Research security

The University of Victoria benefits greatly from research partnerships of all types. These partnerships allow our faculty members and researchers to advance their research and help solve worldwide issues through collaboration and innovation. Some research partnerships may have risks associated with them, and it is important for faculty members and researchers to understand and mitigate these potential risks. UVic is country-agnostic and will uphold principles of research security to ensure and maintain academic freedom and access to global talent.

Research Security Unit (RSU)

We have established a Research Security Unit (RSU) at UVic that serves to protect our intellectual property and infrastructure, promote awareness of and provide education in research security, and help foster domestic and international partnerships. The RSU can help with:

Review of Risk Assessments associated with Tri-agency and CFI funding applications
Conduct security review of Research Agreements involving international partnerships
Host workshops and provide training on research security
Provide assistance in partnership assessments for faculty
Provide research security travel tips

Latest news

Malign Foreign Talent Recruitment Programs

August 9, 2024

Relevant funding programs in the US and Canada include malign foreign talent recruitment programs (MFTRP) as one of their research security considerations. In general, foreign talent...

Export Control: Quantum Computing and Semiconductors

July 20, 2024

Global Affairs Canada amended the Export Control List (ECL) to outline new export and technology transfer controls on quantum computing and advanced semiconductors equipment and technology. Details...

Implication of Ontario Research Security Guidelines

June 18, 2024

As of June 2024, the Province of Ontario’s Ministry of Colleges and Universities (MCU) has implemented research security guidelines that are aligned with but more encompassing than that...

Policy on Sensitive Technology Research and Affiliations of Concern

January 16, 2024

The Government of Canada announced the new Policy on Sensitive Technology Research and Affiliations of Concern (STRAC) to protect Canada’s research while keeping its research ecosystem as...

Safeguarding Canada’s Research Ecosystem

February 14, 2023

The Federal Government issued a statement which indicated that CFI, SSHRC, NSERC and CIHR will be implementing new measures to ensure that grant applications proposing to conduct research in...

Know your partner

It is paramount to build research partnerships with trusted partner organizations. Due diligence analysis is a great first step when exploring any research partnership opportunity. The published Open Source Due Diligence Guide and the Risk Assessment Form are useful tools when conducting due diligence on potential research partners. For example, one may check for the existence of the company, its corporate structure, foreign ownership, partnerships and joint ventures, history of IP disputes and illegal activities, and relevant sanctions. When potential risks are identified during due diligence exercise, one will be able to define the risk mitigation strategies applicable to the partnership. Some open sources worth checking include free databases, subscription databases, corporate websites, news releases, court records, SEC filings and social media posts.

Some helpful databases include:

FAQ

Sensitive technology research areas are areas of research identified on the list of sensitive technology research areas. Such list consists of advanced and emerging technologies that are important to Canadian research and development, but may also be of interest to foreign state, state-sponsored, and non-state actors seeking to misappropriate Canada’s technological advantages to our detriment. These technologies can be sensitive or sometimes can be referred to as dual-use as they may have military, intelligence, or dual military/civilian applications. For more details, please check Annex A (Sensitive research areas) of the National Security Guidelines for Research Partnerships.

Affiliation means any organization at which an individual (e.g. a researcher) is employed, holds an appointment or conducts research. In the context of the new Policy on STRAC, the current affiliations of researchers will be considered at the time of the grant application and for the duration of the grant. In cases where individuals hold multiple affiliations, all must be identified and considered when ensuring compliance to this policy. The STRAC Affiliation Questionnaire developed by the Research Security Centre will be useful in determining affiliation in relation to the STRAC Policy.

Researchers are encouraged to conduct due diligence on potential research partners before pursuing any research partnership opportunity. The guidance from the Government of Canada on conducting open-source due diligence is useful in this regard. The Risk Assessment Form and available open-source intelligence (OSINT) tools, such as free databases, are useful when conducting due diligence analysis. The RSU can also support researchers in conducting due diligence, especially when the research project involves leveraging a federal research funding program (e.g. NSERC Alliance) and/or international research partnership.
Researchers are also encouraged to take the Research Security Training Courses designed by the Government to better equip Canadian researchers with the knowledge and resources to protect their research. Completing these self-paced online courses could also serve as one of the risk mitigation strategies that can be cited in the Risk Assessment Form when submitting grant applications.
Researchers will benefit from attending workshops, webinars and conferences aimed at raising awareness on research security. From time to time, the RSU will share information on these kinds of events to the UVic research community.

The Risk Assessment Form is required by certain federal funding programs as part of the implementation of the National Security Guidelines for Research Partnerships. Typically, funding applications on research projects involving partnership with organizations from the private sector will require a completed Risk Assessment Form. For further clarification, please consult the specific requirements of the funding program being pursued.

An Attestation Form is required when applying for federal funding from applicable programs of NSERC, CIHR, SSHRC and CFI on projects that aim to advance any of the listed Sensitive Technology Research Areas. Only researchers with named roles in the grant application (e.g. applicant, co-applicant and collaborator) will need to individually complete the Attestation Form to confirm that they do not have an active affiliation nor receive funding or in-kind support from any entity on Canada's list of Named Research Organizations (NRO). The lead applicant will compile all signed Attestation Forms for submission to the funding agency.

Consult the following websites to learn more about the funding programs covered by these policies.

It is a great practice for UVic faculty to have an open dialogue with interested visiting scholars regarding their affiliations before hosting them to teach, study or conduct research at UVic. This open dialogue aims to foster trust, transparency and the spirit of academic collaboration. To mitigate potential immigration issues, it is also recommended that visiting scholars conduct self-assessment prior to travelling to Canada by evaluating their affiliations with universities and research institutions, and cross-referencing those active affiliations with Canada’s List of Named Research Organizations (NRO).

A malign foreign talent recruitment program (MFTRP) is a recruitment program administered by an entity in a foreign country, the ultimate objective of which is to acquire scientific research or intellectual properties, either unethically or unlawfully, in order to advance the interests or strategic objectives of a foreign government of concern. This is oftentimes to the detriment of Canada’s national security. Briefly, MFTRP involves recruiting researchers with expertise in relevant research areas and offering them with cash or in-kind compensation in exchange for efforts such as the following:

Engaging in unauthorized transfer of intellectual property (IP), materials, data or non-public information
Utilizing or commercializing in a foreign country the intellectual properties that originated from Canadian research without respecting the Canadian institution’s IP policy
Establishing a laboratory or company in a foreign country that ultimately competes with Canadian institution’s programs or research initiatives
Refraining participants from disclosing to their employing institution or federal research agency their participation in MFTRP
Recruiting others to join the MFTRP

From the UVic context, the researcher’s participation in MFTRP could lead to a conflict of interest or conflict of commitment. It could also limit the researcher from participating in international research collaborations supported by a federal research agency that requires non-participation in MFTRP as one of the conditions for obtaining research funding. Examples of such federal research agencies are the National Science Foundation (NSF), National Institutes of Health (NIH), Department of Defense (DoD) and Department of Energy (DoE) in the US. For more details, please see the Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs. Moreover, not disclosing their participation or the support they received from MFTRP could affect the researcher's eligibility to receive funding and participate in research projects supported by the Province of Ontario's Ministry of Colleges and Universities.

Researchers are encouraged to follow best practices when exploring participation in foreign talent programs.

Researchers are recommended to consult at least the following resources before travelling:

Sanctions are a foreign policy tool for maintaining and restoring international peace and security, combatting corruption, and promoting respect for human rights. It’s a mechanism to enforce international law (e.g. UN sanctions), and to incite behavioural or policy change.

Sanctions could be imposed on individuals, entities or states to put restrictions on certain activities. Canadian sanctions are imposed under the United Nations Act (UNA), Special Economic Measures Act (SEMA), or Justice for Victims of Corrupt Foreign Officials Act.

Prohibitions are in place for certain dealings with sanctioned individuals, entities or states. Violating sanctions could result in committing a criminal act (enforced by RCMP and CBSA). Therefore, it is a great practice to conduct open-source due diligence on the individuals and the entities you are dealing with when undertaking activities, such as the following:

Exploring or pursuing research collaborations
Hiring faculty and researchers
Hosting foreign researchers or students
Accepting donations, receiving research funding or transferring research funding
Importing or exporting goods and technologies
Providing scientific and technical assistance
Exchanging or presenting research results

Checking the Consolidated Canadian Autonomous Sanctions List or using relevant OSINT tools (e.g. Sanctions Explorer) could facilitate for the appropriate due diligence.

Bill C-70 is an act respecting countering foreign interference. The bill received royal assent on June 20, 2024. As part of this bill, the Foreign Influence Transparency and Accountability Act (FITAA) obliges individuals and entities that enter into an arrangement with a foreign principal to register such arrangements and disclose any foreign influence activities undertaken. In the academic sector, this registration obligation could apply to certain international partnerships that meet the criteria contemplated by FITAA. Relevant information from registration will be held in the Foreign Influence Transparency Registry and will be available to the Canadian public and all jurisdictions.

More FAQs on NSGRP

More FAQs on STRAC

Resources/forms

Government/funding agency policies

Forms

Research security resources

Travel guides

Tidbits for startups

Events/webinars

Upcoming events

What: Protecting the emerging technologies sector: How the newly released Secure Innovation initiative can assist you

When: Tuesday, December 17th at 10:00AM - 11:00AM PST - Register through DIGITAL Supercluster

Where: Virtual (link to be provided by the host upon registration)

Host: DIGITAL Supercluster and Canadian Security Intelligence Service

What: Conducting Open-Source Due Diligence

When: December 4, 2024 at 2:00PM - 3:30PM PST

Where: Virtual (Teams link to be provided upon RSVP)

Speakers: Research Security Unit, UVic

What: Safeguarding Science: Raising awareness of security risks and mitigation tools in the research ecosystem

When: October 24, 2024, 1:00pm to 2:00pm PST

Where: ECS 660

Speaker: Mr. Nigel Fitch, Research Security Centre, Public Safety Canada

What: Cybersecurity and Physical Lab Security Best Practices Workshop

When: October 28, 2024, 2:00pm to 3:30pm

Where: Virtual, Teams link to be provided upon registration

Speakers: Research Computing, Campus Security and OHSE

What: Digital Research Alliance Webinars

When: Select one of the following sessions

Host: Digital Research Alliance of Canada

What: IP Protection: Basics of Patenting

When:

June 26, 2024 at 10:00AM - 11:00AM PDT
December 6, 2024 at 10:00AM - 11:00AM PST

Where: Virtual (Teams link to be provided upon RSVP)

Speaker: Carsten Grellmann, Patent Lawyer, Klarquist Sparkmann

What: CFI Webinar: Policy on Sensitive Technology Research & Affiliations of Concern

When: Select one from the following sessions:

May 27th, 8:00am to 9:30am PDT
May 31st, 8:00am to 9:30am PDT