Federal funding agencies, including the National Institutes of Health (NIH), National Science Foundation (NSF), Department of Defense (DOD), and Department of Energy (DOE), are currently conducting risk assessments of international research collaborations, particularly those involving individuals or entities from “countries of concern”. These assessments are used to create risk profiles for researchers. A high-risk profile can negatively influence funding decisions by federal funding agencies.
Key Factors in Risk Assessments
- Countries of concern: Collaborations with individuals or entities within countries of concern.
- Foreign affiliations and appointments: Any formal relationship with a foreign institution or government.
- Financial support from foreign entities: Receiving funding, gifts, or other forms of support from foreign sources.
- Participation in foreign talent recruitment programs: Involvement in programs that may pose a risk to national security.
- Sharing of sensitive research data or technology: Transferring information or materials that could be subject to export control regulations.
- Information on emerging technologies, such as AI, quantum computing, and hypersonics.
- Authorships: Foreign co-authorships may be considered, depending on the sponsor.
What Should Researchers Do?
Understand agency-specific policies as each agency has its own unique policies and procedures. Researchers should understand the specific factors considered in a risk assessment prior to submitting a funding application:
- NIH Decision Matrix
- NSF TRUST Risk Assessment/Mitigation Framework
- DOD Academic Research Security webpage including the DOD Component Decision Matrix to Inform Fundamental Research
- DOE Approach to RTES Risk
- DARPA Risk Matrix/Rubric
Federal agency policies and risk assessment processes are dynamic and subject to change. Researchers should consult the official agency websites for the most current information.