Mitigating Economic and/or Geopolitical Risk

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What do I need before I can begin?

Use the Research Security Self-Assessment Tool to help you determine if this policy may apply to your funding application.

Please be advised that funding opportunities include relevant research security requirements.

For information on different funding sources, see the University of Toronto (U of T) Funding Opportunities Database.

For information on grant application requirements pertaining to cyber and data security, contact the Research Information Security Program team or see Information Security.

Overview

In Ontario, applications for funding programs delivered through the Ministry of Colleges, Universities, Research Excellence and Security (MCURES), are subject to specific research security requirements. The programs include the following.

Ontario Research Fund-Research Excellence (ORF-RE)
Ontario Research Fund-Genomics (ORF-Genomics)
Ontario Research Fund-Large Infrastructure Fund (ORF-LIF)
Ontario Research Fund-Small Infrastructure Fund (ORF-SIF)
Ontario Research Fund-College Fund (ORF-CF)
Ontario Research Fund-Biosciences Research Infrastructure Fund (ORF-BRIF)
Early Researcher Awards (ERA)

The research security requirements include the completion of two forms as part of the application.

More information about each form is provided below. For complete details, please consult the Research Security Guidelines for Ontario Research Funding Programs and the U of T Guidance on Completing the Mitigating Economic and Geopolitical Risk Checklist and Attestation Forms.

Note: Some applications for funding (such as to the LIF, SIF and ORF-Genomics) must also satisfy mandatory federal research security requirements. For details, see the Policy on Sensitive Technology Research and Affiliations of Concern (STRAC) and the National Security Guidelines for Research Partnerships (NSGRP).

Key Definitions

Collaboration: Scientific collaboration including but not limited to co-authorship, co-publication, co-hosting of international conferences, joint research, or joint funding. This may also include more formal relationships such as a memorandum of understanding, partnership, joint venture, joint funding, joint degree/exchange program, graduate student supervision, visiting scholar, or participation in a foreign funded talent program.

In-Kind Support: Non-cash contributions in the form of a good or a service donation received by the PI or any co-investigator(s). Examples include, but are not limited to; lab equipment, consultation, travel tickets, and hotel accommodations.

Named Researchers: Researchers who participate in a research project and whose names and roles are stated in the Ministry research funding program application. They include a PI and co-investigators in the project. They do not include project members that may participate in the project, but are not named in the application (e.g., technicians, post-docs, etc.).

Pre-Application: Application Attestation Form

Beginning in June 2024, every named researcher on an application is required to complete the Application Attestation Form for Researchers Applying to the Ontario Research Funding Programs. The Ministry of the Solicitor General will review the application and attestation, including all named researchers. This assessment may result in a project being identified as high risk.

Project team members who are not listed in the application by name (e.g., graduate students, technicians, etc.) and those who are not formally affiliated with an Ontario -based Applicant are not required to complete the form.

All project members, however, are expected to be familiar with and adhere to general research security principles and protocols, and the Federal Government’s National Security Guidelines for Research Partnerships.

If any of the named researchers are or will be in collaboration with, or in receipt of funding and/or in-kind support from any entity listed in the Federal Government’s Named Research Organizations (NRO) whether related to the proposed project or any other project within two years prior to the date of application, they are required to provide clarifying details regarding their association in the Application Attestation Form. Researchers are required to disclose all collaborations and affiliations including receipt of funding or in-kind support with NROs, whether these are related to the proposed project or any other project during the previous two years.

Mitigating Economic & Geopolitical Risk Checklist

The Principal Investigator (PI) is required to complete the Mitigating Economic and Geopolitical Risk Checklist for Ontario Research Funding Applications as part of their submission. This research security risk assessment assists researchers in identifying potential risks and to outline a risk mitigation strategy as needed.

If any named researcher, including the PI, has acknowledged in the Application Attestation Form that they are or will be in collaboration with or in receipt of funding or in-kind support from at least one entity deemed problematic by the Solicitor General, the PI must address the related risks and set out mitigation measures in the risk mitigation section of the Checklist.

Researchers requiring assistance in completing the Checklist contact the Research Security Team at researchsecurity@utoronto.ca.

Post-Application

Process

The Ontario government will assess the Application Attestation Form and Checklist for research security concerns beyond the NRO list . For example, the Solicitor General may evaluate risks against a number of additional open sources, such as lists provided by the Australian Strategic Policy Institute and the U.S. Department of Defense. While the Ontario government analyzes all listed partners and individuals on an application, it does not provide a publicly available list of partners of concern.

Before making a funding decision, the government will give institutions the opportunity to address any identified research security concerns which may include providing additional context or mitigation strategies. This information is provided through a Risk Mitigation Form. The Research Security Team (RST) will work with individual researchers and their academic unit/Division to complete these Risk Mitigation Forms. The Division of the Vice-President, Research & Innovation will submit completed Risk Mitigation Forms to the government for assessment. Risk Mitigation forms will be project- and researcher-specific, and signed by the researcher, the designated Divisional research leader (normally a Vice or Associate Dean/Vice-Principal), and the Vice-President, Research and Innovation, and Strategic Initiatives. The Risk Mitigation Form may require completion by non-Provincial applicants.

Transfer Payment Agreement (TPA)

Following the decision to fund a project, the project leader and Vice-President, Research and Innovation, and Strategic Initiatives, will sign a transfer payment agreement (TPA) to facilitate the administration of funds. Depending on the risks identified in the adjudication process, the TPA may have research security provisions that the project and institution must adhere to. These requirements are specific and unique to each project and could include commitments to implement certain cyber security or access control protocols, reporting requirements for team members should they establish new international partnerships during the project, or prohibitions on collaborating with certain designated entities for the duration of the agreement.

Forms & Downloads

VPRI Role

Provide support in conducting research security due diligence and partner vetting
Provide guidance and support with research risk assessments and attestation forms
Provide outreach and training on best practices for safeguarding your research
Communicate updates on research security requirements