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Research Security


Securing and protecting research involves developing awareness of potential domestic and international threats to research security and implementing procedures and controls to reduce those risks. UTEP’s Research Security Program implements the research security requirements described in National Security Presidential Memorandum-33 and other Federal guidance.

Refer to this webpage for information and resources for securing research at the University.



Contact Us:

rso@utep.edu

Research Security Policy

The Board of Regents, the governing body for The University of Texas System, Rules and Regulations, Rule 10902 establishes a general policy on research security that applies to each institution within the UT System. The Rule states, "Education and research are core missions of every U. T. institution, and the Board recognizes the value and necessity of international collaborations in fulfilling these goals. Therefore, to mitigate the risks related to research security and foreign interference, it is imperative that each U. T. institution follow the highest standards of compliance and security and pursue international collaborations with researchers and institutions similarly committed to research integrity, transparency, and reciprocity".

The UTEP Handbook of Operating Procedures, Section IV, Chapter 11, Research Security establishes a research security policy framework for the University, meeting the requirements specified by Rule 10902 and Texas Education Code Section 51.956, Policy Framework for Research Security.

Contact Us

Research Security is located in Kelly Hall, 4th floor, West Wing
500 W University Ave
El Paso, TX 79968

  Main: 915-747-8470
  RSO@utep.edu
 Research Security Office: Dr. Mario E. Caire

Malign Foreign Talent Recruitment Programs

The Office of Research and Innovation acknowledges that federal guidelines employ the term "foreign," which does not align with UTEP’s values. Federal terminology is only used where appropriate, and capitalized to define the Terms of Art that the federal agencies are employing in this area of compliance.

Adapted with Permission from Michigan State University.

Introduction  

UTEP’s mission is to advance knowledge and transform lives by advancing outreach and engagement, and this includes international engagement. UTEP supports international academic exchanges and collaboration with international research partners; and transparency in reporting these types of international collaborations is becoming increasingly important.

Participation in a Foreign Talent Recruitment Programs (FTRPs) can also involve certain risks that warrant careful consideration and mitigation. Congress, the Federal Bureau of Investigation, and other government organizations may view certain aspects FTRPs as threats to the integrity and security of the national research enterprise. The CHIPS and Science Act (CHIPS Act) directs federal research sponsors to maintain policies that– 

  • require covered individuals to disclose all participation in FTRPs, and 
  • prohibit recipients of federal support from participating in any “malign” FTRPs 

International Collaboration

UTEP values its international collaborators and inter-institutional affiliations. Preservation of important international relationships will be facilitated by our careful attention to federal requirements of transparency in research and related activity. Additionally,  Section 10632 of the CHIPS Act requires that agency policies on malign foreign talent recruitment programs “shall not prohibit” the international collaboration activities that are specified in that statute. 

Foreign Talent Recruitment Program (FTRP) Definition

The White House Office for Science and Technology Policy (OSTP) has released a memo titled “ Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs” that defines a FTRP as follows: 

any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to an individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue.

Office for Science and Technology Policy (OSTP)

The  OSTP memo lists examples of unfunded international collaborations that do not fall within the definition of Foreign Talent Recruitment Programs. 

Malign Foreign Talent Recruitment Program Definition

The CHIPS Act defines "Malign Foreign Talent Recruitment Programs" (MFTRP) as:

a. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual—

  1. engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products; 
  2. being required to recruit trainees or researchers to enroll in such program, position, or activity; 
  3. establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
  4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
  5. through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
  6. being required to apply for and successfully receive funding from the sponsoring foreign government's funding agencies with the sponsoring foreign organization as the recipient;
  7. being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;
  8. being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
  9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
b. a program that is sponsored by—   
  1. a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern; or
  2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232); or   
  3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232).” 

This chart  may assist with understanding the definition of MFTRP .

Required Disclosure to Sponsors of Participation in Foreign Talent Recruitment Programs

The  CHIPS Act requires OSTP and federal research agencies to implement policies requiring all PIs and senior/key personnel to disclose FTRP participation in the appropriate federal forms (Current and Pending/Other Support, Biosketches, etc.). In practice, this means that international appointments are required to be included in Biosketches, and any form of compensation, in-kind or funded research support, or resource provided by the international entity must be included in the Current and Pending/Other Support form. 

Prohibition on Participation in MFTRPs

The CHIPS Act directs each federal research agency to establish a policy that disqualifies PIs and senior/key personnel from receiving federal support if they are participating in a MFTRP. Soon, grant and contract proposals will require certifications that covered personnel are not involved in MFTRPs, as well as institutional certifications that covered personnel have been made aware of the MFTRP prohibition.

UTEP Policy Prohibiting Participation in Malign Foreign Talent Recruitment Programs

University of Texas at El Paso was required to develop a policy addressing these programs and prohibiting participation by “Covered Individuals” no later than August 9, 2024. In response, the following policy was developed: Prohibition of Participation in Malign Foreign Talent Recruitment Programs.

Questions About Foreign Talent Programs

Please contact UTEP’s Research Protections’ Office at RSO@utep.edu with specific questions about talent programs, relevant University policies, and related federal government rules and expectations.  

Additional resources

 

Fundamental Research

“Fundamental research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from Industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reason.” [ National Security Decision Directive (NSDD) 189, National Policy on the Transfer of Scientific, Technical, and Engineering Information].

Scientific or technical information resulting from contracted fundamental research efforts will normally be approved for public release where distribution is unlimited. This corresponds to DoDI 5230.24 Distribution Statement A. This statement will not be used on classified technical information or information containing export-controlled technical information. Additionally, this statement may not be used on technical information that was formerly classified or designated as CUI unless such information is approved for public release.

Controlled Unclassified Information (CUI)

Controlled Unclassified Information (CUI) is information that requires safeguarding or dissemination controls pursuant to and consistent with applicable law, regulations, and government-wide policies but is not classified under Executive Order 13526 or the Atomic Energy Act, as amended.

 

Please contact the University RSO (rso@utep.edu) or visit the Controlled Unclassified Information web page for additional information on how to address CUI in proposals and throughout an award.

DD2345 - Military Critical Technical Data Agreement

The Military Critical Technical Data Agreement (DD2345) is the institutional form used to register in the Joint Certification Program (JCP). Through the JCP, U.S. and Canadian defense contractors are able to apply for access to U.S. Department of Defense (DoD) or Canadian Department of National Defense (DND) unclassified export controlled technical data/critical technology on an equally favorable basis. The Joint Certification Office is staffed by DoD and DND staff that review and certify contractor applications submitted on the DD2345.

The University of Texas at El Paso’s (UTEP) certification is principally used to facilitate either the exchange of export controlled technical data between defense contractors (i.e., between UTEP and a prime contractor or subcontractor where required by a specific contract or funding agreement), or the participation of university researchers, students or staff in DoD/DND sponsored events (e.g., to discuss program requirements or present research findings). Under the JCP, if receipt of unclassified export controlled technical information is required, data is sent to the recipient’s Data Custodian named on the DD2345 who is then responsible for ensuring that appropriate safeguards (controls) are put in place to prevent unauthorized disclosures and exports before releasing it to the end user (i.e., researcher).

University faculty, staff, trainees, and students engaging in university supported activities are required by the JCP to use our institutional certification rather than register as an individual.

The Research Protection’s Office is responsible for administering the University’s certification under the oversight of Data Custodian. Faculty, staff, and students who require access to the DD2345 information must complete and submit a DD2345 request form for approval.

Complete the Following Steps:

  1. Does the sponsor/meeting organizer require a Technology Control Plan (TCP)? Will you receive or store export controlled/JCP data? Will you receive and bring back any materials for a meeting/conference requiring DD 2345 registration? If “yes” to any of these questions, complete a TCP.
  2. Submit your request (and TCP, if applicable) to the Office of Research Protections at exportcontrol@utep.edu. The Data Custodian will provide you with the University’s DD2345 certification number, and will process your TCP for approval, if applicable.
  3. Follow the above steps for each project or meeting/conference requiring DD2345 registration. 

Data Custodian:  Dr. Mario Caire, email: mcaire@utep.edu, phone: (915) 747-8470. Any DD2345-related questions and requests should be directed to the Data Custodian.

Notes:

  • An approved TCP is required for all JCP data, regardless of format, that will be accessed, developed, provided, used, or stored by or on behalf of the University or University personnel. Contact exportcontrol@utep.edu regarding establishing a TCP.
  • A TCP is not required for meeting participation unless the participant will be retaining notes, conference proceedings, presentations, etc. from the meeting that require safeguarding.
  • The completion of the CITI Export Control training is a requirement.
  • While not specifically required by the JCP, associated contractual requirements may require that subject data be safeguarded as controlled unclassified information (CUI). For more information on CUI safeguarding contact the Data Custodian.

Federal Grant Proposal Disclosure Requirements

Complete and accurate disclosures are essential to federal agencies that make decisions on awarding federal grants. Agencies such as the National Science Foundation and the Department of the Army, among others, require grant applicants to disclose all current and pending support received by the institution, its PIs, and co-PIs. Cases of non-compliance may be subject to prosecution under the False Claims Act.