Funding Agency Risk Assessments
and Risk Profiles
Overview
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” (currently, China, Iran, North Korea, and Russia).
These assessments are used to create risk profiles for researchers. A high-risk profile can negatively influence funding decisions by federal funding agencies.
Federal agencies consider a range of factors when assessing risk, including:
- 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.
- Co-authorships may be considered, depending on the sponsor.
Understand Agency-Specific Policies
Each federal funding agency has its own unique policies and procedures regarding international collaborations and risk assessments. Researchers should review the agency-specific risk matrices and guidelines provided below to understand the factors considered in risk assessments:
- NIH Decision Matrix
- NSF TRUST Risk Assessment/Mitigation Framework
- DOD Academic Research Security webpage including the DOD Component Decision Matrix to Inform Fundamental Research Proposal
- DOE Approach to RTES Risk
- DARPA Risk Matrix/Rubric
NOTE: 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.
Conduct Due Diligence
Conduct thorough due diligence on all potential collaborators and institutions, international or domestic. Avoid collaborations with restricted parties and institutions on U.S. government lists (e.g., Bureau of Industry and Security (BIS) Entity List). Restricted party screening is offered through our Office of General Counsel, Technology Licensing Office, Office of Global Engagement, Office of Sponsored Projects, and the Research Security Office.
Keep Business Relationship Reporting disclosure up to date
Be complete and accurate in disclosing all international collaborations, including appointments, contracts, and time commitments, is essential. Non-disclosure, even unintentional, can lead to severe consequences, such as, funding delays or termination of funding, and restrictions on future funding eligibility by federal funding agencies.
Request a Research Security Review
If collaborating with an individual or entity in a country of concern (currently Russia, the People’s Republic of China, Iran, and North Korea) reach out to Research Security Program early in the collaboration process to request a Research Security Review.
Sharing or exchanging export controlled information
Reach out to the Research Security Office (rso@utah.edu) if your collaboration includes exchanging export-controlled information (data or materials) with any non-US person.