Compliance and Enforcement

Summary

The University is committed to upholding the highest standards of research integrity and security in accordance with federal mandates, including NSPM-33 and related agency-specific guidance. Compliance and enforcement are foundational to the success of our Research Security Program and reflect our institutional responsibility to safeguard sensitive research, protect national interests, and maintain public trust.

This program will be implemented in a fair and equitable manner, ensuring that no member of the research community is unfairly targeted or stigmatized. All individuals engaged in covered research activities—including faculty, staff, students, and collaborators—are expected to adhere to the requirements outlined in this program. Violations of policy requirements, including failures to disclose, unauthorized foreign engagements, or breaches of cybersecurity protocols, will be subject to review and appropriate administrative action.

The University will maintain centralized documentation of violations and corrective actions, with oversight from designated compliance officers and HR representatives. Where applicable, violations will be reported to federal agencies such as the FBI, OIG, or other relevant bodies. The threshold for reportable violations will be clearly defined, and processes will be established to ensure timely counseling, remediation, and documentation.
Corrective actions may include mandatory training, revocation of research privileges, or other disciplinary measures consistent with University policy and federal regulations. Employment policies will include provisions tailored to research security and integrity, and offer letters and annual appointments will reflect these expectations.

The Research Security Officer and Oversight Committee will ensure ongoing compliance through regular audits, training, and coordination with federal partners. All covered individuals must certify compliance annually via SAM.gov, and any breach of research security will trigger tailored training and documentation requirements.