Risk assessment
Before starting projects, you should conduct a risk analysis and assessment. Some level of risk will often be acceptable, but based on the analysis, you can consider measures in cases where there is a high risk of undesirable events or effects.
A risk assessment should include an assessment of your unit, as well as the field of research in question.
Assessment of your unit (e.g. center, institute, faculty, UiO)
When evaluating a new project, it is important to analyse the strengths and vulnerabilities of your own unit in the context of collaboration, and assess whether factors at a higher organisational level could affect the project.
Key questions include:
- Does your unit hold a leading position in the research field, or does it offer unique resources, such as specialized laboratories or facilities, making it an attractive collaboration partner?
- Are there financial or other constraints within your unit that could impact the project's execution, such as limited access to resources, financial stability, dependence on markets or sectors or specific regulatory requirements?
Assessment of the field of research
Some research areas and methods may be particularly sensitive regarding security, ethics or human rights.
It is important to assess:
- whether the project involves technology that can have both civilian and military applications (dual-use). The EU export control regulations are a useful tool for identifying such technology. For more information, see the website of the Directorate for Export Control and Sanctions (DEKSA).
- whether the project involves key technologies or infrastructure of strategic importance.
- whether the project addresses topics or includes research data that might be of interest to foreign intelligence.
Background check of the collaboration partner
When considering collaboration with new partners, it is crucial to conduct a thorough background check, also known as a due diligence review.
This ensures that the partner aligns with the university's values and that the choice of partner helps minimise risks associated with the collaboration.
A background check should include the following assessments.
- Academic Freedom: Does the partner operate in an environment where research can be conducted independently of political, ideological or commercial influence?
- Financial Robustness: Does the partner have stable finances and reliable operating systems?
- Affiliations and Connections: Are there ties to military, political, or other actors that could pose challenges?
- Ethical Standards: Does the partner commit to international standards for ethics, transparency, and academic freedom?
Considerations related to the partner’s country
The country where the partner is based can be significant for the assessment of the collaboration. It is important to check whether the country respects academic freedom and the rule of law, and whether it is subject to international sanctions or embargoes that could affect the project.
Further, it may be relevant to evaluate the country's strategic interests, such as national goals to become a world leader in certain research fields. Previous conflicts or controversies related to research collaborations can also provide valuable indications of potential risks.
After the risk assessment
If the analysis reveals uncertainties, a specific plan for risk management should be developed, preferably with support from relevant advisors. The plan should clearly describe how risks will be managed and mitigated.
Concerns related to reciprocity, intellectual property, or legal challenges should be reflected in the collaboration agreement with the partner.
Other relevant topics
In addition to risk assessment and background checks, we include a list of other relevant considerations you should go through at the start of a collaboration.
Academic freedom
It is crucial that academic staff at UiO and partner institutions have academic freedom to pursue research and education of high quality and integrity. The national guidelines for responsible international knowledge cooperation aim to safeguard academic freedom, even though not all partner countries offer the same level of freedom as Norway.
Academic freedom is explicitly stated in the Act relating to universities and university colleges §1-5 (in Norwegian), in UiO's strategy 2030 (fifth paragraph), and in UiO's ethical guidelines. These documents emphasise that “[a]ssessment of cooperation agreements shall include a review of academic freedom at the institution in question.”
At the beginning of projects, the international project team should discuss how to best uphold academic freedom in the context of each partner institution.
- More about academic freedom in international partnerships (hkdir.no)
- Academic Freedom Index: Overview of the level of academic freedom in different countries worldwIde (academic-freedom-index.net)
Equitable partnership
UiO has its own guidelines for north-south collaboration to ensure equitable partnerships with partners in the Global South. The national guidelines for responsible international knowledge collaboration also address what constitutes good research partnerships and educational partnerships.
Human rights
Avoid collaborating with partners involved in human rights abuses. You can look up information about potential business partners on the Business and Human Rights Resource Centre and check if they have been excluded by the Government Pension Fund.
Sustainable collaboration
When planning project activities, it is important to assess the project's impact on sustainability, climate and the environment. Pay particular attention to the sections concerning environmentally-friendly travel and the facilitation of digital collaboration and conferences in UiO's comprehensive climate and environment strategy.
Financial integrity
When entering into collaborative projects, it is advisable to discuss with partners the expected procedures for ensuring financial integrity. UiO strives for financial integrity in all procurement processes, and we have our own ethical guidelines for the purchase of goods and services. This includes avoiding corruption and nepotism. Our collaboration partners are also expected to have high standards of financial integrity in procurement, employee benefits, scholarships, etc.
Formal contracts
For research projects, a research contract is entered into for the specific project.. For collaborations in education, bilateral exchange agreements or a contract for a collaborative project are usually made. In some cases, there may also be a need for an overarching institutional agreement, such as a Memorandum of Understanding (MoU) at the institutional level. Consider whether there are any specific provisions that should be included in the agreement to ensure responsible cooperations.
More about agreements and programme management for studies (in Norwegian)