It is in your interest to make a risk assessment yourself. In your proposal submission/application form for funding, the list of RS questions, for your self-analysis, focuses on 4 factors:
These factors are not separate from each other. It is advisable, in the risk analysis, to look at them as a whole (RA) via a set of specific questions. After the questions are answered, a final risk classification is automatically proposed: no risk, moderate risk or high risk. In the latter category, high risk, there is a conditional award, in which a knowledge safety approval from your institution is required before the research (or the relevant part of it) can be started (just like an ethical approval, for example, already applied by ethical committees in universities). It is therefore important to act promptly in case of a “high risk” classification to (preferably before submission) get advice from the RS- focal persons at your institution. Once you have carried out the risk analysis, you may come to the conclusion that there are some RS- risks associated with your research proposal. You immediately ask yourself whether your proposal is jeopardized by this. That certainly does not have to be the case. Above all, we want you to be aware of the possible risks that your research proposal entails and to act accordingly. We also propose some mitigating measures so that you can continue your research/innovation and collaboration in a responsible way. If the risk analysis shows that your research proposal requires RS approval, please contact the relevant services within your institution immediately. Do not wait until the deadline for the call.
For your information: European Guide: Building blocks for risk appraisal
In cases where the risks are particularly high, e.g. in a sensitive research topic, in a cooperation with an institution that is closely linked to the government, in a country that is known not to take human rights closely, the evaluation panel of the call funding body (in this case BELSPO), despite the stated mitigation measures, it can still be decided a that a RS-approval is required from the relevant services within your institution. It may also be necessary to consult any binding restrictions on international cooperation imposed by your funding institutions (e.g. the restriction imposed by the FWO on cooperation with China ).
The risk analysis is useful for all proposals, regardless the field of research. R&I proposals dealing with critical or sensitive technologies deserve special attention (high sensitivity, high impact). These are technologies, which may also have to do with ‘dual use’: advanced semi-conductor technologies, AI (artificial intelligence) technologies, quantum technologies, biotechnologies, advanced connectivity, navigation and digital technologies, advanced detection technologies, space and propulsion (propellors) technologies, energy technologies, robotics and autonomous systems, advanced materials, advanced manufacturing and recycling technologies.
It is important to accurately identify sensitive areas of knowledge as they are subject to risks to national security associated with undesirable knowledge transfer. This may include an increased risk of unethical application of research results, such as in connection to (mass) surveillance programs. We have to bear in mind that technological developments may make a technology more or less sensitive over time. It is therefore advisable to work with a dynamic list of sensitive areas of knowledge that is periodically reviewed.
The risks are even greater in areas where our country has a unique knowledge position or international reputation, or, because the technology can affect the continuity of vital processes in our country.
The risk analysis is important not only because of national security, but also because of your own safety or that of employees in your institution, as well as for safeguarding the academic core values and the reputation of your institution.
► When entering into or renewing an agreement, it is important that the researcher or project leader concerned delves into the background of the foreign partner organisation or client. Due diligence is the term here too used internationally. What is the scientific reputation of the institution? Who exactly is involved in the project? What about the cost? It is important that you also consider herewith the research security
While it's always wise to stay attentive to this, it is particularly necessary for institutions or companies operating in countries with a high-risk profile. Again, it is not a question of categorically excluding institutions or companies in advance.
One doesn't need to be a security expert for this; with vigilance and the consultation of open sources, you can achieve a lot. It is essential to be alert to signals that may indicate that something is going wrong. For example, think of a partner about whom hardly any information can be found on the Internet and who is not known to anyone. If the partner is already known within your institution or to colleagues from other institutions, you can inquire. What experiences do they have? Have there been any incidents? Your institution's security coordinator can help collect the information. Examples of factors you can look out for:
There are also specialised research agencies that make safety-related analyses that can be useful.
There are also very specific risk trackers available: e.g. the China Defense Universities Tracker of the Australian ASPI (unfortunately recently not available free of charge anymore).
► For assigners and the funding bodies for research, something similar applies like for research partners. It does not matter what type of funding it is, it can also be donations from donors, for example. It starts with basic questions like: Where does the money that the partner wants to invest come from and what could be the motives of the partner to fund the research? Does the funding body have economic or political interests in a particular outcome of the investigation? Factors you can look out for when it comes to financing:
Keep in mind that you can also find yourself step by step in a situation of (financial) dependence. There is little wrong with the projects and activities separately, but together they give the funding body a position that allows him to steer the cooperation and its content. The funding body r can put personal pressure on your institution and/or involved researchers, both through positive incentives (promising rewards) and through threats.
If you want to assess the risk profile of a country, you can use publicly available information on threats, such as the publication ‘Threat Imaging State Actors’ by our security services e.g. the VSSE (State Security) and the BNRA (Belgian National Risk Assessment).
Special high-risk countries: You can take a look at www.sanctionsmap.eu to see which countries are subject to sanctions. North Korea, Iran...
You can also consult relevant international rankings and indices from NGOs, research institutes and international organisations. A poor score on such summaries should trigger alarms. Consider, for example, academic freedom, freedom in general, democracy and respect for the rule of law. The summaries mentioned here are illustrative. It is all about supporting and substantiating your risk judgement.
Examples of international rankings and indices:
If a country scores poorly on such rankings, it does not necessarily means that you cannot cooperate with institutions from this country. In principle, cooperation with researchers from such countries are also possible, provided that you take the right precautions and take into account the context in which the intended partner operates.
If you estimate that security risks are associated with the intended cooperation partner, client or funding body, involve the security coordinator of your institution. Further steps can be considered together. The final decision on entering into the cooperation is the responsibility of the central authority of your institution (at the university, in principle, that is the board of directors). Security risks are explicitly taken into account as part of your institution's partner acceptance policy.
If you cannot find the information you want, we recommend you contact the (future) supportive ‘research security hub office’ in our country The set up of one-stop shop (support system for RS) is being discussed. The RS hub can share information and expertise that is available within the competent ministries and services of our government and can, if necessary, think along with you about possible mitigating measures that you can take.
