42 U.S.C. § 6605 — Disclosure of funding sources in applications for Federal research and development awards
submitted 5 years ago by Pub. L. 116-283 to r/title-42-THE-PUBLIC-HEALTH-AND-WELFARE · 967 words · no verdicts yet
Each covered individual listed on an application for a Federal research and development award must disclose current and pending research support. The applying entity must certify that its listed covered individuals who work for it know about that requirement; the section also sets consistent requirements, enforcement actions, notice rules, and definitions.
(a) Disclosure requirement
For any application to a Federal research agency for a research and development award, the agency must require the following:
(1) Each “covered individual” listed on the application must—
(A) disclose the amount, type, and source of all “current and pending research support” that the individual has received, or expects to receive, at the time of the disclosure;
(B) certify that the disclosure is current, accurate, and complete; and
(C) agree to update the disclosure if the agency asks for an update before awarding the support, and at any later time during the award when the agency decides an update is appropriate.
(2) Any entity applying for the award must certify that each “covered individual” who works for the entity and is listed on the application has been made aware of the requirements in paragraph (1).
(b) Consistency
The Director* of the Office of Science and Technology Policy, acting through the National Science and Technology Council and under the authority provided by section 1746(a) of the National Defense Authorization Act for Fiscal Year 2020 (Public Law 116–92; 42 U.S.C. 6601 note), must make sure that the requirements Federal research agencies issue under subsection (a) are consistent.
(c) Enforcement
(1) Rejection for violation of law or agency terms
A Federal research agency may reject an application for a research and development award if the current and pending research support an individual disclosed under subsection (a) violates Federal law or the agency’s terms and conditions. This section does not define “terms and conditions.”
(2) Enforcement for noncompliance
Subject to paragraph (3), if a covered individual listed on an entity’s application for a research and development award knowingly fails to disclose information as required by subsection (a), a Federal research agency may take one or more of these actions:
(A) Reject the application.
(B) Suspend or terminate a research and development award that the agency made to the individual or entity.
(C) Temporarily or permanently stop any or all funding from that agency for the individual or entity.
(D) Temporarily or permanently suspend or debar the individual or entity, under 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 subsection (a) to the Inspector General of the agency involved for further investigation, or refer it to Federal law-enforcement authorities to determine whether any criminal or civil laws were violated.
(F) Put the individual or entity in the Federal Awardee Performance and Integrity Information System for noncompliance, to alert other agencies. This section does not define “noncompliance.”
(G) Take any other action against the individual or entity that applicable laws or regulations authorize.
(3) Special rule for enforcement against entities
An enforcement action described in paragraph (2) may be taken against an entity only if one of these situations applies:
(A) The entity did not meet the requirements of subsection (a)(2).
(B) The entity knew that a covered individual failed to disclose information as required by subsection (a)(1), and the entity did not take steps to fix that failure before submitting the application.
(C) The head of the Federal research agency involved determines that—
(i) the entity is owned, controlled, or substantially influenced by a covered individual; and
(ii) that individual knowingly failed to disclose information as required by subsection (a)(1).
(4) Notice
When a Federal research agency intends to take action under paragraph (1) or (2), it must, when practicable and in accordance with part 180 of title 2, Code of Federal Regulations, any successor regulation, or any other appropriate law or regulation, notify each individual or entity subject to the action of the specific reason for it. The agency must also give those individuals and entities an opportunity to contest the proposed action and a process for doing so.
(5) Evidentiary standards
A Federal research agency seeking to suspend or debar someone under paragraph (2)(D) must follow the procedures and evidentiary standards 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) “Covered individual” means an individual who—
(A) contributes in a substantive and meaningful way to the scientific development or execution of a proposed research and development project* that would be carried out with a research and development award from a Federal research agency; and
(B) the Federal research agency involved designates as a covered individual.
(2) “Current and pending research support”—
(A) means all resources made available, or expected to be made available, to an individual to support the individual’s research and development efforts, regardless of—
(i) whether the resource comes from a foreign or domestic source;
(ii) whether the resource is made available through the entity applying for the research and development award or directly to the individual; or
(iii) whether the resource has monetary value; and
(B) includes in-kind contributions that require a commitment of time and directly support the individual’s research and development efforts, such as office or laboratory space, equipment, supplies, employees, or students.
(3) “Entity” means an entity that has applied for or received a research and development award from a Federal research agency.
(4) “Federal research agency” means any Federal agency whose annual extramural research spending is more than $100,000,000.
(5) “Research and development award” means support that a Federal research agency provides to an individual or entity to carry out research and development activities. This support may be in the form of a grant, contract, cooperative agreement, or other such transaction. It does not include a grant, contract, agreement, or other transaction for buying goods or services to meet the administrative needs of a Federal research agency.
Each Federal research agency shall require, as part of any application for a research and development award from such agency—
that each covered individual listed on the application—
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 disclosure;
certify that the disclosure is current, accurate, and complete; and
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
that any entity applying for such award certify that each covered individual who is employed by the entity and listed on the application has been made aware of the requirements under paragraph (1).
The Director* of the Office of Science and Technology Policy, acting through the National Science and Technology Council and in accordance 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 requirements issued by Federal research agencies under subsection (a) are consistent.
A Federal research agency may reject an application for a research and development award if the current and pending research support disclosed by an individual under subsection (a) violates Federal law or agency terms and conditions.
Subject to paragraph (3), in the event that a covered individual listed on an entity’s application 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:
Reject the application.
Suspend or terminate a research and development award made by that agency to the individual or entity.
Temporarily or permanently discontinue any or all funding from that agency for the individual or entity.
Temporarily or permanently suspend or debar the individual or entity in accordance with part 180 of title 2, Code of Federal Regulations, any successor regulation, or any other appropriate law or regulation, from receiving government funding.
Refer the failure to disclose under subsection (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.
Place the individual or entity in the Federal Awardee Performance and Integrity Information System for noncompliance to alert other agencies.
Take such other actions against the individual or entity as are authorized under applicable law or regulations.
An enforcement action described in paragraph (2) may be taken against an entity only in a case in which—
the entity did not meet the requirements of subsection (a)(2);
the entity knew that a covered individual 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
the head of the Federal research agency concerned determines that—
the entity is owned, controlled, or substantially influenced by a covered individual; and
such individual knowingly failed to disclose information under subsection (a)(1).
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 successor regulation, or any other appropriate law or regulation, notify each individual or entity subject to such action about the specific reason for the action, and shall provide such individuals and entities with the opportunity to, and a process by which, to contest 2 the proposed action.
A Federal research agency seeking suspension or debarment under paragraph (2)(D) shall abide by the procedures and evidentiary standards set forth in part 180 of title 2, Code of Federal Regulations, any successor regulation, or any other appropriate law or regulation.
In this section:
The term “covered individual” means an individual who—
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
is designated as a covered individual by the Federal research agency concerned.
The term “current and pending research support”—
means 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—
whether the source of the resource is foreign or domestic;
whether the resource is made available through the entity applying for a research and development award or directly to the individual; or
whether the resource has monetary value; and
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.
The term “entity” means an entity that has applied for or received a research and development award from a Federal research agency.
The term “Federal research agency” means any Federal agency with an annual extramural research expenditure of over $100,000,000.
The term “research and development award” means support provided to an individual or entity by a Federal research agency to carry out research and development 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, contract, agreement or other transaction for the procurement of goods or services to meet the administrative needs of a Federal research agency.
Source credit: (Pub. L. 116–283, div. A, title II, § 223, Jan. 1, 2021, 134 Stat. 3470.)
- 2021Enacted · Pub. L. 116-283 · 134 Stat. 3470
A history note hasn’t been published yet. The record shows enactment by Pub. L. 116-283 on 2021-01-01.
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