Which research partnerships require a RAF under the NSGRP?
Certain federal funding opportunities (please see non-exhaustive list here) require that you complete and submit a risk assessment form (RAF) with the grant submission when you are partnering with any private-sector, for-profit organizations, as defined by the granting agencies.
For most Tri-Agency funding competitions, a partner organization is one that plays an active role in the research activities, provides intellectual leadership and expertise, translates or mobilizes research knowledge and results, or supports the partnership through cash or in-kind contributions, among other activities. For Canada Foundation for Innovation funding competitions, a partner organization is one that meets one of the three specific criteria set out by CFI.
Please review the funding opportunity in detail for specific criteria for the participation of your private-sector partner in your proposal.
What are national security risks in research partnerships?anchor
Many research projects present some risks that you should consider, including risks relating to Canada’s national security. There are organizations who may seek to exploit research partnerships to gain access to research knowledge and information and to facilitate unwanted knowledge transfer for their own gain and exploitation. Even where your intention for the project is to widely distribute the research results, research partnerships can allow partner organizations privileged and potentially unauthorized access to your research prior to publication and may compromise information that you had not planned to share publicly.
Therefore, it is important for you to assess where there may be national security risks to your research based on the type of research that you plan to conduct and on your potential partners’ motivations, employees and corporate structure. If you assess that your research intersects with a national security risk, you will need to take steps to mitigate potential risks.
Research risks
The research areas that the Government of Canada identified for heightened national security risk considerations are those involving the use of sensitive personal data or large datasets that may be sensitive, relating to a sensitive technology research area or a dual-use technology, involving materials on the Critical Minerals List, or relating to a sector listed in the National Strategy for Critical Infrastructure. This section of the guide will walk you through in detail how to address specific questions within “Sections 1: Know Your Research” of the RAF.
Partner risks
The objective of assessing partner risks is to help you understand whether your partner will use the research knowledge and outputs in a way that align with your research objectives and in a way that does not pose a national security risk. This may also help to provide you with indicators suggesting whether the potential partner may transfer your research in an unauthorized manner to third-party governments, militaries or other organizations who may misuse your research. This requires that you conduct due diligence using open-source research to find the following relevant information:
- Their subsidiaries, affiliations or partnerships;
- Their strategic goals related to your research area, and experience in translating research knowledge;
- Their potential for foreign government influence or control through both legal or illegal means;
- Their funding sources for their lines of business and their specific support for your project;
- Any active or resolved criminal or civil charges or convictions pertaining to individuals working in the organization;
- Conflicts of interest within members of the company involved in your research.
This UBC Research Security webpage provides additional questions to consider as you conduct your research and assess your partner.
This section of the guide will walk you through how to address specific questions within “Sections 2: Know Your Partner” of the RAF.