Because U.S. federal funding agencies have been prohibited by Congress from issuing funding to participants of malign foreign talent recruitment programs, they are beginning to conduct risk reviews after the technical merit review to determine which proposals to fund. While the Department of Defense (DOD) is the only federal agency to share their risk matrix, the Department of Energy is already conducting similar reviews and is actively developing a similar matrix. We expect other federal agencies to follow.
The DOD matrix outlines the following risks that could impact a researcher’s ability to participate in DOD-funded research:
- Indicators that senior/key personnel may be involved in a malign foreign talent recruitment program.
- Indicators that senior/key personnel may be receiving funding/support from China, Iran, North Korea or Russia.
- Indicators that senior/key personnel are co-authoring publications with people or institutions on certain restricted party lists.
- Indicators that senior/key personnel are co-authoring publications with people engaged in a malign foreign talent recruitment program.
- Patent applications for innovations resulting from federally funded research were filed in foreign countries before they were filed in the U.S.
- Investigator co-patents with an entity on certain restricted party lists.
Possible mitigation measures outlined by DOD are:
- Requiring senior/key personnel to complete insider risk awareness training.
- Requiring more frequent reporting through the Research Performance Progress Report.
- Replacing individuals listed in a fundamental research project proposal who are deemed a research security risk.
- Providing the DOD with senior/key personnel’s contracts for review and clarifying of relationships, affiliations and/or associations considered risky.
- Requiring senior/key personnel to resign from positions deemed problematic by the risk-based security review.
Definitions
Affiliation
Academic (not including undergraduate or graduate students), professional or institutional appointments or positions with a foreign government or a foreign government-connected entity, whether full-time, part-time or voluntary (including adjunct, visiting, postdoctoral or honorary appointments), where monetary reward, non-monetary reward or other quid-pro-quo obligation is involved.
Association
Academic (not including undergraduate or graduate students), professional or institutional appointments or positions (including adjunct, visiting, voluntary, postdoctoral or honorary appointments) with a foreign government or foreign government-connected entity where no monetary reward, non-monetary reward or other quid-pro-quo is involved.
Summary of the DOD risk matrix
Proposal not funded if:
- There are indicators of participation in a malign foreign talent recruitment program (MFTRP) that meet any criteria in the CHIPS and Science Act of 2022.
Proposal funded and mitigation measures required if:
- There are indicators that senior/key personnel are receiving funding from China, Iran, North Korea and Russia.
- Patent applications or patents disclosed in a proposal that resulted from research funded by the U.S. government were filed in China, Iran, North Korea and Russia prior to being filed in the U.S. or on behalf of an entity connected to China, Iran, North Korea and Russia.
- There are indicators of an association with an entity on certain restricted party lists.
Proposal funded and mitigation measures suggested if:
- Senior/key personnel are publishing in scientific and engineering journals with co-authors participating in an MFTRP.
- There are indicators that senior/key personnel are receiving limited or partial funding from China, Iran, North Korea and Russia.
- Patent application(s) or patents(s) not disclosed in a project proposal that resulted from research funded by the U.S. government were filed in a foreign country (but not China, Iran, North Korea and Russia) before being filed in the U.S.
- An investigator files a co-patent application with an entity on certain restricted party lists.
- Senior/key personnel’s co-author(s) on publications are affiliated with an entity on certain restricted party lists.
Proposal funded if there are:
- No indicators of participation in an MFTRP.
- No indicators that senior/key personnel are receiving or have received funding from China, Iran, North Korea and Russia.
- Patent application(s) or patent(s) resulting from research funded by the U.S. government were filed in the U.S. before they were filed in another country.
- No indicators of any association or affiliation with entities on certain restricted party lists.
What we are doing
Don't hesitate to contact professionals in Research Security and Compliance for an analysis on risks related to your research endeavors. We also proactively review conflict of interest disclosures to identify indicators pursuant to standard operating procedures.