Safeguarding American Innovation Act
This bill addresses the security of federally funded research and development grants and export-controlled goods, technologies, or sensitive information.
The bill establishes in the Office of Management and Budget a Federal Research Security Council to develop federally funded research and development grant making policy and management guidance to protect the national and economic security interests of the United States.
Each executive agency on the council shall be responsible for assessing federal research security risks posed by persons participating in federally funded research and development.
The bill prohibits any individual from knowingly (1) preparing or submitting a federal grant application that fails to disclose the receipt of any outside compensation, including foreign compensation, by the individual; or (2) forging, counterfeiting, or otherwise falsifying a document to obtain a federal grant.
An alien shall be inadmissible to the United States if a consulate or the Department of Justice knows the alien seeks to enter the United States to acquire export-controlled goods, technologies, or sensitive information if the Department of State has determined that such acquisition would be contrary to U.S. national security (including economic security).
The bill revises provisions relating to the disclosure of foreign gifts.
[Congressional Bills 117th Congress]
[From the U.S. Government Publishing Office]
[S. 1351 Introduced in Senate (IS)]
<DOC>
117th CONGRESS
1st Session
S. 1351
To strengthen the security and integrity of the United States
scientific and research enterprise.
_______________________________________________________________________
IN THE SENATE OF THE UNITED STATES
April 22, 2021
Mr. Portman (for himself, Mr. Carper, Mr. Rubio, Mr. Coons, Mr.
Barrasso, Ms. Cortez Masto, Mrs. Blackburn, Ms. Hassan, Mr. Grassley,
Mr. Manchin, Mr. Hawley, Mrs. Shaheen, Mr. Johnson, Mr. Lankford, Mr.
Risch, Mr. Romney, Mr. Scott of Florida, and Mr. Tillis) introduced the
following bill; which was read twice and referred to the Committee on
Homeland Security and Governmental Affairs
_______________________________________________________________________
A BILL
To strengthen the security and integrity of the United States
scientific and research enterprise.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
SECTION 1. SHORT TITLE; TABLE OF CONTENTS.
(a) Short Title.--This Act may be cited as the ``Safeguarding
American Innovation Act''.
(b) Table of Contents.--The table of contents for this Act is as
follows:
Sec. 1. Short title; table of contents.
Sec. 2. Definitions.
Sec. 3. Federal Research Security Council.
Sec. 4. Federal grant application fraud.
Sec. 5. Restricting the acquisition of goods, technologies, and
sensitive information to certain aliens.
Sec. 6. Limitations on educational and cultural exchange programs.
Sec. 7. Amendments to disclosures of foreign gifts.
SEC. 2. DEFINITIONS.
In this Act:
(1) Federal science agency.--The term ``Federal science
agency'' means any Federal department or agency to which more
than $100,000,000 in research and development funds were
appropriated for the previous fiscal year.
(2) Research and development.--
(A) In general.--The term ``research and
development'' means all research activities, both basic
and applied, and all development activities.
(B) Development.--The term ``development'' means
experimental development.
(C) Experimental development.--The term
``experimental development'' means creative and
systematic work, drawing upon knowledge gained from
research and practical experience, which--
(i) is directed toward the production of
new products or processes or improving existing
products or processes; and
(ii) like research, will result in gaining
additional knowledge.
(D) Research.--The term ``research''--
(i) means a systematic study directed
toward fuller scientific knowledge or
understanding of the subject studied; and
(ii) includes activities involving the
training of individuals in research techniques
if such activities--
(I) utilize the same facilities as
other research and development
activities; and
(II) are not included in the
instruction function.
SEC. 3. FEDERAL RESEARCH SECURITY COUNCIL.
(a) In General.--Subtitle V of title 31, United States Code, is
amended by adding at the end the following:
``CHAPTER 79--FEDERAL RESEARCH SECURITY COUNCIL
``Sec.
``7901. Definitions.
``7902. Federal Research Security Council establishment and membership.
``7903. Functions and authorities.
``7904. Strategic plan.
``7905. Annual report.
``7906. Requirements for Executive agencies.
``Sec. 7901. Definitions
``In this chapter:
``(1) Appropriate congressional committees.--The term
`appropriate congressional committees' means--
``(A) the Committee on Homeland Security and
Governmental Affairs of the Senate;
``(B) the Committee on Commerce, Science, and
Transportation of the Senate;
``(C) the Select Committee on Intelligence of the
Senate;
``(D) the Committee on Foreign Relations of the
Senate;
``(E) the Committee on Armed Services of the
Senate;
``(F) the Committee on Health, Education, Labor,
and Pensions of the Senate;
``(G) the Committee on Oversight and Reform of the
House of Representatives;
``(H) the Committee on Homeland Security of the
House of Representatives;
``(I) the Committee on Energy and Commerce of the
House of Representatives;
``(J) the Permanent Select Committee on
Intelligence of the House of Representatives;
``(K) the Committee on Foreign Affairs of the House
of Representatives;
``(L) the Committee on Armed Services of the House
of Representatives; and
``(M) the Committee on Education and Labor of the
House of Representatives.
``(2) Council.--The term `Council' means the Federal
Research Security Council established under section 7902(a).
``(3) Executive agency.--The term `Executive agency' has
the meaning given that term in section 105 of title 5.
``(4) Federal research security risk.--The term `Federal
research security risk' means the risk posed by malign state
actors and other persons to the security and integrity of
research and development conducted using grants awarded by
Executive agencies.
``(5) Insider.--The term `insider' means any person with
authorized access to any United States Government resource,
including personnel, facilities, information, research,
equipment, networks, or systems.
``(6) Insider threat.--The term `insider threat' means the
threat that an insider will use his or her authorized access
(wittingly or unwittingly) to harm the national and economic
security of the United States or negatively affect the
integrity of a Federal agency's normal processes, including
damaging the United States through espionage, sabotage,
unauthorized disclosure of national security information or
non-public information, or through the loss or degradation of
departmental resources, capabilities, and functions.
``(7) Research and development.--
``(A) In general.--The term `research and
development' means all research activities, both basic
and applied, and all development activities.
``(B) Development.--The term `development' means
experimental development.
``(C) Experimental development.--The term
`experimental development' means creative and
systematic work, drawing upon knowledge gained from
research and practical experience, which--
``(i) is directed toward the production of
new products or processes or improving existing
products or processes; and
``(ii) like research, will result in
gaining additional knowledge.
``(D) Research.--The term `research'--
``(i) means a systematic study directed
toward fuller scientific knowledge or
understanding of the subject studied; and
``(ii) includes activities involving the
training of individuals in research techniques
if such activities--
``(I) utilize the same facilities
as other research and development
activities; and
``(II) are not included in the
instruction function.
``(8) United states research community.--The term `United
States research community' means--
``(A) research and development centers of Executive
agencies;
``(B) private research and development centers in
the United States, including for-profit and nonprofit
research institutes;
``(C) research and development centers at
institutions of higher education (as defined in section
101(a) of the Higher Education Act of 1965 (20 U.S.C.
1001(a)));
``(D) research and development centers of States,
United States territories, Indian tribes, and
municipalities;
``(E) government-owned, contractor-operated United
States Government research and development centers; and
``(F) any person conducting federally funded
research or receiving Federal research grant funding.
``Sec. 7902. Federal Research Security Council establishment and
membership
``(a) Establishment.--There is established, in the Office of
Management and Budget, a Federal Research Security Council, which shall
develop federally funded research and development grant making policy
and management guidance to protect the national and economic security
interests of the United States.
``(b) Membership.--
``(1) In general.--The following agencies shall be
represented on the Council:
``(A) The Office of Management and Budget.
``(B) The Office of Science and Technology Policy.
``(C) The Department of Defense.
``(D) The Department of Homeland Security.
``(E) The Office of the Director of National
Intelligence, including the National
Counterintelligence and Security Center.
``(F) The Department of Justice, including the
Federal Bureau of Investigation.
``(G) The Department of Energy.
``(H) The Department of Commerce, including the
National Institute of Standards and Technology.
``(I) The Department of Health and Human Services,
including the National Institutes of Health.
``(J) The Department of State.
``(K) The Department of Transportation.
``(L) The National Aeronautics and Space
Administration.
``(M) The National Science Foundation.
``(N) The Department of Education.
``(O) The Small Business Administration.
``(P) The Council of Inspectors General on
Integrity and Efficiency.
``(Q) Other Executive agencies, as determined by
the Chairperson of the Council.
``(2) Lead representatives.--
``(A) Designation.--Not later than 45 days after
the date of the enactment of this chapter, the head of
each agency represented on the Council shall designate
a representative of that agency as the lead
representative of the agency on the Council.
``(B) Functions.--The lead representative of an
agency designated under subparagraph (A) shall ensure
that appropriate personnel, including leadership and
subject matter experts of the agency, are aware of the
business of the Council.
``(c) Chairperson.--
``(1) Designation.--Not later than 45 days after the date
of the enactment of this chapter, the Director of the Office of
Management and Budget shall designate a senior-level official
from the Office of Management and Budget to serve as the
Chairperson of the Council.
``(2) Functions.--The Chairperson shall perform functions
that include--
``(A) subject to subsection (d), developing a
schedule for meetings of the Council;
``(B) designating Executive agencies to be
represented on the Council under subsection (b)(1)(Q);
``(C) in consultation with the lead representative
of each agency represented on the Council, developing a
charter for the Council; and
``(D) not later than 7 days after completion of the
charter, submitting the charter to the appropriate
congressional committees.
``(3) Lead science advisor.--The Director of the Office of
Science and Technology Policy shall be the lead science advisor
to the Chairperson for purposes of this chapter.
``(4) Lead security advisor.--The Director of the National
Counterintelligence and Security Center shall be the lead
security advisor to the Chairperson for purposes of this
chapter.
``(d) Meetings.--The Council shall meet not later than 60 days
after the date of the enactment of this chapter and not less frequently
than quarterly thereafter.
``Sec. 7903. Functions and authorities
``(a) Definitions.--In this section:
``(1) Implementing.--The term `implementing' means working
with the relevant Federal agencies, through existing processes
and procedures, to enable those agencies to put in place and
enforce the measures described in this section.
``(2) Uniform application process.--The term `uniform
application process' means a process employed by Federal
science agencies to maximize the collection of information
regarding applicants and applications, as determined by the
Council.
``(b) In General.--The Chairperson of the Council shall consider
the missions and responsibilities of Council members in determining the
lead agencies for Council functions. The Council shall perform the
following functions:
``(1) Developing and implementing, across all Executive
agencies that award research and development grants, a uniform
application process for grants in accordance with subsection
(c).
``(2) Developing and implementing a uniform and regular
reporting process for identifying persons participating in
federally funded research and development or that have access
to nonpublic federally funded information, data, research
findings, and research and development grant proposals.
``(3) Identifying or developing criteria, in accordance
with subsection (d), for sharing and receiving information with
respect to Federal research security risks in order to mitigate
such risks with--
``(A) members of the United States research
community; and
``(B) other persons participating in federally
funded research and development.
``(4) Identifying an appropriate Executive agency--
``(A) to accept and protect information submitted
by Executive agencies and non-Federal entities based on
the processes established under paragraphs (1) and (2);
and
``(B) to facilitate the sharing of information
received under subparagraph (A) to support, as
necessary and appropriate--
``(i) oversight of federally funded
research and development;
``(ii) criminal and civil investigations of
misappropriated Federal funds, resources, and
information; and
``(iii) counterintelligence investigations.
``(5) Identifying, as appropriate, Executive agencies to
provide--
``(A) shared services, such as support for
conducting Federal research security risk assessments,
activities to mitigate such risks, and oversight and
investigations with respect to grants awarded by
Executive agencies; and
``(B) common contract solutions to support enhanced
information collection and sharing and the verification
of the identities of persons participating in federally
funded research and development.
``(6) Identifying and issuing guidance, in accordance with
subsection (e) and in coordination with the National Insider
Threat Task Force established by Executive Order 13587 (50
U.S.C. 3161 note) for developing and implementing insider
threat programs for Executive agencies to deter, detect, and
mitigate insider threats, including the safeguarding of
sensitive information from exploitation, compromise, or other
unauthorized disclosure, taking into account risk levels and
the distinct needs, missions, and systems of each such agency.
``(7) Identifying and issuing guidance for developing
compliance and oversight programs for Executive agencies to
ensure that research and development grant recipients
accurately report conflicts of interest and conflicts of
commitment in accordance with subsection (c)(1). Such programs
shall include an assessment of--
``(A) a grantee's support from foreign sources and
affiliations with foreign funding institutions or
laboratories; and
``(B) the impact of such support and affiliations
on United States national security and economic
interests.
``(8) Assessing and making recommendations with respect to
whether openly sharing certain types of federally funded
research and development is in the economic and national
security interests of the United States.
``(9) Identifying and issuing guidance to the United States
research community, and other recipients of Federal research
and development funding, to ensure that such institutions and
recipients adopt existing best practices to reduce the risk of
misappropriation of research data.
``(10) Identifying and issuing guidance on additional steps
that may be necessary to address Federal research security
risks arising in the course of Executive agencies providing
shared services and common contract solutions under paragraph
(5)(B).
``(11) Engaging with the United States research community
in performing the functions described in paragraphs (1), (2),
and (3) and with respect to issues relating to Federal research
security risks.
``(12) Carrying out such other functions, as determined by
the Council, that are necessary to reduce Federal research
security risks.
``(c) Requirements for Uniform Grant Application Process.--In
developing the uniform application process for Federal research and
development grants required under subsection (b)(1), the Council
shall--
``(1) ensure that the process--
``(A) requires principal investigators, co-
principal investigators, and senior personnel
associated with the proposed Federal research or
development grant project--
``(i) to disclose biographical information,
all affiliations, including any foreign
military, foreign government-related
organizations, and foreign-funded institutions,
and all current and pending support, including
from foreign institutions, foreign governments,
or foreign laboratories, and all support
received from foreign sources; and
``(ii) to certify the accuracy of the
required disclosures under penalty of perjury;
and
``(B) uses a machine-readable application form to
assist in identifying fraud and ensuring the
eligibility of applicants;
``(2) design the process--
``(A) to reduce the administrative burden on
persons applying for Federal research and development
funding; and
``(B) to promote information sharing across the
United States research community, while safeguarding
sensitive information; and
``(3) complete the process not later than 1 year after the
date of the enactment of the Safeguarding American Innovation
Act.
``(d) Requirements for Information Sharing Criteria.--In
identifying or developing criteria and procedures for sharing
information with respect to Federal research security risks under
subsection (b)(3), the Council shall ensure that such criteria address,
at a minimum--
``(1) the information to be shared;
``(2) the circumstances under which sharing is mandated or
voluntary;
``(3) the circumstances under which it is appropriate for
an Executive agency to rely on information made available
through such sharing in exercising the responsibilities and
authorities of the agency under applicable laws relating to the
award of grants;
``(4) the procedures for protecting intellectual capital
that may be present in such information; and
``(5) appropriate privacy protections for persons involved
in Federal research and development.
``(e) Requirements for Insider Threat Program Guidance.--In
identifying or developing guidance with respect to insider threat
programs under subsection (b)(6), the Council shall ensure that such
guidance provides for, at a minimum--
``(1) such programs--
``(A) to deter, detect, and mitigate insider
threats; and
``(B) to leverage counterintelligence, security,
information assurance, and other relevant functions and
resources to identify and counter insider threats;
``(2) the development of an integrated capability to
monitor and audit information for the detection and mitigation
of insider threats, including through--
``(A) monitoring user activity on computer networks
controlled by Executive agencies;
``(B) providing employees of Executive agencies
with awareness training with respect to insider threats
and the responsibilities of employees to report such
threats;
``(C) gathering information for a centralized
analysis, reporting, and response capability; and
``(D) information sharing to aid in tracking the
risk individuals may pose while moving across programs
and affiliations;
``(3) the development and implementation of policies and
procedures under which the insider threat program of an
Executive agency accesses, shares, and integrates information
and data derived from offices within the agency;
``(4) the designation of senior officials with authority to
provide management, accountability, and oversight of the
insider threat program of an Executive agency and to make
resource recommendations to the appropriate officials; and
``(5) such additional guidance as is necessary to reflect
the distinct needs, missions, and systems of each Executive
agency.
``(f) Issuance of Warnings Relating to Risks and Vulnerabilities in
International Scientific Cooperation.--
``(1) In general.--The Council, in conjunction with the
lead security advisor under section 7902(c)(4), shall establish
a process for informing members of the United States research
community and the public, through the issuance of warnings
described in paragraph (2), of potential risks and
vulnerabilities in international scientific cooperation that
may undermine the integrity and security of the United States
research community or place at risk any federally funded
research and development.
``(2) Content.--A warning described in this paragraph shall
include, to the extent the Council considers appropriate, a
description of--
``(A) activities by the national government, local
governments, research institutions, or universities of
a foreign country--
``(i) to exploit, interfere, or undermine
research and development by the United States
research community; or
``(ii) to misappropriate scientific
knowledge resulting from federally funded
research and development;
``(B) efforts by strategic competitors to exploit
the research enterprise of a foreign country that may
place at risk--
``(i) the science and technology of that
foreign country; or
``(ii) federally funded research and
development; and
``(C) practices within the research enterprise of a
foreign country that do not adhere to the United States
scientific values of openness, transparency,
reciprocity, integrity, and merit-based competition.
``(g) Program Office and Committees.--The interagency working group
established under section 1746 of the National Defense Authorization
Act for Fiscal Year 2020 (Public Law 116-92) shall be a working group
under the Council performing duties authorized under such section and
as directed by the Council. The Council shall use any findings or work
product, existing or forthcoming, by such working group. The Council
may also establish a program office and any committees, working groups,
or other constituent bodies the Council deems appropriate, in its sole
and unreviewable discretion, to carry out its functions.
``(h) Exclusion Orders.--To reduce Federal research security risk,
the Interagency Suspension and Debarment Committee shall provide
quarterly reports to the Council that detail--
``(1) the number of ongoing investigations by Council
Members related to Federal research security that may result,
or have resulted, in agency pre-notice letters, suspensions,
proposed debarments, and debarments;
``(2) Federal agencies' performance and compliance with
interagency suspensions and debarments;
``(3) efforts by the Interagency Suspension and Debarment
Committee to mitigate Federal research security risk;
``(4) proposals for developing a unified Federal policy on
suspensions and debarments; and
``(5) other current suspension and debarment related
issues.
``(i) Savings Provision.--Nothing in this section may be construed
to alter or diminish the authority of any Federal agency or to alter
any procedural requirements or remedies that were in place before the
date of the enactment of this chapter.
``Sec. 7904. Strategic plan
``(a) In General.--Not later than 180 days after the date of the
enactment of this chapter, the Council shall develop a strategic plan
for addressing Federal research security risks and for managing such
risks, that includes--
``(1) the criteria and processes required under section
7903(b), including a threshold and requirements for sharing
relevant information about such risks with all Executive
agencies and, as appropriate, with other Federal entities,
foreign governments, and non-Federal entities;
``(2) an identification of existing authorities for
addressing such risks;
``(3) an identification and promulgation of best practices
and procedures, and an identification of available resources,
for Executive agencies to assess and mitigate such risks;
``(4) recommendations for any legislative, regulatory, or
other policy changes to improve efforts to address such risks;
``(5) recommendations for any legislative, regulatory, or
other policy changes to incentivize the adoption of best
practices for avoiding and mitigating Federal research security
risks by the United States research community and key United
States foreign research partners;
``(6) an evaluation of the effect of implementing new
policies or procedures on existing Federal grant processes,
regulations, and disclosures of conflicts of interest and
conflicts of commitment;
``(7) a plan for engaging with Executive agencies, the
private sector, and other nongovernmental stakeholders to
address such risks and share information between Executive
agencies, the private sector, and nongovernmental stakeholders;
and
``(8) a plan for identification, assessment, mitigation,
and vetting of Federal research security risks.
``(b) Submission to Congress.--Not later than 7 calendar days after
completion of the strategic plan required by subsection (a), the
Chairperson of the Council shall submit the plan to the appropriate
congressional committees.
``Sec. 7905. Annual report
``Not later than December 15 of each year, the Chairperson of the
Council shall submit a report to the appropriate congressional
committees that describes--
``(1) the activities of the Council during the preceding
fiscal year; and
``(2) the progress made toward implementing the strategic
plan required under section 7904 after such plan has been
submitted to Congress.
``Sec. 7906. Requirements for Executive agencies
``(a) In General.--The head of each Executive agency on the Council
shall be responsible for--
``(1) assessing Federal research security risks posed by
persons participating in federally funded research and
development;
``(2) avoiding or mitigating such risks, as appropriate and
consistent with the standards, guidelines, requirements, and
practices identified by the Council under section 7903(b);
``(3) prioritizing Federal research security risk
assessments conducted under paragraph (1) based on the
applicability and relevance of the research and development to
the national security and economic competitiveness of the
United States; and
``(4) ensuring that all agency initiatives impacting
federally funded research grant making policy and management to
protect the national and economic security interests of the
United States are integrated with the activities of the
Council.
``(b) Inclusions.--The responsibility of the head of an Executive
agency for assessing Federal research security risk described in
subsection (a) includes--
``(1) developing an overall Federal research security risk
management strategy and implementation plan and policies and
processes to guide and govern Federal research security risk
management activities by the Executive agency;
``(2) integrating Federal research security risk management
practices throughout the lifecycle of the grant programs of the
Executive agency;
``(3) sharing relevant information with other Executive
agencies, as determined appropriate by the Council in a manner
consistent with section 7903; and
``(4) reporting on the effectiveness of the Federal
research security risk management strategy of the Executive
agency consistent with guidance issued by the Office of
Management and Budget and the Council.''.
(b) Clerical Amendment.--The table of chapters at the beginning of
title 31, United States Code, is amended by inserting after the item
relating to chapter 77 the following new item:
``79. Federal Research Security Council..................... 7901.''.
SEC. 4. FEDERAL GRANT APPLICATION FRAUD.
(a) In General.--Chapter 47 of title 18, United States Code, is
amended by adding at the end the following:
``Sec. 1041. Federal grant application fraud
``(a) Definitions.--In this section:
``(1) Federal agency.--The term `Federal agency' has the
meaning given the term `agency' in section 551 of title 5,
United States Code.
``(2) Federal grant.--The term `Federal grant'--
``(A) means a grant awarded by a Federal agency;
``(B) includes a subgrant awarded by a non-Federal
entity to carry out a Federal grant program; and
``(C) does not include--
``(i) direct United States Government cash
assistance to an individual;
``(ii) a subsidy;
``(iii) a loan;
``(iv) a loan guarantee; or
``(v) insurance.
``(3) Federal grant application.--The term `Federal grant
application' means an application for a Federal grant.
``(4) Foreign compensation.--The term `foreign
compensation' means a title, monetary compensation, access to a
laboratory or other resource, or other benefit received from--
``(A) a foreign government;
``(B) a foreign government institution; or
``(C) a foreign public enterprise.
``(5) Foreign government.--The term `foreign government'
includes a person acting or purporting to act on behalf of--
``(A) a faction, party, department, agency, bureau,
subnational administrative entity, or military of a
foreign country; or
``(B) a foreign government or a person purporting
to act as a foreign government, regardless of whether
the United States recognizes the government.
``(6) Foreign government institution.--The term `foreign
government institution' means a foreign entity owned by,
subject to the control of, or subject to regulation by a
foreign government.
``(7) Foreign public enterprise.--The term `foreign public
enterprise' means an enterprise over which a foreign government
directly or indirectly exercises a dominant influence.
``(8) Law enforcement agency.--The term `law enforcement
agency'--
``(A) means a Federal, State, local, or Tribal law
enforcement agency; and
``(B) includes--
``(i) the Office of Inspector General of an
establishment (as defined in section 12 of the
Inspector General Act of 1978 (5 U.S.C. App.))
or a designated Federal entity (as defined in
section 8G(a) of the Inspector General Act of
1978 (5 U.S.C. App.)); and
``(ii) the Office of Inspector General, or
similar office, of a State or unit of local
government.
``(9) Outside compensation.--The term `outside
compensation' means any compensation, resource, or support
regardless of monetary value made available to the applicant in
support of or related to any research endeavor, including, but
not limited to, a title, research grant, cooperative agreement,
contract, institutional award, access to a laboratory, or other
resource, including, but not limited to, materials, travel
compensation, or work incentives.
``(b) Prohibition.--It shall be unlawful for any individual to
knowingly--
``(1) prepare or submit a Federal grant application that
fails to disclose the receipt of any outside compensation,
including foreign compensation, by the individual;
``(2) forge, counterfeit, or otherwise falsify a document
for the purpose of obtaining a Federal grant; or
``(3) prepare, submit, or assist in the preparation or
submission of a Federal grant application or document in
connection with a Federal grant application that--
``(A) contains a false statement;
``(B) contains a material misrepresentation;
``(C) has no basis in law or fact; or
``(D) fails to disclose a material fact.
``(c) Exception.--Subsection (b) does not apply to an activity--
``(1) carried out in connection with a lawfully authorized
investigative, protective, or intelligence activity of--
``(A) a law enforcement agency; or
``(B) a Federal intelligence agency; or
``(2) authorized under chapter 224.
``(d) Penalty.--Any individual who violates subsection (b)--
``(1) shall be fined in accordance with this title,
imprisoned for not more than 5 years, or both; and
``(2) shall be prohibited from receiving a Federal grant
during the 5-year period beginning on the date on which a
sentence is imposed on the individual under paragraph (1).''.
(b) Clerical Amendment.--The table of sections for chapter 47 of
title 18, United States Code, is amended by adding at the end the
following:
``1041. Federal grant application fraud.''.
SEC. 5. RESTRICTING THE ACQUISITION OF GOODS, TECHNOLOGIES, AND
SENSITIVE INFORMATION TO CERTAIN ALIENS.
(a) Grounds of Inadmissibility.--Section 212(a)(3)(A)(i) of the
Immigration and Nationality Act (8 U.S.C. 1182(a)(3)(A)(i)) is amended
to read as follows:
``(i) any activity--
``(I) to violate any law of the
United States relating to espionage or
sabotage;
``(II) to violate or evade any law
prohibiting the export from the United
States of goods, technologies, or
sensitive information; or
``(III) to acquire export-
controlled goods, technologies, or
sensitive information through any
exclusions for items normally subject
to export controls if the Secretary of
State has determined that the
acquisition of those goods,
technologies, or sensitive information
by that alien would be contrary to an
articulable national security
(including economic security) interest
of the United States;''.
(b) Determining Factors.--
(1) In general.--To determine whether an alien is
inadmissible under section 212(a)(3)(A)(i)(III) of the
Immigration and Nationality Act, as amended by subsection (a),
officials of the Department of State shall--
(A) seek advice and assistance from officials at
the Office of the Director of National Intelligence,
the Office of Science and Technology Policy, the
Department of Health and Human Services, the Department
of Defense, the Department of Homeland Security, the
Department of Energy, the Department of Commerce, and
other appropriate Federal agencies;
(B) make a determination of the alien's past,
current, or intended employment or cooperation with--
(i) foreign military and security related
organizations that are adversarial to the
United States;
(ii) foreign institutions involved in the
theft of United States research;
(iii) entities involved in export control
violations or the theft of intellectual
property;
(iv) a government that seeks to undermine
the integrity and security of the United States
research community; or
(v) other associations or collaborations
that pose a national or economic security
threat based on intelligence assessments; and
(C) weigh the proportionality of risk for the
factors listed in subparagraph (B).
(2) Machine-readable documents.--Not later than 1 year
after the date of the enactment of this Act, the Secretary of
State shall--
(A) use a machine-readable visa application form;
and
(B) make available documents submitted in support
of a visa application in a machine readable format to
assist in--
(i) identifying fraud;
(ii) conducting lawful law enforcement
activities; and
(iii) determining the eligibility of
applicants for a visa under the Immigration and
Nationality Act (8 U.S.C. 1101 et seq.).
(c) Reporting Requirement.--Not later than 180 days after the date
of the enactment of this Act, and annually thereafter, the Secretary of
State, in coordination with the Director of National Intelligence, the
Director of the Office of Science and Technology Policy, the Secretary
of Homeland Security, the Secretary of Defense, the Secretary of
Energy, the Secretary of Commerce, and the heads of other appropriate
Federal agencies, shall submit a report to Congress that identifies--
(1) any criteria used to describe the aliens to which such
section 212(a)(3)(A)(i)(III) may apply; and
(2) the number of individuals determined to be inadmissible
under such section 212(a)(3)(A)(i)(III), including the
nationality of each such individual.
(d) Classification of Annual Report.--Each annual report required
under subsection (c) shall be submitted, to the extent practicable, in
an unclassified form, but may be accompanied by a classified appendix
detailing the criteria used to describe the aliens to which such
section 212(a)(3)(A)(i)(III) applies if the Secretary of State
determines that such action--
(1) is in the national security and economic security
interests of the United States; or
(2) is necessary to further the purposes of this Act.
(e) Report.--Not later than 45 days after the date of the enactment
of this Act, the Secretary of State shall submit a report to the
Committee on Homeland Security and Governmental Affairs of the Senate,
the Committee on Commerce, Science, and Transportation of the Senate,
the Select Committee on Intelligence of the Senate, the Committee on
Foreign Relations of the Senate, the Committee on Oversight and Reform
of the House of Representatives, the Committee on Homeland Security of
the House of Representatives, the Committee on Energy and Commerce of
the House of Representatives, the Permanent Select Committee on
Intelligence of the House of Representatives, and the Committee on
Foreign Affairs of the House of Representatives that--
(1) describes how supplementary documents provided by a
visa applicant in support of a visa application are stored and
shared by the Department of State with authorized Federal
agencies;
(2) identifies the sections of a visa application that are
machine-readable and the sections that are not machine-
readable;
(3) provides cost estimates, including personnel costs and
a cost-benefit analysis for adopting different technologies,
including optical character recognition, for--
(A) making every element of a visa application, and
documents submitted in support of a visa application,
machine-readable; and
(B) ensuring that such system--
(i) protects personally identifiable
information; and
(ii) permits the sharing of visa
information with Federal agencies in accordance
with existing law; and
(4) includes an estimated timeline for completing the
implementation of subsection (b)(2).
SEC. 6. LIMITATIONS ON EDUCATIONAL AND CULTURAL EXCHANGE PROGRAMS.
Section 102(b)(5) of the Mutual Educational and Cultural Exchange
Act of 1961 (22 U.S.C. 2452(b)(5)) is amended by striking the semicolon
at the end and inserting the following: ``by developing exchange
programs for foreign researchers and scientists, while protecting
technologies regulated by export control laws important to the national
security and economic interests of the United States, including
requiring sponsors--
``(A) to disclose to the Department of State
whether an exchange visitor, as a primary part of his
or her exchange program, will have released to them
controlled technology or technical data regulated by
export control laws at sponsor organizations through
research activities, lectures, course work, sponsor
employees, officers, agents, third parties at which the
sponsor places the exchange visitor, volunteers, or
other individuals or entities associated with a
sponsor's administration of the exchange visitor
program;
``(B) to provide a plan to the Department of State
that establishes appropriate program safeguards to
prevent the unauthorized release of controlled
technology or technical data regulated by export
control laws at sponsor organizations or through their
employees, officers, agents, third parties, volunteers,
or other individuals or entities associated with a
sponsor's administration of the exchange visitor
program; and
``(C) to demonstrate, to the satisfaction of the
Secretary of State, that programs that will release
controlled technology or technical data to an exchange
visitor at the sponsor organization through exchange
visitor programs have received appropriate
authorization from the Department of State, the
Department of Commerce, other cognizant Federal agency
before the sponsor releases controlled technology or
technical data;''.
SEC. 7. AMENDMENTS TO DISCLOSURES OF FOREIGN GIFTS.
Section 117 of the Higher Education Act of 1965 (20 U.S.C. 1011f)
is amended--
(1) by amending subsection (a) to read as follows:
``(a) Disclosure Report.--
``(1) In general.--An institution shall file a disclosure
report with the Secretary not later than March 31 occurring
after--
``(A) the calendar year in which a foreign source
gains ownership of, or control over, the institution;
or
``(B) the calendar year in which the institution
receives a gift from, or enters into a contract with, a
foreign source, the value of which is $50,000 or more,
considered alone or in combination with all other gifts
from or contracts with that foreign source within a
calendar year.
``(2) Revisions; updates.--The Secretary shall permit
institutions to revise and update disclosure reports previously
filed to ensure accuracy, compliance, and the ability to
cure.'';
(2) by amending subsection (b) to read as follows:
``(b) Contents of Report.--Each report to the Secretary required by
this section shall contain the following:
``(1) For gifts received from or contracts entered into
with a foreign source other than a foreign government, the
aggregate dollar amount of such gifts and contracts
attributable to a particular country and the legal or formal
name of the foreign source. The country to which a gift is
attributable is the country of citizenship, or if unknown, the
principal residence for a foreign source who is a natural
person, and the country of incorporation, or if unknown, the
principal place of business, for a foreign source which is a
legal entity.
``(2) For gifts received from or contracts entered into
with a foreign government, the aggregate amount of such gifts
and contracts received from each foreign government.
``(3) In the case of an institution which is owned or
controlled by a foreign source, the identity of the foreign
source, the date on which the foreign source assumed ownership
or control, and any changes in program or structure resulting
from the change in ownership or control.
``(4) An assurance that the institution will maintain true
copies of gift and contract agreements subject to the
disclosure requirements under this section for at least the
duration of the agreement.
``(5) An assurance that the institution will produce true
copies of gift and contract agreements subject to the
disclosure requirements under this section upon request of the
Secretary during a compliance audit or other institutional
investigation.'';
(3) by amending subsection (e) to read as follows:
``(e) Public Inspection.--Not later than 30 days after receiving a
disclosure report under this section, the Secretary shall make such
report electronically available to the public for downloading on a
searchable database under which institutions can be individually
identified and compared.'';
(4) in subsection (f), by adding at the end the following:
``(3) Fines.--
``(A) In general.--The Secretary may impose a fine
on any institution that repeatedly fails to file a
disclosure report for a receipt of a gift from or
contract with a foreign source in accordance with
subsection (a) in an amount that is not more than 3
times the amount of the gift or contract with the
foreign source.
``(B) Definition of repeatedly fails.--In this
paragraph, the term `repeatedly fails' means that the
institution failed to file a disclosure report for a
receipt of a gift from or contract with a foreign
source in 3 consecutive years.'';
(5) by amending subsection (g) to read as follows:
``(g) Rulemaking.--
``(1) In general.--Not later than 1 year after the date of
enactment of the Safeguarding American Innovation Act, the
Secretary shall issue regulations to carry out this section
using the negotiated rulemaking procedure set forth in section
492(b).
``(2) Elements.--Regulations issued pursuant to paragraph
(1) shall--
``(A) incorporate instructions for--
``(i) reporting structured gifts and
contracts; and
``(ii) reporting contracts that balances
the need for transparency, while protecting the
proprietary information of institutes of higher
education; and
``(B) clarify the definition of `subunit', for
purposes of subsection (i)(4)(C).'';
(6) by redesignating subsection (h) as subsection (i);
(7) by inserting after subsection (g) the following:
``(h) Treatment of Tuition Payment.--A tuition and related fees and
expenses payment to an institution by, or a scholarship from, a foreign
source made on behalf of a student enrolled at such institution shall
not be considered a gift from or contract with a foreign source under
this section.''; and
(8) in subsection (i), as redesignated--
(A) in paragraph (3), by striking ``or property''
and inserting ``, property, resources, or staff,
including any funds provided to the institution and
used to pay, or designated for the payment of, staff'';
and
(B) in paragraph (5)(B), by inserting ``institutes,
instructional programs,'' after ``centers,''.
<all>
Introduced in Senate
Read twice and referred to the Committee on Homeland Security and Governmental Affairs.
Committee on Homeland Security and Governmental Affairs. Ordered to be reported without amendment favorably.
Committee on Homeland Security and Governmental Affairs. Reported by Senator Peters without amendment. With written report No. 117-282.
Committee on Homeland Security and Governmental Affairs. Reported by Senator Peters without amendment. With written report No. 117-282.
Placed on Senate Legislative Calendar under General Orders. Calendar No. 681.
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