Research Security Committees

The Senior Advisory Group on Research Risk and Policy is a leadership group established by the Executive Vice President for Research in 2019. The Advisory Group was formed to advise the President or the President’s senior leadership on whether the University should pursue research projects or other research or  service-related activities that potentially expose the University to risks that are qualitatively different from those addressed by the University’s existing portfolio of oversight measures. Such risks could include, for example, projects or activities that involve “foreign countries of concern” as identified by the U.S. federal government, or involve a potentially controversial funding source.

To ensure consistency across the University, the Advisory Group may also review certain educational activities, such as executive education programs or academic agreements involving foreign countries of concern or other risk issues described below. The  purpose of such review is to ensure consistent application of risk analyses  to both research and education activities. Advisory Group review does not replace any other institutional review required for educational programs.

The guiding principle of the Advisory Group and the University is to make every attempt to resolve potential risks in a manner that enables activities to proceed at the University. However, if the Advisory Group determines that the potential risks cannot be managed and that they outweigh the potential benefits of conducting the activity, then the affected activity should not proceed at the University.

The risks the Advisory Group may consider may include the following:

• U.S. national security risk: the risk that Columbia discoveries and inventions created in the engagement will be used against the national security interests of the United States, or that foreign participants will gain access to unrelated Columbia knowledge and technology that could be used against U.S. national security interests.
• Political, civil, and human rights risk: the risk that research outcomes will be used in ways that would infringe on political, human, or civil rights in a foreign country, or that the engagement will indirectly legitimize violations of political, human, or civil rights in that country.
• U.S. economic competitiveness risk: the risk that the collaboration will significantly benefit the efforts of a foreign government to strengthen the competitiveness of business entities in that country relative to their American business rivals, or that it could otherwise benefit a foreign government in a way that might significantly harm the competitiveness of American firms, or that a foreign entity, as a result of the engagement, could benefit from unpublished know-how developed during previous U.S. government-funded research.
• The risk to the Columbia community of providing support for actions that run counter to Columbia’s core values, or that are not aligned with its academic mission, or that might lead to discrimination between members of our community, or that would permit undue external influence over the direction of Columbia research or education, or that would tarnish Columbia’s reputation.
• Risks related to intellectual property, export control compliance, data security and access, the risks to Columbia of not accepting an engagement, the potential risks to Columbia’s reputation that are not included in any of the previous categories, and consideration of whether there are real benefits to Columbia that would be difficult to obtain otherwise.

The Advisory Group does not supersede the University’s existing regulatory review bodies.  If the primary concerns surrounding the pursuit of a particular project are regulatory in nature, then the matter should be reviewed by the appropriate regulatory body and not by the Advisory Group. When, however, policy questions arise that fall outside of the regulatory arena, such questions should be referred to the Advisory Group. 

The Advisory Group may consult with faculty and may convene ad hoc faculty committees, with appropriate expertise, representing a variety of viewpoints, to make policy recommendations on particular issues. It coordinates closely with other University committees as needed.

The Advisory Group includes the Executive Vice President for Research (convenor), the Executive Vice President for Communications and Government Affairs, the Senior Executive Vice President, the Provost, and a senior representative from CUIMC. Any member or their designee may identify projects that should be reviewed by the group. Additionally, departments, schools, centers and institutes, and their constituents (including students) also may identify projects or programs that should be reviewed by the Group. Such projects should be communicated by the appropriate dean’s office representative to the Office of Research Compliance and Training.

For more information about the Senior Advisory Group on Research Risk and Policy, please contact the Office of Research Compliance and Training, [email protected].