Covered Individual (Research Security)
The definition of covered individual varies depending on the federal agency. Generally, however, it is:
An individual who (A) contributes in a substantive, meaningful way to the scientific development or execution of an R&D project proposed to be carried out with an…award from a Federal research agency; and (B) is designated as a covered individual by the Federal research agency concerned.” See Office of Science and Technology Policy (OSTP) Memo
Some specific definitions:
CHIPS and Science Act
(1) COVERED INDIVIDUAL.—The term ‘‘covered individual’’ means an individual who— (A) 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 (B) is designated as a covered individual by the Federal research agency concerned. See: Section 10638(1) of the CHIPS and Science Act
Department of Defense (DoD)
An individual at an extramural research institution who, as designated by the extramural research institution, contributes significantly to the design or execution of a research and development project that is funded, in whole or in part, by the DoD, and who is considered essential to the successful performance of the research and development project. Covered individuals include those listed as key personnel in fundamental research project proposals (e.g., the principal investigator or co-principal investigator).
Department of Energy (DOE)
Covered Individual means an individual who (a) contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by DOE, and (b) is designated as a covered individual by DOE.
DOE designates as covered individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager.
DOE departmental elements will often expand this list of designated roles, as specified in the applicable Notice of Funding Opportunity (NOFO) and/or terms and conditions of the Federal financial assistance award. Status as a consultant, graduate (master’s or PhD) student, or postdoctoral associate does not automatically disqualify a person from being designated as a “covered individual” if they meet the definition in (a) above. See: FAL Research Security Training Requirements for all R&D Financial Assistance Awards
NASA
NASA will designate as a covered individual any PIs (regardless of level of effort), any Co-PIs (regardless of level of effort), and only Co-Is proposing to spend ten percent or more of their time in any given year on a NASA-funded award. NASA funding organizations may designate additional personnel categories as covered individuals on a project-by-project basis, and these designations will be explicitly stated in all NOFOs. See: NASA Grant and Cooperative Agreement Manual
NIH Covered Individual Definition
A “covered individual” is defined as all senior key personnel (i.e., individuals who contribute to the scientific development or execution of a project in a substantive, measurable way). This covered individual definition is applicable to SBIR and STTR applicants for purposes of the SBIR and STTR Foreign Disclosure Form.
NSF Covered individual Definition
Principal investigators (PIs) and other senior/key person seeking or receiving Federal research and development funding (i.e., extramural funding) and researchers at Federal agency laboratories and facilities (i.e., intramural researchers, whether or not federally employed), including Government-owned, contractor-operated laboratories and facilities.
See NSF Proposal & Award Policies & Procedures Guide (PAPPG)
Office of Science Technology Policy (OSTP)
Covered individual – The term “covered individual” has the meaning given such term in Section 10638(1) of the CHIPS and Science Act (42 U.S.C. 19237(1)). See: OSTP 2024 Foreign Talent Recruitment Guidelines
USDA Covered individual Definition
Coming soon!