To help protect Canadian research and intellectual property against foreign influence, espionage and theft, the Government of Canada introduced the National Security Guidelines for Research Partnerships. These have the goal of ensuring that the Canadian research ecosystem is “as open as possible and as secure as necessary.” The Guidelines integrate national security considerations into the development, evaluation and federal funding of research partnerships.
The Guidelines currently apply to NSERC Alliance grants where there is a private sector partner. As this policy evolves, these Guidelines will apply to other federal partnership programs.
Researchers applying to NSERC Alliance must complete a National Security Guidelines for Research Partnerships’ Risk Assessment Form. This completed form is a component of the Alliance application package.
The Office of Research is fully committed to assisting researchers in completing their Risk Assessment Forms. This will take the shape of extensive engagement to assess potential risk and, if necessary, to create robust risk mitigation plans. You can read more about this under “NSERC Risk Assessment Form Process.”
National Security Guidelines - Sensitive Research Areas
Advanced Digital Infrastructure Technology
Advanced Digital Infrastructure Technology
- Advanced communications technology
- Advanced computing technology
- Cryptography
- Cyber security technology
- Data storage technology
- Distributed ledger technology
- Microelectronics
- Next-generation network technology
Advanced Energy Technology
- Advanced energy storage technology
- Advanced nuclear generation technology
- Wireless power transfer technology
Advanced Materials and Manufacturing
Advanced Materials
- Augmented conventional materials
- Auxetic materials
- High-entropy materials
- Metamaterials
- Multifunctional/smart materials
- Nanomaterials
- Powder materials for additive manufacturing
- Superconducting materials
- Two-dimensional (2D) materials
Advanced Manufacturing
- Additive manufacturing (3D printing)
- Advanced semiconductor manufacturing
- Critical materials manufacturing
- Four-dimensional (4D) printing
- Nano-manufacturing
- Two-dimensional (2D) materials manufacturing
Advanced Sensing and Surveillance
- Advanced biometric recognition technologies
- Advanced radar technologies
- Atomic interferometer sensors
- Cross-cueing sensors
- Electric field sensors
- Imaging and optical devices and sensors
- Magnetic field sensors (or magnetometers)
- Micro (or nano) electro-mechanical systems (M/NEMS)
- Position, navigation and timing (PNT) technology
- Side scan sonar
- Synthetic aperture sonar (SAS)
- Underwater (wireless) sensor network
Advanced Weapons
Aerospace, Space and Satellite Technology
- Advanced wind tunnels
- On-orbit servicing, assembly and manufacturing systems
- Payloads
- Propulsion technologies
- Satellites
- Space-based positioning, navigation and timing technology
- Space stations
- Zero-emission/fuel aircraft
Artificial Intelligence and Big Data Technology
- AI chipsets
- Computer vision
- Data science and big data technology
- Digital twin technology
- Machine learning (ML)
- Natural language processing
Human-Machine Integration
- Brain-computer interfaces
- Exoskeletons
- Neuroprosthetic/cybernetic devices
- Virtual/augmented/mixed reality
- Wearable neurotechnology
Life Science Technology
Biotechology
- Biomanufacturing
- Genomic sequencing and genetic engineering
- Proteomics
- Synthetic biology
Medical and Healthcare Technology
- Chemical, Biological, Radiological and Nuclear (CBRN) medical countermeasures
- Gene therapy
- Nanomedicine
- Tissue engineering and regenerative medicine
Quantum Science and Technology
- Quantum communications
- Quantum computing
- Quantum materials
- Quantum sensing
- Quantum software
Robotics and Autonomous Systems
- Molecular (or nano) robotics
- (Semi-)autonomous/uncrewed aerial/ground/marine vehicles
- Service robots
- Space robotics
Research partnerships focused on critical infrastructure. Critical infrastructure refers to processes, systems, facilities, technologies, networks, assets and services essential to the health, safety, security or economic well-being of Canadians and the effective functioning of government. For more information on Canada’s critical infrastructure, see National Infrastructure and Action Plan for Critical Infrastructure
Research partnerships involving potential access to sensitive personal data that could be leveraged to harm Canadian national security through its exploitation, including, but not limited to:
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personally identifiable health or genetic (e.g., health conditions or genetic test results);
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biometric (e.g., fingerprints);
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financial (e.g., confidential account information, including expenditures and debt);
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communications (e.g., private communications);
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geolocation; or,
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personal data concerning government officials; including members of the military or intelligence community.
National Security Guidelines FAQ
Process to complete the Risk Assessment Form
Prior to initiating contact with prospective partners with whom you have not had a previous University of Waterloo relationship, please contact the Research Office in your faculty or Ashley Hannon (Associate Director, Research Partnerships) to discuss any risks, how to mitigate them, and for general business development support. This will help support your discussions with external partners. It will also aid in early completion of some of the Risk Assessment Form elements as discussed below.
Once the relationship is underway, the following process outlines how the Office of Research can support you with the completion of the Risk Assessment Form:
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Once an applicant determines they would like to submit a grant covered by the National Security Guidelines for Research Partnerships process, they should connect with the relevant manager in the Office of Research. For NSERC Alliance, this would be the NSERC Grants and Contracts Manager – sarah.strader@uwaterloo.ca.
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Once a draft grant application is prepared, the Grants and Contracts Manager will notify the Safeguarding Research Team, on behalf of the applicant, to initiate a research security risk review. Note that there is no need for the applicant to complete or submit the Risk Assessment Questionnaire at this point.
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A member of the Safeguarding Research Team will reach out to the applicant to schedule a 30-minute meeting between the applicant and members of the Safeguarding Research Team. The applicant will be asked to provide a brief description of the proposed research and answer any questions the team may have. Each section of the Risk Assessment form will be reviewed with the applicant.
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Through active engagement with the applicant, the Safeguarding Research Team will determine how the form will be completed. If there are any “yes” or “unsure” responses given on the form, the Safeguarding Research Team will complete the “Potential Risk Identified” and “Risk Mitigation” sections of the form on behalf of the applicant.
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Once the Risk Assessment form is completed by the Safeguarding Research Team, a draft will be circulated to the applicant for review and comment.
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After the form has been finalized and approved by the applicant, the applicant will attach the approved Risk Assessment form to their grant application.
There are resources to support completion of the Risk Assessment Form, including Cognit. The Office of Research can provide information on a variety of other resources.
National Security Guidelines Best Practices in Risk Assessment and Risk Mitigation
These best practices come from National Sciences and Engineering Research Council of Canada (NSERC) as feedback to help guide researchers and universities.
Best Practices
Researchers and institutions should use the tools and resources on the Safeguarding Your Research portal for information on how to identify and mitigate risks to security in research partnerships.
- Have open discussions with your partner organization(s) to identify potential or perceived risks.
- Conduct open source intelligence due diligence to identify any potential or perceived risks related to your partner organization(s).
When completing the risk assessment form:
- Ensure to read the form in its entirety and consult any external resources mentioned in the form to ensure your responses are as accurate as possible.
- Use the tools and resources on the Safeguarding Your Research portal for information on how to identify and mitigate risks to national security in research partnerships.
- Use your best judgement and show due diligence when developing a mitigation plan that addresses the potential risks you have identified. Examples of specific mitigation measures to include in your plan are included in the form.
- All projects are unique and thus should be addressed through tailored risk mitigation measures.