General information

Section 4(b)(ix) of NSPM-33 directs that “Agencies shall ensure appropriate and effective consequences for violation of disclosure requirements and engagement in other activities that threaten research security and integrity. Depending on the nature of the violation, agencies may consider a range of consequences… In addition to these measures, civil and criminal penalties under U.S. Federal and State laws may apply in some cases, such as when individuals intentionally provide incomplete or incorrect information in the grant funding process, or misappropriate trade secrets or export controlled information. Federal agencies should consult with their Inspectors General, General Counsel, security officers, and/or law enforcement agencies as appropriate, to avoid compromising ongoing investigative and law enforcement activities…”

The objective of this section is to “provide guidelines for determining appropriate consequences, consistent with applicable laws and regulations, while preserving an appropriate level of flexibility for agencies and research organizations.”Consequences


Violation of disclosure requirements may lead to consequences as may be deemed appropriate based upon the particular facts of the violation including:

  • Civil
  • Criminal
  • Institutional

While retaining appropriate flexibility to determine consequences for violations of disclosure requirements, agencies should consider a common set of factors, where relevant and consistent with applicable laws and regulation, and communicate such factors to the research community

Ability to make corrections in disclosures

Research agencies will ensure that mechanisms for correcting disclosures exist, are communicated clearly, specify timeframes and are simple and straightforward. Research agencies should develop and implement both pre- and post-award processes, and consistent standard award terms and conditions that enable PIs and other senior/key personnel and/or their organization to correct inaccurate and/or incomplete submissions.