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Research Support Specialists (RSS) in RASI will work with the lead Principal Investigator to ensure the form is complete and accurate to the best of their knowledge. 

The PI completes the Risk Assessment Questionnaire form working directly with the private sector partner organization(s) to ensure information is correct.  If answers are ‘unsure’ or ‘yes to any questions on the form, the PI is responsible for outlining the potential risks and developing a mitigation plan (the fields for providing answers are right in the form). 

The RSS will reach out to the appropriate USask content specialists  (listed below) for assessment of the PI’s risk mitigation plan to effectively address identified risks.  RASI on behalf of the USask reviews and validates the form prior to final submission to NSERC.

Questions? Please contact the Research Acceleration and Strategic Initiatives (RASI) at 306-966-8576 or research.services@usask.ca

Internal content specialists/units listed by section questions on form as follows:

1. Know your Research

1. The research knowledge or intellectual property (IP) generated by this research could be of interest to foreign governments, militaries, or their proxies. Intellectual property and Confidentiality
2. The field of research has potential military, policing, or intelligence applications, even if that is not your intended use for it. Intellectual property and Confidentiality
3. The research falls under areas identified as sensitive (refer to Appendix A in the Overview of the National Security Guidelines for Research Partnerships). Intellectual property and Confidentiality
4. You are working with areas covered by the Guide to Canada's Export Control List and the Nuclear Non-proliferation Import and Export Control Regulations. Controlled Goods, Exports and/or Controlled Goods, Nuclear substances
5. You are working in research areas related to goods/technology identified in Section 35 of the Defence Production Act and known as the Controlled Goods List. Controlled Goods
6. You are working in areas covered by the Export Control List, the Import Control List, the Area Control List, as amended from time to time Controlled Goods, Exports
7. You are working in research areas related to critical minerals and critical mineral supply chains (e.g., those included on the Government of Canada’s Critical Minerals List). Critical Minerals
8. You are working with sensitive personal data or large amounts of data that could be sensitive in the aggregate. Sensitive data storage
9. You are working in research areas focused on critical infrastructure (National Strategy for Critical Infrastructure and Action Plan for Critical Infrastructure). Critical Infrastructure
10. The research facilities or infrastructure used to support the proposed project house sensitive data and/or provide access to infrastructure unrelated to this specific partnership. Facility or Infrastructure house sensitive

2. Know your Partner (consider each organization involved in the partnership)

• Your partner organization, their parent organization, and/or their subsidiaries/affiliates have affiliations or partnerships that could lead to the transfer of research to third party governments, militaries, or organizations that could negatively impact Canada’s national security. Intellectual property (IP) and Confidentially and/or Sensitive data storage
• Your partner organization, their parent organization, and/or their subsidiaries/affiliates could be subject to foreign government influence or control (e.g., there are policies and/or laws that compel knowledge transfer to that state). Intellectual property (IP) and Confidentially and/or Sensitive data storage
• There is an offer of funding where the ultimate source of the money and/or value to the funder is unclear. Intellectual property (IP) and Confidentially
• There is an offer of funding which is conditional upon the researcher transferring to or replicating their work in a foreign country (e.g., setting up a mirror lab). Intellectual property (IP) and Confidentially and/or Sensitive data storage
• Your partner organization has been charged, admitted guilt, or has been convicted of fraud, bribery, espionage, corruption, or other criminal acts that could speak to a lack of transparency or ethical behaviour. Intellectual property (IP) and Confidentially and/or Sensitive data storage
• There is information to suggest that conflicts of interest or affiliations exist for any research team members that could lead to transfer of research to third party governments, militaries, or other organizations. Intellectual property (IP) and Confidentially and/or Sensitive data storage and/or Facility or Infrastructure house sensitive
• Your partner organization will have access to Canadian facilities, networks, or assets for conducting the research unrelated to this specific partnership. Facility or Infrastructure house sensitive and/or Sensitive data storage
• Your partner organization is located in a country listed on the Area Control List (outlined in The Export and Brokering Controls Handbook). Controlled Goods, Exports

Internal Content Specialists/Unit:

Intellectual property (IP) and Confidentially - Research Excellence and Innovation (REI), Legal Counsel – Jackie Oliver, Brain Donnelly, Michelle Cholowsky, Jackie.oliver@usask.ca , michelle.cholowsky@usask.ca, brian.donnelly@usask.ca

Controlled Goods, Exports – Safety Resources, Protective Services, Staff Sergeant– Ian Valentine, ian.valentine@usask.ca  

Controlled Goods, Nuclear substances - Safety Resources, Protective Services, Staff Sergeant – Ian Valentine, ian.valentine@usask.ca   and Safety Resources, Radiation Safety Officer - Matt Hutcheson, matt.hutcheson@usask.ca

Sensitive data storage - Information and Communications Technology (ICT), Director and Chief Information Security Officer, Jonathan Coller, jonathan.coller@usask.ca (Back-up is Jason Hlady, jason.hlady@usask.ca) and REI, Ethics, Human Research Ethics Specialist- Caitlin Prebble, caitlin.prebble@usask.ca 

 Facility or Infrastructure house sensitive - Information and Communications Technology (ICT) – Director and Chief Information Security Officer - Jonathan Coller, jonathan.coller@usask.ca

 Critical Infrastructure – TBD

Critical Minerals – TBD