Research Security Grant

Increase knowledge and understanding of faculty and staff, graduate students and postgraduates, in research security and compliance requirements, across campus and through the research ecosystem

Achieve collective understanding with government representatives on research security practices, regulatory compliance, and international partnerships

Evaluate and modernize Waterloo's international relationships, institutional partnerships and corporate relationships based on funding inputs

Number of research security training sessions delivered to faculty and staff as well as graduate and postgraduate students involved

Number of risk assessments created for granting applications

Number of engagements with government officials on compliance issues

Number of international and commercial relationships updated

50 formal research security training sessions delivered to faculty and staff/graduate and postgraduate students engaged in research

100 risk assessments for granting objectives

50 engagements with government officials on compliance issues

25 key international commercial and international relationships updated and expanded based on comparative best practices

• Increase faculty and staff, as well as graduate students and postgraduates, understanding of research security and compliance requirements, across campus and through the research ecosystem
• Achieve collective understanding with government representatives on research security
• Evaluate and modernize uWaterloo international relationships and institutional partnerships

• Number of research security training sessions delivered to faculty and staff as well as graduate and postgraduate students involved
• Number of risk assessments created for granting applications
• Number of engagements with government officials on compliance issues
• Number of international and commercial relationships including policies, procedures and agreements updated

Target

• 25 formal research security training sessions delivered to faculty and staff/graduate and postgraduates students engaged with research
• 100 risk assessments for granting objectives
• 50 engagements with government officials on compliance issues
• 25 key international commercial and international relationships updated and expanded based on comparative best practices

• Design and implement a research security program focused on risk assessment and risk mitigation practices that works with faculty and federal and provincial governments in the grant application process
• Consolidate data and best practices across scientific areas of federal and provincial funding that reflect accurate risk assessments and risk mitigation procedures
• Upgrade and further implement Export Control and Controlled Goods regulations for Canada and the U.S.

• Number of grant applications with research security components reviewed
• Number of data sets created that reflect successful risk mitigation practices
• Number of modernized and new Export Control regime and Controlled Goods mechanisms utilized for uWaterloo compliance purposes

Target

• 150 research security components reviewed
• 4 data sets established for risk mitigation practices
• 1 further modernized Canadian Export Control and Controlled Goods program and 1 new U.S. Export Control regime mechanism established

• Enhanced system and data collection systems to ensure reporting requirements and data needs are met
• Streamlined workflows that minimize administrative burden and maximize ease of use
• Enhanced data collection, quality and reportability

• Identify new data fields required and determine whether to pursue an in-house solution or work with a third party platform
• Number and processing time for each workflow in new system
• Percentage of data records that are complete, accurate and reportable

Target

• Fully operational system meeting all key reporting and compliance requirements
• 25% reduction in number of workflows and processing time per workflow
• 90% of data records are complete, accurate and reportable

• Increase faculty and staff, as well as graduate students and postgraduates, understanding of research security and compliance requirements, across campus and through the research ecosystem
• Achieve collective understanding with government representatives on research security
• Evaluate and modernize uWaterloo international relationships and institutional partnerships

• Number of research security training sessions delivered to faculty and staff as well as graduate and postgraduate students involved
• Number of risk assessments created for granting applications
• Number of engagements with government officials on compliance issues
• Number of international and commercial relationships including policies, procedures and agreements updated

Target

• 12 formal research security training sessions delivered to faculty and staff/graduate and postgraduates students engaged with research
• 50 risk assessments for granting objectives
• 40 engagements with government officials on compliance issues
• 20 key international commercial and international relationships (policies, procedures and agreements) updated and expanded based on comparative best practices

Actual

• Research Business Development Network retreat (December 6, 2024);
  Planning your Research Trajectory (early career researcher event, April 10, 2024);
  Research security training sessions (several iterations for Faculties of Engineering; Science; Math; Biology, chemistry; Arts; Environmental Science; IQC, Graduate studies; Quantum Institute)
• 27 provincial mitigation plans (12 ORF-SIF mitigation plans; 6 ORF-RE mitigation plans; 8 CFI-JELF finalization mitigation plans (CFI required mitigation of Ontario's flagged concerns); 1 CFI-IF finalization mitigation plan (CFI required mitigation of Ontario's flagged concerns)); 54 NSERC Alliance risk mitigation plans
• 8 provincial (3 high-risk ORF-SIF decisions received; 4 negative ORF-SIF decisions received; 1 negative ORF-RE decisions received)
• 70+ engagements with GC officials (Public Safety; ISED; GAC; DND; CSIS; CSE; PSPC), and Ontario Ministry of Colleges and University Officials and SOLGEN - 40 commercial reviews/international institutional MOU received
• Meetings with foreign governments: US; Japan; Germany; Netherlands; UK; France.

• Design and implement a research security program focused on risk assessment and risk mitigation practices that works with faculty and federal and provincial governments in the grant application process
• Consolidate data and best practices across scientific areas of federal and provincial funding that reflect accurate risk assessments and risk mitigation procedures
• Upgrade and further implement Export Control and Controlled Goods regulations for Canada and the U.S.

• Number of grant applications with research security components reviewed
• Number of data sets created that reflect successful risk mitigation practices
• Number of modernized and new Export Control regime and Controlled Goods mechanisms utilized for uWaterloo compliance purposes

Target

• 100 research security components reviewed
• 2 data sets established for risk mitigation practices
• 1 modernized Canadian Export Control and Controlled Goods program and 1 new U.S. Export Control regime mechanism established

Actual

• 27 provincial mitigation plans (12 ORF-SIF mitigation plans; 6 ORF-RE mitigation plans; 8 CFI-JELF finalization mitigation plans (CFI required mitigation of Ontario's flagged concerns); 1 CFI-IF finalization mitigation plan (CFI required mitigation of Ontario's flagged concerns)); 68 NSERC Alliance applications reviewed and assessed for research security requirements; 53 industry contracts assessed for research security concerns. 4 applications to the National Cybersecurity Consortium - Innovation Network Program reviewed for research security considerations
• 200+ due diligence analytic cases evaluated - 2 internal data sets established to reflect risk mitigation processes at Federal and Provincial levels.
• US Export control training module development in process to augment SOP for US export control compliance requirements. Training guide for faculty handling controlled goods drafted. Screening process implemented with UW Central Stores Shipping department to enable early notification of shipments destined for sanctioned entities.

• Increase faculty and staff, as well as graduate students and postgraduates, understanding of research security in the campus environment and the research ecosystem
• Achieve collective understanding with government representatives on research security practices and regulatory compliance
• Evaluate and modernize uWaterloo international relationships

• Number of research security training sessions delivered to faculty and staff as well as graduate and postgraduate students involved
• Number of engagements with government officials on compliance issues
• Number of international relationships modernized

Target

• 12 formal research security training sessions delivered to faculty and staff/graduate and postgraduates students engaged with research
• 25 engagements with government officials on compliance issues
• 20 key international commercial relationships updated and expanded based on comparative best practices

Actual

• Major conference on research security (Feb 26-27, 2023), university and government representatives from across Canada. 260 attendees. 20 formal research security training sessions (groups and individuals) - briefings to Departments of Math; Computer Science; Science; ICQ (total numbers approx 200)
• 25 engagements with a range of provincial and federal agencies: ISED; Public Safety; Research Security Center in Public Safety; GAC; CSIS; MCU; SOLGEN; DND.
• 25 International institutional and commercial agreements updated as a result of expiring agreement dates and necessary national security reviews.

• To design and implement a research security program focused on risk assessment and risk mitigation practices that works with faculty and federal and provincial governments in the grant application process
• To consolidate data and best practices across scientific areas of federal and provincial funding that reflect accurate risk assessments and risk mitigation procedures
• Upgrade and further implement Export Control and Controlled Goods regulations for Canada and the U.S.

• Number of grants with research security components reviewed
• Number of data sets created that reflect successful risk mitigation practices
• Number of modernized and new Export Control regime and Controlled Goods mechanisms utilized for uWaterloo compliance purposes

Target

• 100 research security components reviewed
• 2 data sets established for risk mitigation practices
• 1 modernized Canadian Export Control and Controlled Goods program and 1 new U.S. Export Control regime mechanism established

Actual

• 120 research security applications and files reviewed, including NSERC Alliance applications, MITACS, ORF, CFI, and individual security assessments related to researcher's professional contacts, institutional relationships, and publication affiliations.
• 2 data sets established (provincial and federal) relating to risk assessment as carried out by SOLGEN and Public Safety - risk mitigation data being compiled - UW has no rejections of federal funding to date on risk mitigation strategies.
• US Export Control regime in place on Safeguarding Science website -US Export control training program for UW researchers in development. Canadian export control regime updated and used for UW research purposes.