{"id":14628,"date":"2024-12-06T10:59:59","date_gmt":"2024-12-06T15:59:59","guid":{"rendered":"https:\/\/research.ncsu.edu\/administration\/?page_id=14628"},"modified":"2026-05-14T15:43:40","modified_gmt":"2026-05-14T19:43:40","slug":"research-security-how-sponsors-categorize-risk","status":"publish","type":"page","link":"https:\/\/research.ncsu.edu\/administration\/research-security-how-sponsors-categorize-risk\/","title":{"rendered":"Research Security: How Sponsors Categorize Risk"},"content":{"rendered":"\n\n\n\n<div class=\"layout-one-column is-text wp-block-ncst-link-list\">\n          <h2 class=\"link-list-section__heading\">\n        Quick links\n      <\/h2>\n        <ul class=\"link-list__container\">\n      \n<li class=\"ncst-component__bold-link-container wp-block-ncst-bold-link\">\n      <a \n      href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-security\/research-security-countries-presenting-added-risk\/\"\n      class=\"ncst-component__bold-link text-link\"\n                >\n    <span class=\"text\">Countries of Concern and Other Countries Presenting Add Risk<\/span><span class=\"arrow-indicator\"><svg class=\"wolficon wolficon-arrow-right-bold\" role=\"img\"  aria-hidden=\"true\">\n\t\t\t\n\t\t\t<use xlink:href=\"#wolficon-arrow-right-bold\">\n\t\t<\/svg><\/span>\n    <\/a>\n      <\/li>\n  \n\n<li class=\"ncst-component__bold-link-container wp-block-ncst-bold-link\">\n      <a \n      href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/export-controls\/export-controls-policies-rules-and-regulations\/request-restricted-party-screening\/\"\n      class=\"ncst-component__bold-link text-link\"\n                >\n    <span class=\"text\">Screening for Entities of Concern<\/span><span class=\"arrow-indicator\"><svg class=\"wolficon wolficon-arrow-right-bold\" role=\"img\"  aria-hidden=\"true\">\n\t\t\t\n\t\t\t<use xlink:href=\"#wolficon-arrow-right-bold\">\n\t\t<\/svg><\/span>\n    <\/a>\n      <\/li>\n  \n\n    <\/ul>\n  <\/div>\n\n\n\n<h2 class=\"wp-block-heading\">Agency Risk Matrix<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">The chart below provides a general overview of the risk factors considered by federal agencies, either due to their published programs or to NC State\u2019s experience.&nbsp; While there are differences in how each agency determines risk, they are all concerned about the following, especially if involving a Foreign Country of Concern:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Undisclosed support,<\/li>\n\n\n\n<li>Undisclosed affiliations and,<\/li>\n\n\n\n<li>Participation in <a href=\"https:\/\/research.ncsu.edu\/administration\/foreign-talent-recruitment-programs-ftrp\/\">Foreign Talent Recruitment Programs<\/a> that are considered Malign.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">In accordance with <a href=\"https:\/\/policies.ncsu.edu\/regulation\/reg-01-25-01\/\">REG 01.25.01 \u2013 Conflicts of Interest and Conflicts of Commitment<\/a>, NC State personnel serving as <a href=\"https:\/\/research.ncsu.edu\/administration\/policies-and-guidance\/covered-individuals-and-senior-personnel\/\">Senior\/Key Personnel<\/a> on sponsored research projects are required to disclose support for External Professional Activities, including accepting formal appointments and participation in Foreign Talent Recruitment Programs.&nbsp; For more information about these disclosure obligations, please visit <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/coi\/epa\/\">External Professional Activities: Procedure and Guidance | Research Administration and Compliance<\/a>.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Agency Risk Matrix<\/h2>\n\n\n<blockquote class=\"wp-block-ncst-blockquote\">\n    <strong>Note:\u00a0The following chart provides known factors that the listed agencies consider high risk. It is not intended to be comprehensive and is based on agency guidance that has been issued to date and is subject to change without notice.\u00a0 \u00a0For Agency specific rules and considerations, see the detailed information below the chart.<\/strong>\n  <\/blockquote>\n\n\n\n<table id=\"tablepress-79\" class=\"tablepress tablepress-id-79\">\n<thead>\n<tr class=\"row-1\">\n\t<th class=\"column-1\">Agency<\/th><th class=\"column-2\">Participation in a Foreign Talent Recruitment Program<br \/>\n(See Note 1)<\/th><th class=\"column-3\">Direct Funding from a Country of Concern<\/th><th class=\"column-4\">Foreign Patents filed in Foreign Country of Concern<\/th><th class=\"column-5\">Affiliations and Appointments<\/th><th class=\"column-6\">Co-authorship with persons affiliated with institutions in Countries of Concern<\/th>\n<\/tr>\n<\/thead>\n<tbody class=\"row-striping row-hover\">\n<tr class=\"row-2\">\n\t<td class=\"column-1\">Department of Defense (DoD)(including DARPA)<br \/>\n<br \/>\n<\/td><td class=\"column-2\">If associated with a <strong>Country of Concern<\/strong> or not disclosed<\/td><td class=\"column-3\">Yes<\/td><td class=\"column-4\">Yes<\/td><td class=\"column-5\">Within the past 5 years, affiliations with an <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entity of Concern<\/a> and indicators of non-disclosure of affiliations\/appointments. <\/td><td class=\"column-6\">Within the past 5 years if co-author is affiliated with an <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entity of Concern<\/a>.  <\/td>\n<\/tr>\n<tr class=\"row-3\">\n\t<td class=\"column-1\">U.S. Army <br \/>\n(See Note 2)<\/td><td class=\"column-2\">If associated with a <strong>Country of Concern<\/strong> or not disclosed<\/td><td class=\"column-3\">Yes<\/td><td class=\"column-4\">Yes<\/td><td class=\"column-5\">Within the the past 5 years, affiliations and appointments with institutions in a <strong>Country of Concern<\/strong> and indicators of non-disclosure of affiliations\/appointments<\/td><td class=\"column-6\">Within the past 5 years if co-author is affiliated with an institution in a <strong>Country of Concern<\/strong>.<\/td>\n<\/tr>\n<tr class=\"row-4\">\n\t<td class=\"column-1\">Department of Energy (DOE) and National Nuclear Security Administration<br \/>\n(NNSA)<\/td><td class=\"column-2\">If associated with a <strong>Country of Concern<\/strong> or not disclosed<\/td><td class=\"column-3\">Yes<\/td><td class=\"column-4\">Yes<\/td><td class=\"column-5\">Within the past 5 years, affiliations with an <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entity of Concern<\/a> and indicators of non-disclosure of affiliations\/appointments. <br \/>\nSee Note 4)<br \/>\n<\/td><td class=\"column-6\">N\/A<\/td>\n<\/tr>\n<tr class=\"row-5\">\n\t<td class=\"column-1\">National Institutes of Health (NIH)<\/td><td class=\"column-2\">If associated with a <strong>Country of Concern<\/strong> or not disclosed<\/td><td class=\"column-3\">If undisclosed<br \/>\n(See Note 5)<\/td><td class=\"column-4\">N\/A<\/td><td class=\"column-5\">Affiliations with <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entity of Concern<\/a> and indicators of non-disclosure of affiliations\/appointments<\/td><td class=\"column-6\">See Note 6<\/td>\n<\/tr>\n<tr class=\"row-6\">\n\t<td class=\"column-1\">National Science Foundation (NSF)<br \/>\n(See Note 3)<\/td><td class=\"column-2\">If a Malign Foreign Talent Recruitment Program or not disclosed<\/td><td class=\"column-3\">If undisclosed<br \/>\n(See Note 5)<\/td><td class=\"column-4\">N\/A<\/td><td class=\"column-5\">Active Affiliations with an <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entity of Concern<\/a> and indicators of non-disclosure of affiliations\/appointments<\/td><td class=\"column-6\">N\/A<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<!-- #tablepress-79 from cache -->\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 1<\/strong> &#8211; For all agencies, the more recent the participation in Foreign Talent Recruitment Programs identified as Malign or associated with Foreign Countries of Concern, the higher the identified risk. &nbsp; Active participation in a Malign Foreign Talent recruitment program is prohibited by all federal funding agencies.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 2<\/strong> &#8211; The U.S. Army\u2019s program has significant differences from the general DOD program, so it is broken out separately<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 3<\/strong> &#8211; NSF is implementing its research security program, TRUST (Trusted Research Using Safeguards and Transparency), in phases.&nbsp; Phase I began Fiscal Year 2025 (October 1, 2024) and is focused on Quantum related research.&nbsp;&nbsp;<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 4<\/strong> &#8211; If an affiliation is identified in the past 5 years, DOE may ask for a signed assurance from the investigator that the affiliation is no longer active.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 5<\/strong> &#8211; Most agencies consider January 2022, the date the NSPM -33 Implementation guidance was published with the expected disclosure requirements as the date investigators should have been aware of these requirements.&nbsp; Indicators of non-disclosure after that date will likely result in a higher identified risk.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Note 6 <\/strong>&#8211; While NIH hasn&#8217;t identified co-authorship as a risk indicator, NIH does consider foreign co-authorship on an NIH funded paper a potential Foreign Component requiring prior approval.\u00a0 See <em>Does Co-Authorship Require Prior Approval?<\/em> under the NIH specific Detailed Information below for more guidance.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Agency Detailed Information<\/h2>\n\n\n<div class=\"is-text wp-block-ncst-accordion\" >\n    <div class=\"accordion isLinked\" id=\"ncst-accordion-fujrmu\">\n          \n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">Department of Defense<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">In June 2023, the Department of Defense (DoD) released its decision matrix for countering unwanted foreign influence as part of a Risk-Based Security Reviews policy. The policy identifies 4 risk factors: (1) foreign talent recruitment program participation; (2) funding sources from foreign countries of concern; (3) patent applications or patents filed outside the US; and (4) association or affiliation with an entity on US entity lists like the BIS Entity list and section 1286 of the 2019 NDAA (for the full description of these lists, please see the link below). Co-authorship with individuals on entity lists or the BIS Denied Persons List is considered a risk factor.<\/p>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/basicresearch.defense.gov\/Programs\/Academic-Research-Security\/\" target=\"_blank\" rel=\"noreferrer noopener\">DOD Basic Research Office &#8211; Academic Research Security<\/a> &#8211; Includes information on how the Department of Defense determines risk associated with proposals for&nbsp;<a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#fundamental\" target=\"_blank\" rel=\"noreferrer noopener\">Fundamental Research<\/a>.<\/li>\n\n\n\n<li><a href=\"https:\/\/basicresearch.defense.gov\/Portals\/61\/Documents\/Academic%20Research%20Security%20Page\/FY24%20Section%201286%20List%20for%20public%20release_V2.pdf?ver=KqtK4tL1wLDoUwe2yxWHSw%3d%3d\" target=\"_blank\" rel=\"noreferrer noopener\">Section 1286 List <\/a>&nbsp;&#8211; This document includes both Entities identified by the DOD as Entities of Concern and Specific Foreign Talent Recruitment Programs that are considered Malign.&nbsp; When reviewing institutions for External Professional Activities or sponsored research, NC State includes the Section 1286 list to identify <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/research-compliance-definitions\/#entity\">Entities of Concern<\/a>.<\/li>\n\n\n\n<li><a href=\"https:\/\/rt.cto.mil\/stpp\/mta\/\" target=\"_blank\" rel=\"noreferrer noopener\">Science and Technology (S&amp;T) Program Protection<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/rt.cto.mil\/wp-content\/uploads\/2025\/03\/Policy-on-Risk-Based-Security-Reviews-of-Fundamental-Research.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Policy on Risk-Based Security Reviews of Fundamental Research<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.cto.mil\/wp-content\/uploads\/2019\/10\/dod-letter-to-universities-10102019.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">DOD Under Secretary of Defense Letter to Academia 10\/10\/2019<\/a><\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">Defense Advanced Research Projects Agency<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">Per a December 2023 <a href=\"https:\/\/www.darpa.mil\/attachments\/DARPA%20Risk%20Based%20Security%20Reviews%20of%20Fundamental%20Research%20Process1.pdf\">memorandum<\/a>, the Defense Advanced Research Projects Agency (DARPA) has adopted the above DoD Risk-Based Security Reviews policy and decision matrix. This policy replaces the previously established Countering Foreign Influence Program (CFIP) policy, DARPA Risk Rubric, and FAQs. In May, 2024, DARPA published <a href=\"https:\/\/www.darpa.mil\/attachments\/DARPA%20Fundamental%20Research%20Risk-Based%20Review%20Frequently%20Asked%20Questions%20(DISTRO%20A%20Approved%203-May-2024).pdf\">updated FAQs<\/a> to address how it is implementing the DoD policy.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">U.S. Army<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">The US Army has not yet adopted the DoD Risk-Based Security Reviews policy and continues to use the Army Research Risk Assessment Program (ARRP) <a href=\"https:\/\/arl.devcom.army.mil\/wp-content\/uploads\/sites\/3\/2023\/02\/arrp-rubric.pdf\">matrix<\/a> for Senior\/Key Personnel. The ARRP identifies 4 risk factors: (1) participation in foreign talent recruitment programs of strategic competitors; (2) affiliation or association with entities on US government entity lists; (3) funding from strategic competitors; and (4) affiliation, association, or collaboration with a foreign institution, person, or entity from a strategic competitor. Co-authorship is considered a form of collaboration by the ARRP.<\/p>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/arl.devcom.army.mil\/collaborate-with-us\/opportunity\/arrp\/\">Army Research Risk Assessment Protection Program<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/arl.devcom.army.mil\/wp-content\/uploads\/sites\/3\/2023\/04\/FAQ-Amy-Risk-Protection-Program-FINAL-v-APR23-5.pdf\">FAQs<\/a>&nbsp;<\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">Department of Energy and National Nuclear Security Administration<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">In November 2024, DOE issued its Research, Technology and Economic Security Framework for Financial Assistance. The framework document lays out the review process that DOE will follow and the risk factors it will consider when evaluating proposals for research security concerns.&nbsp; DOE considers the following risk factors when reviewing proposed <a href=\"https:\/\/research.ncsu.edu\/administration\/policies-and-guidance\/covered-individuals-and-senior-personnel\/\">Senior\/Key Personnel<\/a>: 1) ties to malign foreign talent recruitment programs, 2) certain foreign funding sources (both monetary and in-kind), 3) certain concerning behaviors associated with patenting (e.g., transferring to foreign entities after filing), and 4) ties to foreign entities or foreign collaborators on specified lists or with specified characteristics. Foreign birth and citizenship do not, in and of themselves, constitute risk factors.&nbsp;<\/p>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.energy.gov\/sites\/default\/files\/2024-11\/DOE%20RTES%20Framework%20Memorandum%2011.26.2024.pdf\">Department of Energy Research, Technology, and Economic Security Framework for Financial Assistance and Loan Activities &#8211; Nov 26\/2024<\/a>&nbsp;<\/li>\n\n\n\n<li><a href=\"https:\/\/www.energy.gov\/sites\/default\/files\/2024-10\/FAL25-02%20Research%20Security%20Training%20Requirements%20%28CHIPS%29.pdf\">DOE Financial Assistance Letter (FAL) 2025-02 &#8211; Research Security Training Requirements<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.energy.gov\/ia\/research-technology-economic-security\" target=\"_blank\" rel=\"noreferrer noopener\">Research, Technology &amp; Economic Security | Department of Energy<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/docs.google.com\/document\/d\/1_cu6F0mBjHiN08GqmBhe__VWAHA0xaQn78QxcuEsEYw\/edit?tab=t.0\" target=\"_blank\" rel=\"noreferrer noopener\">NC State Template &#8211; DOE Transparency of Foreign Connections Disclosures and Certification<\/a>&nbsp;&#8211; For use when submitting an NC State proposal to DOE. To use this template to provide the required disclosures and certifications, please make a copy of this template and complete. The template can also be used for subrecipients who are also Institutions of Higher Education. Other types of subrecipients can use the <a href=\"https:\/\/www.energy.gov\/sites\/default\/files\/2025-07\/DOE%20Transparency%20of%20Foreign%20Connections%20Disclosures%20and%20Certification.docx\">DOE template<\/a>.<\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">National Institutes of Health (NIH)<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">In August 2024, the National Institutes of Health (NIH) issued a decision matrix to assess foreign interference. The decision matrix identifies 3 risk factors: (1) Foreign Talent Recruitment Program (FTRP) participation; (2) undisclosed or incompletely disclosed foreign funding; (3) and undisclosed or incompletely disclosed affiliation with foreign institutions or entities. NIH is reviewing these risk factors for activities within the past 5 years. <\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Note on Co-authorship: Whether your international collaboration is a simple co-authorship or a &#8220;foreign component&#8221; requiring prior approval from the National Institutes of Health (NIH) depends on the nature of the foreign partner&#8217;s contribution. Under the&nbsp;<strong>NIH Grants Policy Statement (NIHGPS)<\/strong>, a foreign component is defined as any significant scientific element of a project that is performed outside of the United States, whether or not NIH grant funds are expended.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><strong>Does Co-Authorship Require Prior Approval?<\/strong><\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">Co-authorship with a foreign colleague does&nbsp;<strong>not<\/strong>&nbsp;automatically trigger the &#8220;foreign component&#8221; requirement for prior approval. However, it requires prior approval if the foreign co-author&#8217;s contribution includes any of the following:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><strong>Performance of Research:<\/strong>&nbsp;Significant research activities conducted at a foreign site (e.g., experiments, data collection, or laboratory work).<\/li>\n\n\n\n<li><strong>Resource Sharing:<\/strong>&nbsp;Use of facilities or equipment at a foreign institution that are not available at the domestic institution.<\/li>\n\n\n\n<li><strong>Materials and Subjects:<\/strong>&nbsp;Involvement of foreign human subjects or animals.<\/li>\n\n\n\n<li><strong>Extensive Data Analysis:<\/strong>&nbsp;Performance of substantial data analysis at a foreign site that is critical to the project\u2019s aims.<\/li>\n<\/ul>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/grants.nih.gov\/sites\/default\/files\/NIH%20Decision%20Matrix%20for%20Assessing%20Potential%20Foreign%20Interference%20for%20Covered%20Individuals%20or%20Senior%207%2026%2024%20clean.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">NIH Decision Matrix<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/grants.nih.gov\/policy-and-compliance\/policy-topics\/foreign-interference\/handling-allegations\" target=\"_blank\" rel=\"noreferrer noopener\">Process for Handling Allegations Related to Foreign Interference | Grants &amp; Funding<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/grants.nih.gov\/news-events\/nih-extramural-nexus-news\/2026\/05\/an-update-on-how-nih-protects-nih-funded-research-from-undue-foreign-interference\">May 2026 NIH Update on Protecting NIH Funded Research from undue Foreign Interference&nbsp;<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/grants.nih.gov\/grants\/guide\/notice-files\/NOT-OD-19-114.html\" target=\"_blank\" rel=\"noreferrer noopener\">NOT-OD-19-114: Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components<\/a> &#8211; Note that NIH considers the performance of work by a researcher or recipient in a foreign location as a Foreign Component.&nbsp; Foreign components must be included in the proposal or, for ongoing NIH grants, require prior approval from NIH.<\/li>\n\n\n\n<li><a href=\"https:\/\/grants.nih.gov\/grants\/guide\/notice-files\/NOT-OD-25-104.html\" target=\"_blank\" rel=\"noreferrer noopener\">NOT-OD-25-104<\/a>: With the issuance of this Notice, as of May 1, 2025, NIH will no longer accept prior approval requests to add foreign components on NIH awards.&nbsp; This would also include NC State personnel continuing to work on an NIH award from a foreign location.<\/li>\n\n\n\n<li><a href=\"https:\/\/grants.nih.gov\/grants\/guide\/notice-files\/NOT-OD-25-133.html\" target=\"_blank\" rel=\"noreferrer noopener\">NOT-OD-25-133<\/a>&nbsp;&#8211; This July 17, 2025 notice implements a Research Security Training requirement for Senior\/Key Personnel listed on NIH proposals as of Oct 1, 2025<\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">National Science Foundation (NSF)<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">The National Science Foundation has detailed a new risk mitigation process called Trusted Research Using Safeguards and Transparency (TRUST). TRUST will first be piloted with quantum related proposals in October 2024 before being applied more widely. NSF is reviewing 3 factors through TRUST: (1) active appointments and positions with or research support from proscribed parties including participation in Malign Foreign Talent Recruitment Programs; (2) non-disclosure of appointments, activities, and sources of research support; and (3) potential national security applications of the research. NSF is reviewing disclosures from January 2022 when implementation plans for NSPM-33 were released. NSF is not using co-authorship as a risk factor at this time.<\/p>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/nsf-gov-resources.nsf.gov\/files\/NSF%20OCRSSP%20TRUST%20Policy%20Memo.pdf\">NSF TRUST Policy Memo<\/a>&nbsp;<\/li>\n\n\n\n<li><a href=\"https:\/\/new.nsf.gov\/research-security\">Research Security | NSF &#8211; National Science Foundation<\/a>&nbsp;<\/li>\n\n\n\n<li><a href=\"https:\/\/www.nsf.gov\/notices\/important\/important-notice-no-149-updates-nsf-research-security\/in149\" target=\"_blank\" rel=\"noreferrer noopener\">NSF Important Notice No. 149: Updates to NSF Research Security Policies<\/a>&nbsp;&#8211; This July 10, 2025 note implements a Research Security Training requirement for Senior\/Key Personnel listed on NSF proposals as of Oct 10, 2025.<\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"fujrmu\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>Department of Agriculture<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\">The&nbsp;USDA Secretary&#8217;s Memorandum (SM 1078-014), effective July 8, 2025, significantly tightens policies regarding foreign engagements and research security, prioritizing American interests in all USDA-funded activities.&nbsp;Consistent with NSPM-33 and other agencies regulations, The USDA has identified current or past participation within the last 10 years in Malign Foreign Talent Recruitment Programs&nbsp; as a disqualifier for working on USDA funded Research and Development and Science and Technology projects.<\/p>\n\n\n\n<h4 class=\"wp-block-heading\">Key Links:<\/h4>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.usda.gov\/sites\/default\/files\/documents\/sm-1078-014.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">July 8, 2025 Memo from the Secretary of Agriculture (sm-1078-014)<\/a><\/li>\n<\/ul>\n\n\n      <\/p>\n  <\/details>\n\n\n    <\/div>\n  <\/div>\n","protected":false},"excerpt":{"rendered":"<p>Agency Risk Matrix The chart below provides a general overview of the risk factors considered by federal agencies, either due to their published programs or to NC State\u2019s experience.&nbsp; While&hellip;<\/p>\n","protected":false},"author":16,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"source":"","ncst_custom_author":"","ncst_show_custom_author":false,"ncst_dynamicHeaderBlockName":"ncst\/default-header","ncst_dynamicHeaderData":"{\"pageIntro\":\"Each federal funding agency has or will publish agency-specific rules regarding their approach to research security reviews to identify potential conflicts of interest and conflicts of commitment arising from foreign influence.\u00a0 The agencies\u2019 programs outline what types of international activities that may or will require risk mitigation.\u00a0\u00a0\"}","ncst_content_audit_freq":"","ncst_content_audit_date":"","ncst_content_audit_display":false,"ncst_backToTopFlag":"","footnotes":""},"tags":[],"class_list":["post-14628","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Research Security: How Sponsors Categorize Risk - Research Administration and Compliance<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/research.ncsu.edu\/administration\/research-security-how-sponsors-categorize-risk\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Research Security: How Sponsors Categorize Risk - Research Administration and Compliance\" \/>\n<meta property=\"og:description\" content=\"Agency Risk Matrix The chart below provides a general overview of the risk factors considered by federal agencies, either due to their published programs or to NC State\u2019s experience.&nbsp; 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