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Guide

Research security screening

Research security screening is the systematic process of evaluating international research partnerships, collaborators, and institutional affiliations against sanctions lists, military organization databases, adverse media, and co-publication networks.

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Playbook

Academic partnership due diligence

Academic partnership due diligence translates regulatory requirements into operational decisions about who to collaborate with, and under what conditions.

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Compliance

Sanctions screening for universities

Sanctions screening checks collaborators, partner institutions, and affiliations against international sanctions lists and restricted entity databases in a way that respects academic context.

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Framework

Research collaboration risk

Research collaboration risk assessment identifies, evaluates, and documents potential concerns associated with international research partnerships.

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Comparison

Research security tools

Research security tools range from bibliometric platforms to comprehensive screening systems that combine identity resolution with multi-source assessment.

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Guide · Foundations · Research security officers

Research security screening

8 min read

Research security screening is the systematic process of evaluating international research partnerships, collaborators, and institutional affiliations against sanctions lists, military organization databases, adverse media, and co-publication networks.

  • Screening is a structured review workflow, not a final risk determination.
  • Identity, affiliation, source context, and citations should stay together.
  • A repeatable process helps teams reduce inconsistent manual review.

Why research security screening matters

International research collaboration drives innovation, but it also creates exposure to risks that universities cannot afford to ignore. Sanctions violations carry severe legal consequences. Undisclosed military affiliations can compromise sensitive research. Reputational damage from a single incident can undermine years of institutional trust.

Canada is the first country to establish comprehensive research security requirements. The National Security Guidelines for Research Partnerships and the Sensitive Technology Research and Affiliations of Concern policy together create a framework that requires institutions to assess risks before entering international partnerships.

In the United States, NSPM-33 establishes disclosure requirements for federally funded researchers, while the CHIPS and Science Act strengthens research security provisions.

Parallel requirements in the United States, the United Kingdom, the Netherlands, and Australia signal a global shift toward structured oversight of international research partnerships. The question for institutions is no longer whether to screen, but how to do it consistently, thoroughly, and defensibly.

Key components of research security screening

Effective research security screening combines multiple verification layers. No single check is sufficient on its own. A comprehensive approach includes identity resolution, restricted-list screening, co-publication network analysis, adverse signal review, and institutional verification.

Identity resolution

Before screening can begin, the team needs to confirm it is evaluating the right person. Identity resolution matches a collaborator's name, institutional affiliation, ORCID, and publication history to establish a verified identity.

Without this step, sanctions checks and media signals may attach to the wrong individual, producing false positives or, worse, false negatives.

Sanctions and restricted entity lists

Screening against international sanctions lists is the foundational compliance check. Relevant lists include Canada's SEMA regulations, the U.S. OFAC SDN list, the EU CFSP consolidated list, UN Security Council sanctions, UK OFSI, and the U.S. BIS Entity List.

Canada's Named Research Organizations list adds entities specifically identified as concerns for research partnerships.

Co-publication network analysis

A collaborator's co-authors reveal affiliations that may not appear in formal records. Analyzing co-publication networks can surface connections to military-affiliated institutions, sanctioned entities, or organizations on restricted lists.

Adverse media and signals

Court records, regulatory actions, investigative reporting, and retractions can surface risk signals that structured databases miss. These signals should be documented with source context and reviewed by a human decision-maker.

Institutional affiliation verification

Verifying an institution's identity and status is as important as verifying the individual. Institutional verification uses registries and public records to confirm that partner institutions are what they claim to be and to detect connections to military, state, or sanctioned parent organizations.

How to screen research collaborators

A structured screening process moves through distinct phases. Whether performed manually or through software, the logic remains the same.

  • Identify the subject: collect the collaborator's full name, known affiliations, ORCID or similar identifiers, and area of research.
  • Resolve identity: cross-reference available identifiers against academic databases to confirm which publications, affiliations, and grants belong to this specific individual.
  • Run sanctions and restricted-list checks: screen the individual and their affiliated institutions against relevant lists and the NRO list for Canadian-funded research.
  • Analyze co-publication networks: map co-authors and institutional affiliations, then flag connections to military-linked or sanctioned institutions.
  • Check adverse signals: search news, legal databases, and academic integrity records for relevant flags.
  • Compile a defensible report: document findings with sources, confidence levels, and known limitations.

Research security screening tools

The research security tools landscape spans several categories. Bibliometric platforms focus on publication data and citation analysis. Risk analytics platforms specialize in sanctions and financial compliance. Comprehensive screening platforms combine identity resolution, sanctions checks, co-publication analysis, and adverse signals into a single pipeline.

Bibliometric platforms provide valuable research intelligence but were not designed for security screening. They do not check sanctions lists or analyze risk signals as their primary purpose.

Risk analytics platforms offer deep coverage of restricted entity lists but often lack the academic context needed for research partnership screening, such as co-publication network analysis and academic identity resolution.

When evaluating tools, consider transparency of methodology, breadth of data sources, defensibility of output under audit, cost per screening, and whether the tool was designed for the academic context.

FAQ

What is research security screening?

Research security screening is the systematic process of evaluating international research partnerships, collaborators, and institutional affiliations against sanctions lists, military organization databases, adverse media, and co-publication networks to identify potential risks before they become incidents.

Why do universities need research security screening?

Universities engaged in international research collaborations face regulatory requirements such as Canada's NSGRP and STRAC, reputational risks from undisclosed affiliations, and potential sanctions violations. Screening helps institutions meet compliance obligations while protecting research integrity.

What is the NSGRP?

The National Security Guidelines for Research Partnerships is Canada's framework requiring federally funded researchers to assess potential risks when partnering with foreign entities. It applies to grants from NSERC, SSHRC, and CIHR, and covers risks related to sanctions, military affiliations, and sensitive technology transfer.

How long does research security screening take?

Manual screening of a single research collaborator can take days to weeks, depending on the complexity of their publication history and affiliations. Automated workflows can compress this review by cross-referencing multiple data sources simultaneously, but the final review remains a human institutional decision.

What data sources are used in research security screening?

Comprehensive screening draws from sanctions lists, academic databases, institutional registries, adverse media sources, legal databases, and corporate registries. The most important principle is that findings remain traceable to their sources and limitations.

Is research security screening required in Canada?

Canadian institutions applying for federal research funding through the tri-agency must assess research partnerships under the NSGRP. The Sensitive Technology Research and Affiliations of Concern policy adds specific restrictions for sensitive research areas.