usually are temporary in nature. In most cases, such appointments
and positions consist of professional service activities (e.g., serving on or chairing local, state,
regional, or national societies, boards, commissions, or committees; or serving as a professional
staff member in local, state or Federal offices or agencies – such as a program officer at a Federal
funding agency). Professional appointments and positions do not include service at purely
charitable or faith-based organizations, or other activities that reside outside the individual’s
domain of professional expertise.
Research and development (R&D) – includes basic research, applied research, and
experimental development. Basic research is experimental or theoretical work undertaken
primarily to acquire new knowledge of the underlying foundations of phenomena and observable
facts. Applied research is original investigation undertaken in order to acquire new knowledge
and directed primarily towards a specific practical aim or objective. Experimental development is
creative and systematic work, drawing on knowledge gained from research and practical
experience, which is directed at producing new products or processes or improving existing
products or processes. Like research, experimental development will result in gaining additional
knowledge. Experimental development includes the production of materials, devices, and
systems or methods, including the design, construction, and testing of experimental prototypes.
Experimental development also includes technology demonstrations in cases where a system or
component is being demonstrated at scale for the first time, and it is realistic to expect additional
refinements to the design (feedback R&D) following the demonstration.
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Research and development award – support provided to an individual or entity by a Federal
research agency to carry out R&D activities, which may include support in the form of a grant,
contract, cooperative agreement, or other such transaction. The term does not include a grant,
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award, contract, agreement, or other transaction for the procurement of goods or services to meet
the administrative needs of a Federal research agency.
Research integrity – the use of honest and verifiable methods in proposing, performing, and
evaluating research; reporting research results with particular attention to adherence to rules,
regulations, and guidelines; and following commonly accepted professional codes or norms.
Research security – safeguarding the research enterprise against the misappropriation of
research and development to the detriment of national or economic security, related violations of
research integrity, and foreign government interference.
Research organization – an entity that has applied for or received an R&D award from a Federal
research agency. This term has the same meaning as “entity” as defined in Section 223 of the
NDAA for 2021.
Scientific integrity – the adherence to professional practices, ethical behavior, and the principles
of honesty and objectivity when conducting, managing, using the results of, and communicating
about science and scientific activities. Inclusivity, transparency, and protection from inappropriate
influence are hallmarks of scientific integrity.
United States Government supported research and development – includes R&D projects
funded by the U.S. Government, in whole or in part; projects that use U.S. Government equipment
or facilities for conducting R&D; and R&D projects in which U.S. Government employee and
contractor personnel participate, regardless of the project’s funding source.
