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Research Policy
Offices of Research Compliance and Security
Research Policy  /  Research Security  /  International Collaboration  /  Risk Assessments for Research Security in Fundamental Research

Risk Assessments for Research Security in Fundamental Research

June 08, 2026
Since 2024, federal agency sponsors have been implementing several changes with regard to mitigating foreign risk. Dept. of War/Defense, the Public Health Service (NIH), Dept. of Energy and NSF have issued their risk assessment frameworks and NASA plans to issue theirs soon. These matrices require implementing processes for reviewing researcher and institutional risk and developing risk mitigation plans. The Caltech process includes review of a researcher's past 5 years of publications, patents, collaborators, co-authors, funding and more. A short slide presentation overview can be found here.

Federal funding agencies are employing several strategies to assess fundamental research projects for potential risks to national security and US competitive advantages. These practices are evolving; however, several agencies have published the methodologies and approaches to assessing risk.

Not all agencies look at these indicators, but below are some common factors the sponsoring agency may consider as part of the risk assessment.

  • Review of current and pending (other) support pages for current time commitments, available time to carry out the proposed project, and potential overlap between the proposed new project and the individual's current portfolio.
  • Participation in Malign Foreign Talent Recruit Programs (prohibited)
  • Participation in Foreign Talent Recruitment Programs (not prohibited).
  • Funding from organizations in countries of concern, e.g., China, Russia, N. Korea, Iran
  • Other relationships with researchers in countries of concern – e.g., formal and information collaboration, joint publications or patents, appointments or positions at institutions
  • The risk level of the work, especially research in emerging technology areas
  • Indications of incomplete or non-disclosure by the researcher of past relationships.

Some federal sponsors have used some or all the following mitigation strategies over the last year as part of the risk management plan for a specific project.

  • Reporting to the program officer of all international travel undertaken by senior/key personnel
  • Additional reporting of how research results are shared, particularly with individuals from countries of concern, or the prohibition on sharing pre-publication results of the research
  • Termination or agreement not to renew sponsored funding or outside activities with organizations from countries of concern
  • No awards for the project selected for funding (primarily Army Research Lab).

Agency Implementations