Scenario 4 - Failure to follow established procedures

Disclaimer: This scenario is not comprehensive of all risks and best practices. This case study represents a certain scenario for general application of research security principles and can be used as a resource for training, exercises and presentation, etc. The names, events and other details of this scenario are created for educational purposes and do not represent any particular event.

Scenario 4

Fictional scenario

  • Tom has been working at a Canadian university lab for the past 15 years. His research work on contagious diseases has gained him significant international recognition. As a result, he has been offered a job at a leading research institution in his field of study.
  • To support his continued research, the foreign institution has suggested that Tom sends and brings partial samples of the non-infectious virus, as well as the research data and findings of his current research team. These samples are proprietary to Tom's lab and are an export-controlled substance.
  • Tom, who is familiar with standard procedures surrounding these samples, knows this method of transportation is not the standard procedure, but does not wish to see the research hampered and believes it is in the interest of the greater good and in forwarding science. He does this without malicious intent, given that the samples are non-infectious. Tom believes that the outcomes of the research are of utmost importance, regardless of where it takes place.

Risks in this scenario

Caption text
Risky practices Possible consequences
Sending samples of controlled substances and sensitive data abroad without following standard procedures
  • Regardless of motivation, Tom is in breach of legal requirements related to the export and transmission of controlled goods, as well as institutional policies and practices. He may face legal or funding consequences.
  • The university could face administrative sanctions and/or potential criminal charges. Procedures and protocols, including monitoring and compliance regimes, would come under scrutiny and this could result in administrative measures up to and including loss of relevant licenses and certifications.
  • The university's reputation could be damaged, potentially limiting future research collaborations or eligibility for federal and other sources of funding.
Not informing the Canadian institution of these activities
  • Even when standard procedures are followed, the samples and data may be proprietary to the Canadian institution. The Canadian institution could lose access to the value of the research, including intellectual property claims and commercialization.
  • A breach of research agreements or of intellectual property protections can also impact a researcher’s funding and credibility. It can also impact the credibility of researchers on the team who remain at the Canadian institution.

Risk mitigation

Best practices checklist – Researchers

  • DON’T send samples or proprietary data from your home post-secondary institution without consulting with your institution’s relevant officials.
  • DO seek guidance from your home institution about the possibility of sharing samples or proprietary data with a foreign institution. If sharing is allowed, review the requirements for sending an export-controlled substance abroad.
  • DO file and document the necessary paperwork to transport a controlled substance to another country.

Best practices checklist – Post-secondary institutions

  • DO inform researchers of their responsibilities on the sharing of their research. The institution has an obligation to ensure that all staff are trained and compliant with relevant laws, funding criteria, and conditions specific to work undertaken in their facility, including institutional policies and protocols.

Additional resources

Date modified: