INTEGRITYAND

SECURITYINTHE

GLOBALRESEARCH

ECOSYSTEM

OECDSCIENCE,TECHNOLOGY

ANDINDUSTRY

POLICYPAPERS

June2022No.130

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ThispaperwasapprovedanddeclassifiedbywrittenprocedurebytheCommitteeonScientificandTechnologicalPolicyon15/05/2022andpreparedforpublicationbytheOECDSecretariat.

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Integrityandsecurityinthe

globalresearchecosystem

Responsibilitiesforresearchintegrityandsecurityaredistributedacrossmultipleactorsintheinternationalresearchecosystem.Theseinclude,nationalgovernments,researchfundingagencies,researchinstitutions,universities,academicassociations,andintergovernmentalorganisations.Thisreportdescribespolicyinitiativesandactionsfromthesedifferentactorstosafeguardnationalandeconomicsecuritywhilstprotectingfreedomofenquiry,promotinginternationalresearchcooperation,andensuringopennessandnon-discrimination.Itincludesexamplesofactionsthatarebeingtakingtopreventforeigninterference,managerisks,andhelpensuretrustinscienceinthefuture,andoffersrecommendationstohelpcountriesdevelopeffectivepoliciestostrengthenresearchsecurityaspartofabroaderframeworkofresearchintegrity.

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Foreword

Scientificdiscoveryoccursinaninterconnected,internationalecosystemthatcollectivelyleveragesintellect,know-how,talent,financialresources,andinfrastructurefromaroundtheworld.Freedomofscientificresearchandinternationalcollaborationarecornerstonesofscientificprogress.Openandtransparentcommunicationanddisseminationofscientificinformationanddataandsharingofresearchmaterialsareessentialfortheglobalscienceecosystemtooperateeffectively.GlobalchallengesliketheCOVID-19pandemic,climatechangeandothercomplexsocio-economicissuescannotbetackledwithoutinternationalresearchcollaboration.

However,newchallengesandthreatsareemergingassomegovernmentsandnon-stateactorsexhibitincreasinglyforcefuleffortstounfairlyexploitanddistorttheopenresearchenvironmentfortheirowninterests.Manycountriesnowconsiderunauthorisedinformationtransferandforeigninterferenceinpublicresearchasaseriousnationalandeconomicsecurityriskandathreattofreedomofscientificresearch.

TheCOVID-19pandemicwasdeclaredearlyin2020anditquicklybecameapparentthatinternationalresearchcollaborationandsharingofdataandinformationwouldbecriticalformanagingthisglobalcrisis.However,asthetruescaleofthepandemicbecameapparent,issuesaroundaccesstoscientificknowledgeandtechnologieswereincreasinglyinfluencedbygeopoliticalconsiderations.Researchsecuritybecamealiveissuefortheresearchandpolicycommunityascountriesstrivedtoprotecttheirinterestsandcontroloveraccesstovaccinesandothertherapeuticdevelopments.Theintegrityoftheglobalresearchecosystemwasthreatened,whiletrustinsciencedecreasedforimportantsectorsofthepopulationinmanycountries.

Asthepandemicprogressed,withscienceinthespotlight,theOECDGlobalScienceForumlauncheda

projectinOctober2020on“IntegrityandSecurityintheGlobalResearchEcosystem”(see

AnnexB

forTermsofReference).Asindicatedbythetitle,therewasrecognitionfromtheoutsetthattheintegrityandsecurityofresearchareintertwinedandneedtobeconsideredtogether.Likewise,theinherentlyinternationalnatureofpublicresearchisembeddedacrosstheproject.Hence,theaimoftheprojectwastoidentifygoodpracticestosafeguardnationalandeconomicsecuritywhilstprotectingfreedomofenquiry,promotinginternationalresearchcooperation,andensuringopennessandnon-discrimination.

Asthisprojectreachedcompletion,inthefirstmonthsof2022,Ukrainewassubjectedtolarge-scalemilitaryaggressionbyRussia.UniversitiesandpublicresearchinstitutionsacrosstheOECDhavebeenobligedtore-visittheirtieswithbothofthesecountries.ManyhavechosentoceasecollaborationswithRussianinstitutionsand/ortakenmeasurestoaccommodaterefugeescientistsfromUkraine.Hopefullytheseactionswillonlyneedtobetemporarybuttheyclearlyillustrateagaintheinfluenceofgeopoliticalconsiderationsonresearchandthehighlydynamicnatureofsecurityconcerns.Today’salliesorfriendscanquicklybeperceivedastomorrow’sthreats.Inthemidstofthiscomplexandrapidlychangingworld,maintainingtheintegrityandsecurityoftheglobalresearchecosystemisperhapsmorepertinentnowthanithasbeenbefore.Itisnotalwaysaneasytopictodiscuss,andtherearestronglyheldandoftenpolarisedviews,butitisanissuethatcannotbeignored.

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Thisreportidentifiesandanalysesgoodpracticestosafeguardnationalandeconomicsecuritywhilstprotectingfreedomofenquiry,promotinginternationalresearchcooperation,andensuringopennessandnon-discrimination.Responsibilitiesforresearchintegrityandsecurityaredistributedacrossmultipleactorsintheinternationalresearchecosystem.Theseincludenationalgovernments,researchfundingagencies,researchinstitutions,universities,academicassociations,andintergovernmentalorganisations.Thereportprovidespracticalinformationandguidanceforeachoftheseactors.Thegoodpracticeexamplesinthe

reportarealsobeingmadeavailableinanonlinemonitoringtoolofgovernments’STIpolicyinitiatives

relatingtoresearchsecurity(

/stip/

).

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Acknowledgements

AninternationalExpertGroup(EG,see

AnnexC)

wasestablished,throughnominationsfromGSFdelegates,tooverseeandimplementthisproject.ThisfinalpolicyreportistheproductofthatGroup’swork.ItwasdraftedbytheOECD-GSFSecretariat,YoshiakiTamuraandCarthageSmith,withinputfromallEGmembers.Inaddition,anumberofotherindividualsmadeimportantcontributions.Thisincludesmorethan30experts,whoparticipatedaspresentersorpanellistsintwodedicatedprojectworkshopsthatfocusedonidentifyingchallengesandgoodpractices.Theseeventswereattendedbyaround150representativesfromnationalgovernments,researchfundingagencies,researchinstitutions,universities,academicassociations,andinternationalorganisationsfrommorethan30countries.

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Tableofcontents

Integrityandsecurityintheglobalresearchecosystem3

Foreword5

1Executivesummary10

2Policyrecommendationsandoptionsforaction12

3Introduction17

4Internationalcollaboration–akeyelementoftheglobalresearchecosystem21

5Foreigninterferenceinresearchprocesses25

6Policyinitiativesandactions33

7Concludingremarks53

References54

AnnexA.Keyconceptsanddifferentperspectives65

AnnexB.Termsofreference,researchintegritywithintheglobalscienceecosystem69

AnnexC.GSFexpertgroupmembership73

Tables

Table4.1.Multilateralframeworkforinternationalscientificexchangeandcollaboration22

Table6.1.Sensitivetechnologyandinformationareas34

Table6.2.Typeofactivitytobedisclosedtofundingagencies41

Figures

Figure2.1.Researchintegrityandresearchsecurity12

Figure2.2.Riskmanagementcycle14

Figure4.1.Percentageofscientificpublicationsinvolvinginternationalco-authorships,OECD,2006and202021

Figure4.2.InternationalscientificcollaborationonCOVID-19biomedicalresearchfromJanuaryto30

November202022

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Figure4.3.Selectedeconomies,intermsofthetotalnumberofmedicalresearchpublications(fractional

counts),andtheirtopfivepartnereconomies,from1Januaryto30November202023

Figure6.1.Agrantproposalriskassessmentprocess40

Figure6.2.ResearchEngagementsSensitivitiesTool(REST)46

Figure6.3.IntermediateoutcomesforUniversitiesUK’sapproachtosecurity-relatedissues47

Boxes

Box2.1.Policyareasrelatedtoresearchintegrityandsecurity15

Box3.1.Glossary18

Box5.1.Casestudies–researchtheft27

Box5.2.Casestudies–deceptivepractices28

Box5.3.Casestudies–coercivepractices30

Box5.4.Casestudies–challengesforresearchevaluation31

Box5.5.Casestudies–cybersecurity32

Box6.1.UKCPNI’schecklistforevaluatingresearchproposals37

Box6.2.Riskassessmentquestionnaire44

Box6.3.Implementationofduediligenceprocesses48

Box6.4.Protectingacademicfreedom49

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1Executivesummary

Scientificdiscoveryoccursinaninterconnected,interdisciplinary,andinternationalecosystemthatcollectivelyleveragesintellect,know-how,talent,financialresources,andinfrastructurefromaroundtheworld.Freedomofscientificresearchandinternationalcollaborationarecornerstonesofscientificprogress.Openandtransparentcommunication,disseminationofscientificinformationanddata,andsharingofresearchmaterialsareessentialfortheglobalscienceecosystemtooperateeffectively.

However,newchallengesandthreatsareemergingassomegovernmentsandnon-stateactorsexhibitincreasinglyforcefuleffortstounfairlyexploitanddistorttheopenresearchenvironmentfortheirowninterests.SeveralOECDcountriesnowconsiderunauthorisedinformationtransferandforeigninterferenceinresearchasaseriousnationalandeconomicsecurityriskandathreattothefreedomofscientificresearch.Thishasimportantimplicationsforseveralcoreaspectsofresearch,includinginternationalcollaboration,researchtraining,recruitment,andpeerreviewofgrantproposals.Ifnotcarefullymanaged,securityriskscanseriouslydamagethehealthandeffectivenessoftheinternationalresearchecosystemandunderminetrustinresearchfindings.

Thisreportisbasedonananalysisofpubliclyavailabledocumentsandadditionalinformationcollectedfromagroupof13OECDcountriesrepresentedonanexpertgroup,whichoversawthework(see

Annex

C)

.Italsoincludestheoutcomesoftwodedicatedinternationalworkshops.Thereportidentifiesandanalysesgoodpracticestosafeguardnationalandeconomicsecuritywhilstprotectingfreedomofenquiry,promotinginternationalresearchcooperation,andensuringopennessandnon-discrimination.

Responsibilitiesforresearchintegrityandsecurityaredistributedacrossmultipleactors,operatingatdifferentscales,intheinternationalresearchecosystem.Theseincludenationalgovernments,researchfundingagencies,researchinstitutions,universities,academicassociations,andintergovernmentalorganisations.Manyoftheseactorsarealreadytakingmeasuresthatprovideasoundbasisforfuturepolicydevelopment,althoughthereisconsiderablepotentialformutuallearningacrosssectorsandcountries.

Atthenationalgovernmentlevel,regulationsexistalreadyinseveralcountriestocontrolsensitiveinformation.Inordertocomplywiththese,researchinstitutions,universities,andresearchersmaybelegallyrequiredtodiscloseconflictsofinterest(COI)andconflictsofcommitment(COC).Governmentshavedevelopedguidelinesandcheckliststoincreaseawarenessofriskstoresearchsecurityandintegrity,andthesearefrequentlyaccompaniedbypoliciesandmeasuresformitigatingtherisks.Insomecountries,intelligenceagencies,lawenforcementagencies,researchinstitutions,anduniversitieshaveincreasedcooperationandinformationexchangetohelpresearchersidentifyandmanagerisksandstrengthensecurityininternationalcollaboration.

Atthefundingagencylevel,guidelinescanhelpdefineandmanageCOIandCOCforfundingapplicants,peerreviewers,andresearchagencystaff.Severalfundingagencieshaveintegratedriskassessmentandmanagementintotheirfundingapplicationandreviewprocesses.Applicantsareaskedtocompleteriskassessmentquestionnairesandtoworkwithagenciesandhostinstitutionstodevelopriskmitigationplansiftheyidentifynationalandeconomicsecurityrisks.

Publicresearchinstitutions(PRIs)aredevelopingtoolstosystematicallyassesstherisksofforeigninterferenceandinformdecisionsonnewresearchopportunities.Researchersandcontractorsatsome

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PRIshavebeenprohibitedfromworkinginspecificforeigngovernment-sponsoredoraffiliatedactivities,includingsometalentrecruitmentprogrammes,wherethesehavebeenassessedtobeofhighrisk.

Inuniversities,rulesandguidelinesarebeingdevelopedtomitigateriskstoresearchsecurityandprotecttheintegrityandfreedomofscientificresearch.Someuniversitieshaveestablisheddedicatedcommitteesorstructurestomanageresearchsecurityrisksandprovideresearchsecuritytrainingtoraiseawarenessamongresearchersandadministrativestaff.Universityassociationshavecarriedoutsurveystoidentifyandraiseawarenessofthevariouspracticesthatuniversitiesareimplementingtoensureresearchsecurity.

Academicassociationsaredevelopingconsensusguidelinesfortheirmembersandthebroaderresearchcommunity.Someacademicassociationsorganiseworkshopstoraiseawarenessamongresearchersandshareexperiences.Othershaveestablishedlocalcommitteestoadviseresearchinstitutionsanduniversities.Insomeinstances,theyalsoadvisenationalgovernmentsonappropriatepolicyactionsthatbalanceresearchsecurityandscientificfreedomconsiderations.

Attheintergovernmentallevel,theG7countrieshaveestablishedaworkinggrouponthesecurityandintegrityoftheresearchecosystemandareplanningtodevelopacommonsetofprinciplestohelptoprotecttheresearchandinnovationecosystemfromriskstoopenandreciprocalresearchcollaboration.TheEuropeanCommissionpublishedatoolkitinearly2022onhowtomitigateforeigninterferenceinresearchandinnovation.

Buildingonwhatisongoing,thisreportlaysoutsevenover-archingrecommendations,eachofwhichrequiresactionsfromavarietyofactors:

1.Underscoretheimportanceoffreedomofscientificresearchandinternationalcollaborationasa

keyelementoftheglobalresearchecosystem

2.Integrateresearchsecurityconsiderationsintonationalandinstitutionalframeworksforresearch

integrity

3.

Promoteaproportionateandsystematicapproachtoriskmanagementinresearch

4.

Promoteopennessandtransparencyinrelationtoconflictsofinterestorcommitment

5.

Developclearguidelines,streamlineprocedures,andlimitunnecessarybureaucracy

6.

Workacrosssectorsandinstitutionstodevelopmoreintegratedandeffectivepolicy

7.

Enhanceinternationalinformationexchangeonresearchintegrityandsecurity

Theserecommendations,includingsuggestionsforspecificactions,arelaidoutmorefullyinthenextsectionofthisreport.

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2

Policyrecommendationsand

optionsforaction

Thefollowingrecommendationsemergedfromthesurveyofcountriesanddiscussionsattwointernationalworkshopsthatwereconductedinthisproject.AlthoughresearchintegrityandsecurityarecommonconcernsacrossOECDcountries,thecontextvariesconsiderably.Hence,thepriorityattachedtoeachpolicyrecommendationandtherelatedoptionsforactionislikelyalsotovaryacrosscountries.More

specificinformationandexamplesofwhatdifferentcountriesarealreadydoingtoaddressthese

recommendationsareincludedinSection

6

ofthisreport.

2.1.Underscoretheimportanceoffreedomofscientificresearchand

internationalcollaborationasakeyelementoftheglobalresearchecosystem

Freedomofenquiryandinternationalcollaborationconstituteanessentialpartofscientificresearchandareenshrinedinanumberofformalandinformalrecommendationsanddeclarationsfrominternationalorganisations.Geopoliticaltensionsandthebehaviourofgovernmentscanunderminescientificfreedomandinternationalcollaborationandcreaterealorperceivedxenophobiaorprejudice.

.Governmentsshouldpromoteinternationalcollaboration,whilsttakingaproportionateriskmanagementapproachtosecurityissues.Inthiscontext,internationalmobilityandtherecruitmentofforeignresearchersshouldberecognisedasanessentialpartofinternationalcollaboration.

.Researchinstitutionsanduniversitiesshouldmaintainwelcomingandinclusiveenvironments,inwhichfreedomofscientificresearchandsciencecommunicationisrespectedandallpeoplearetreatedequally,regardlessofraceornationalorigin.

2.2.Integrateresearchsecurityconsiderationsintonationalandinstitutional

frameworksforresearchintegrity

Asinternationalcollaborationbecomesmorewidespreadandthegeographicdistributionofscientific

productionchanges,mitigatingunauthorisedinformationtransferandforeigninterferenceneedstobe

includedinconsiderationsofresearchintegrityandscientificresponsibility(see

Figure2.1

and

AnnexA)

.

.Securityandriskmanagementshouldbeintegratedintoinstitutionalcultureandprocessesasanessentialaspectofresearchintegrity.Tohelpachievethis,governments,fundingagencies,researchinstitutions,universities,andacademicassociationscan,forexample,organisededicatedworkshopsordevelopeducationandtrainingprogrammes(seeexamplesin

6.1.2

,

6.5.3

,and

6.7)

.

.Countriescanexpandtheremitofnationalresearchintegrityoffices,wherethesealreadyexist,ormaywishtoestablishadedicatednationalcontactpointorcentreofexpertiseforresearchsecuritywithingovernmenttoworkwithcounterpartsacrosstheresearchecosystem(seeexamplesin

6.1.2)

.

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Figure2.1.Researchintegrityandresearchsecurity

Strengtheningresearchintegritybyincreasingtransparency,disclosingpotentialConflictsofInterest(COI)andConflictsofCommitment(COC)andmanagingrisks,willprotectresearchsecurity.Researchsecurity-preventingforeignstateornon-stateinterferencewithresearch-willinturnstrengthenresearchintegrity.

2.3.Promoteaproportionateandsystematicapproachtoriskmanagementin

research

Riskmanagementneedstoacknowledgefreedomofscientificresearchontheonehand,andsecurityconsiderations,ontheotherhand.Policiesandactionstoaddressresearchintegrityandsecurityshouldbebasedonsoundriskidentificationandassessmentsandberegularlyrevisitedandrevisedasnecessary.Noteveryresearchinstitutionorresearchprojectwillfacethesamelevelortypeofrisk.Maintaininginstitutionalautonomyinriskmanagementanddecisionmakingiskeynotonlytoeffectivelyidentifyingriskbutalsotogainingcrucialbuy-inacrosstheresearchsector.

.Scienceandsecurityagenciesneedtodeveloptrustedprocessesthatensureregularexchangesofinformationandpromotemutualunderstandingofthebenefitsandrisksofinternationalcollaboration(seeexamplesin

6.1.3)

.

.Governmentsshouldencourageresponsibleself-management(self-policing)byuniversitiesandprofessionalassociationsandsupportcapacitybuildingtobetterunderstand,identify,andmitigatepotentialrisks(seeexamplesin

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