42 U.S.C. § 6605 — Disclosure of funding sources in applica-

Page 6856 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 6605 1 So in original. Probably should be followed by a comma. gator profile database established under sub- paragraph (A). (D) Requirements Each investigator shall— (i) be responsible for ensuring the inves- tigator’s profile is current and accurate; and (ii) be assigned a unique identifier linked to the database and accessible to all Fed- eral funding agencies. (4) Centralized assurances repository The Working Group shall— (A) establish a central repository for all of the assurances required for Federal research grants; and (B) provide guidance to institutions of higher education and Federal science agen- cies on the use of the centralized assurances repository. (5) Comprehensive review (A) In general The Working Group shall— (i) conduct a comprehensive review of the mandated progress reports for feder- ally funded research; and (ii) develop a strategy to simplify inves- tigator progress reports. (B) Considerations In developing the strategy, the Working Group shall consider limiting progress re- ports to performance outcomes. (f) Consultation In carrying out its responsibilities under sub- section (e)(1), the Working Group shall consult with academic researchers outside the Federal Government, including— (1) federally funded researchers; (2) non-federally funded researchers; (3) institutions of higher education and their representative associations; (4) scientific and engineering disciplinary so- cieties and associations; (5) nonprofit research institutions; (6) industry, including small businesses; (7) federally funded research and develop- ment centers; and (8) members of the public with a stake in en- suring effectiveness, efficiency, and account- ability in the performance of scientific re- search. (g) Reports Not later than 1 year after January 6, 2017, and annually thereafter for 3 years, the Working Group shall submit to the appropriate commit- tees of Congress a report on its responsibilities under this section, including a discussion of the considerations described in paragraphs (2)(B), (3)(B), and (5)(B) of subsection (e) and rec- ommendations made under subsection (e)(1). (Pub. L. 114–329, title II, § 201, Jan. 6, 2017, 130 Stat. 2995.) Editorial Notes CODIFICATION Section was enacted as the Research and Develop- ment Efficiency Act and also as part of the American Innovation and Competitiveness Act, and not as part of the National Science and Technology Policy, Organiza- tion, and Priorities Act of 1976 which comprises this chapter. Statutory Notes and Related Subsidiaries DEFINITIONS For definitions of terms used in this section, see sec- tion 2 of Pub. L. 114–329, set out as a note under section 1862s of this title. § 6605. Disclosure of funding sources in applica- tions for Federal research and development awards (a) Disclosure requirement Each Federal research agency shall require, as part of any application for a research and devel- opment award from such agency— (1) that each covered individual listed on the application— (A) disclose the amount, type, and source of all current and pending research support received by, or expected to be received by, the individual as of the time of the disclo- sure; (B) certify that the disclosure is current, accurate, and complete; and (C) agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award; and (2) that any entity applying for such award certify that each covered individual who is employed by the entity and listed on the ap- plication has been made aware of the require- ments under paragraph (1). (b) Consistency The Director of the Office of Science and Tech- nology Policy, acting through the National Science and Technology Council and in accord- ance with the authority provided under section 1746(a) of the National Defense Authorization Act for Fiscal Year 2020 (Public Law 116–92; 42 U.S.C. 6601 note) 1 shall ensure that the require- ments issued by Federal research agencies under subsection (a) are consistent. (c) Enforcement (1) Rejection for violation of law or agency terms A Federal research agency may reject an ap- plication for a research and development award if the current and pending research sup- port disclosed by an individual under sub- section (a) violates Federal law or agency terms and conditions. (2) Enforcement for noncompliance Subject to paragraph (3), in the event that a covered individual listed on an entity’s appli- cation for a research and development award knowingly fails to disclose information under subsection (a), a Federal research agency may take one or more of the following actions: (A) Reject the application. (B) Suspend or terminate a research and development award made by that agency to the individual or entity. Page 6857 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 6611 2 So in original. Probably should be ‘‘which to, contest’’. (C) Temporarily or permanently dis- continue any or all funding from that agen- cy for the individual or entity. (D) Temporarily or permanently suspend or debar the individual or entity in accord- ance with part 180 of title 2, Code of Federal Regulations, any successor regulation, or any other appropriate law or regulation, from receiving government funding. (E) Refer the failure to disclose under sub- section (a) to the Inspector General of the agency concerned for further investigation or to Federal law enforcement authorities to determine whether any criminal or civil laws were violated. (F) Place the individual or entity in the Federal Awardee Performance and Integrity Information System for noncompliance to alert other agencies. (G) Take such other actions against the in- dividual or entity as are authorized under applicable law or regulations. (3) Special rule for enforcement against enti- ties An enforcement action described in para- graph (2) may be taken against an entity only in a case in which— (A) the entity did not meet the require- ments of subsection (a)(2); (B) the entity knew that a covered indi- vidual failed to disclose information under subsection (a)(1) and the entity did not take steps to remedy such nondisclosure before the application was submitted; or (C) the head of the Federal research agen- cy concerned determines that— (i) the entity is owned, controlled, or substantially influenced by a covered indi- vidual; and (ii) such individual knowingly failed to disclose information under subsection (a)(1). (4) Notice A Federal research agency that intends to take action under paragraph (1) or (2) shall, as practicable and in accordance with part 180 of title 2, Code of Federal Regulations, any suc- cessor regulation, or any other appropriate law or regulation, notify each individual or entity subject to such action about the spe- cific reason for the action, and shall provide such individuals and entities with the oppor- tunity to, and a process by which, to contest 2 the proposed action. (5) Evidentiary standards A Federal research agency seeking suspen- sion or debarment under paragraph (2)(D) shall abide by the procedures and evidentiary stand- ards set forth in part 180 of title 2, Code of Federal Regulations, any successor regulation, or any other appropriate law or regulation. (d) Definitions In this section: (1) The term ‘‘covered individual’’ means an individual who— (A) contributes in a substantive, meaning- ful way to the scientific development or exe- cution of a research and development project proposed to be carried out with a research and development award from a Federal re- search agency; and (B) is designated as a covered individual by the Federal research agency concerned. (2) The term ‘‘current and pending research support’’— (A) means all resources made available, or expected to be made available, to an indi- vidual in support of the individual’s research and development efforts, regardless of— (i) whether the source of the resource is foreign or domestic; (ii) whether the resource is made avail- able through the entity applying for a re- search and development award or directly to the individual; or (iii) whether the resource has monetary value; and (B) includes in-kind contributions requir- ing a commitment of time and directly sup- porting the individual’s research and devel- opment efforts, such as the provision of of- fice or laboratory space, equipment, sup- plies, employees, or students. (3) The term ‘‘entity’’ means an entity that has applied for or received a research and de- velopment award from a Federal research agency. (4) The term ‘‘Federal research agency’’ means any Federal agency with an annual ex- tramural research expenditure of over $100,000,000. (5) The term ‘‘research and development award’’ means support provided to an indi- vidual or entity by a Federal research agency to carry out research and development activi- ties, which may include support in the form of a grant, contract, cooperative agreement, or other such transaction. The term does not in- clude a grant, contract, agreement or other transaction for the procurement of goods or services to meet the administrative needs of a Federal research agency. (Pub. L. 116–283, div. A, title II, § 223, Jan. 1, 2021, 134 Stat. 3470.) Editorial Notes CODIFICATION Section was enacted as part of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, and not as part of the National Science and Technology Policy, Organization, and Pri- orities Act of 1976 which comprises this chapter. SUBCHAPTER II—OFFICE OF SCIENCE AND TECHNOLOGY POLICY § 6611. Establishment of Office There is established in the Executive Office of the President an Office of Science and Tech- nology Policy (hereinafter referred to in this subchapter as the ‘‘Office’’). (Pub. L. 94–282, title II, § 202, May 11, 1976, 90 Stat. 463.)