Risk assessment?
Before starting a project or collaboration, you should conduct a risk analysis and assessment. Some degree of risk will often be acceptable, but the analysis should provide the basis for identifying and implementing proportional measures where there is a high likelihood of unwanted events or adverse impacts.
A risk assessment should include both an assessment of your own unit and an assessment of the research field.
Assessment of your unit (e.g. centre, institute, faculty, UiO)
When a new collaboration is being considered, it is important to analyse the strengths and vulnerabilities of your own unit in the context of the collaboration, and to assess whether factors at higher organisational levels could affect the collaboration.
Key questions include:
- Does your unit hold a leading position within the research field, or does it offer specialised resources such as laboratories or infrastructure that make it an attractive partner?
- Are there financial or other constraints within your unit that could affect project implementation, such as limited access to resources, economic stability, dependency on specific markets or sectors, or regulatory requirements?
Assessment of the field of research
Some research areas and methods may be particularly sensitive with regard to security, ethics, or human rights. It is important to consider:
- Whether the collaboration involves technology that can have both civilian and military applications (dual-use). For more information, see the website of the Directorate for Export Control and Sanctions (DEKSA).
- Whether the collaboration involves critical technologies or infrastructure of strategic importance.
- Whether the collaboration addresses topics or includes research data that might be of interest to foreign intelligence services.
- Whether the collaboration raises particular research ethical concerns.
Collaborations in sensitive areas or involving dual-use technologies should be subject to special consideration.
Risk assessment of collaboration partners?
When entering into collaboration with new partners, it is essential to conduct a thorough risk assessment, also referred to as a due diligence review.
This helps ensure that the partner’s practices align with the university’s values and that the collaboration is carried out in a way that mitigates potential risks. The scope of the assessment should be proportionate to the scale of the activity and no more extensive than necessary.
Questions that may support reflection and assessment before initiating new collaborations include:
- 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 a stable financial situation and reliable management systems?
- Affiliations and connections: Are there ties to military, political, or other actors that could create challenges, conflicts of interest, or risks that research results or technology might be misused for purposes other than intended?
- Ethical standards: Does the partner adhere to international norms on ethics, transparency, and academic freedom?
- Data, IPR, and privacy: Is there a clear agreement on how data will be handled, shared, and stored, and how confidentiality, ownership of results, publication rights, commercialisation, privacy, and data security will be ensured?
- Personnel security: Could the collaboration pose risks to staff or students, for example exposure to security threats, surveillance, discrimination, or other conditions that could endanger their safety, health, or integrity?
The risk assessment serves as a decision-support tool. If high risk or serious ethical or security issues are identified, the matter should be escalated to the appropriate management level (unit, faculty, or institutional).
For further information and guidance, see the website of the Directorate for Higher Education and Skills (HK-dir): What should a due diligence of a partner include?
Considerations related to the partner’s country
The country in which the partner is based may influence the risk assessment. It should be considered whether the country respects academic freedom, the rule of law, and human rights, and whether it is subject to international sanctions or export restrictions that could affect the collaboration.
It may also be relevant to examine the country’s strategic priorities. For example, ambitions to become a leader in certain research or technology fields, or practices related to civil–military knowledge sharing. Previous experiences, conflicts, or controversies from similar collaborations can also provide valuable insight into potential risks.
Assessments should be based on open sources and recognised international indices, such as those monitoring academic freedom, press freedom, and the rule of law, to ensure a fact-based and proportionate foundation for decision-making.
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)