E10: Classified Research Policy

Approved By: Faculty Senate and UNM President
Effective Date: TBD Draft 2/12/26
Responsible Faculty Committee: Research Policy Committee
Office Responsible for Administration: Vice President for Research (VPR) and Health Sciences Vice President for Research (HSVPR)

APPLICABILITY

This Policy applies to all UNM academic units including the Health Sciences Center and Branch Community Colleges. Individuals subject to this Policy include, but are not limited to, faculty, staff, students, visiting scholars, and postdoctoral fellows, external research partners and collaborators, and any other persons at UNM participating in classified research at or on behalf of UNM.

POLICY RATIONALE

Because of the highly sensitive and regulated nature of classified research, the intent of this Policy is to maintain a separation between classified research and unclassified research functions of UNM. This Policy describes the rights and obligations of UNM faculty, staff, students, and visiting scholars who participate in classified research on behalf of UNM. It also describes federal requirements and restrictions pertaining to classified research.

In preservation of academic freedom, the University of New Mexico (UNM) recognizes the right of every faculty member to solicit, conduct, or participate in both privately and governmentally sponsored research of their choice, including classified research, so long as the research is within the limits of existing UNM policies as detailed in the Faculty Handbook.

POLICY STATEMENT

Classified research is never conducted on UNM Property but only at a government contracting agency facility. Classified information requires access only by authorized personnel who possess both a security clearance and a "need to know," therefore UNM faculty, staff and students may not use, share, or provide access to classified data for publications, course presentations, conference presentations, course credit, theses, or dissertations. If a student intends to use material from a classified project for a thesis or dissertation, the supervising faculty member must advise the student that they will not be permitted to use any data that would cause the thesis or dissertation to be restricted from dissemination. Dissemination is interpreted to mean "availability to anyone without restriction."

As a recipient of Government Contracting Agencies Facility Clearance (FCL) UNM is a Cleared Defense Contractor (CDC) and is obligated to follow National Industrial Security Program (NISP) requirements, restrictions and other safeguards that are necessary to prevent unauthorized disclosure of classified information, and to control authorized disclosure of classified information released by U.S. government executive branch departments and agencies to their contractors. This Policy establishes guidelines to ensure UNM’s compliance with guidance provided in the 32 CFR Part 117, National Industrial Security Program Operating Manual (NISPOM).

1. Appeals

Per Board of Regents RPM 1.5: Appeals to the Board of Regents, “faculty, staff, or students affected by a final decision of any University authority may appeal the decision to the Board of Regents" only after appealing to the President of the University, or the President's designee. All appeals to the Board of Regents are discretionary, and the Board will exercise discretion to hear such appeals only in extraordinary cases.

PROCEDURES

1. Security Procedures

1.1 UNM has been issued a Facility Clearance (FCL) by the U.S. Department of Defense and Department of Energy. The FCL allows UNM to do classified work with other Government Contracting Agencies.

1.2 All requests for security clearances of employees and students who require access to classified information are originated by the applicable Project Manager and submitted to the Facility Security Officer (FSO) for processing. The project manager must provide a “Justification for Clearance Form.” Authorizations are not valid until authenticated by the FSO or designee.

1.3 The Defense Counterintelligence and Security Agency (DCSA) conducts periodic inspections of UNM’s Industrial Security practices on behalf of the Department of Defense. The FSO or designee must conduct self-inspections as appropriate to ensure continued compliance with the NISPOM.

1.4 Classified discussions and the storage of classified material is prohibited outside of any DCSA approved facility.

1.5 The FSO has developed detailed Standard Practice and Procedures (SPP) to ensure UNM compliance with the NISPOM. Contact the FSO at the Industrial Security Office for questions related to classified information.

2. Disclosure of Classified Information

2.1 Individuals authorized to have access to classified information must follow established procedures at all times and are responsible for guarding against unauthorized disclosure of classified information.

2.2 Cleared employees must ensure that classified information is disclosed only to persons with an appropriate clearance level and a need to know as authorized in accordance with 32 CFR Part 117 NISPOM, Chapter 117.15(h).

2.3 The Government Contracting Agency (GCA) grants classified contracts and security requirements necessary to execute a classified contract.

2.4 Classified contracts will be routed from the Office of Sponsored Projects to the FSO for review prior to execution.

3. Security Violations

All security violations regardless of where they occur (on or off campus) must be reported to the FSO. In the event of violations or negligence a faculty, staff, or student member will be subject to discipline in accordance with applicable laws, regulations, and applicable UNM discipline policies (see Related Documents section below).

3.1 Any violation of established security procedures must be reported to the FSO immediately so the FSO may assist in bringing the situation back into compliance. Examples of security violations include but are not limited to:

Security violations are recorded by the FSO in the form of the Security Incident Report. The FSO will investigate the violation and submit initial and final reports to the DCSA if required.

3.2 In addition to disciplinary action that may be taken pursuant to UNM policy, 32 CFR Part 117, NISPOM, Chapter 118.8(e)(2) requires a plan for a graduated scale of disciplinary actions in the event of employee or student violations or negligence. The FSO provides the plan for a graduated scale of discipline to cleared personnel. Prior to finalizing the disciplinary action, the UNM sanctioning officer must discuss the proposed disciplinary action with the FSO to ensure it complies with 32 CFR Part 117 requirements. Violators may also be subject to criminal punishment.

In the event that a conflict arises concerning the interpretation of existing UNM policies and rules with respect to classified research, an appeal will be heard by the Provost/Executive Vice President for Health Sciences (EVPHS) who fulfills the role of KMP (key management personnel) required by federal regulations (32 Code of Federal Regulation Part 117). If the conflict cannot be resolved, the route of further appeals would be the President and the Board of Regents (see Policy Statement, Section 1. above).

3.3 Individual Culpability Reports When individual responsibility for a security violation can be determined and one or more of the following factors are evident, an Individual Culpability Report will be sent to DCSA by the FSO. Factors include:

4. Insider Threat Program

The Insider Threat Program is intended to address threats to personnel, facilities, material, information, equipment or other Department of Defense, Department of Energy or U.S. government assets. The UNM President has designated the FSO as the Insider Threat Program Senior Official (ITPSO). The FSO has created an Insider Threat Program, in accordance with 32 CFR Part 117 NISPOM, Section 117.7(b)(4), and 117.7(d).

DEFINITIONS

Classified Information. Records, files, reports and other data or material relating to contracts between UNM and the U.S. government which are required by the contract, pursuant to Executive Order 12958 (Apr. 17, 1995), to be protected against unauthorized disclosure in the interest of national security.

Classified Research. Refers to research that involves information or materials designated by the U.S. government as requiring protection against unauthorized disclosure for national security reasons. This type of research is governed by federal classification standards (e.g. Confidential, Secret, Top Secret) and access is restricted to individuals with the appropriate security clearance and need to know.

Facility Clearance (FCL). An administrative determination issued by the DOD and DOE that a facility is eligible for access to classified information or award of a classified contract. Contractors are eligible for custody (possession) of classified material if they have an FCL and storage capability approved by the Cognizant Security Agency.

National Industrial Security Program Operating Manual (NISPOM). A manual that provides baseline standards for the protection of classified information released or disclosed in connection with classified contracts under the National Industrial Security Program.

Facility Security Officer (FSO). The FSO supervises and directs security measures necessary for implementing the applicable requirements of 32 CFR Part 117 and the related USG security requirements to ensure the protection of classified information.

Insider Threat Program Senior Official (ITPSO). The ITPSO will establish and execute an Insider Threat Program.

Senior Management Official (SMO). The SMO is a person occupying a position in the entity with ultimate authority over the facility’s operations and the authority to direct actions necessary for the safeguarding of classified information in the facility.” UNM’s SMO is the UNM President.

WHO SHOULD READ THIS POLICY

• Students
• Faculty
• Staff
• Department chairs, academic deans and other academic administrators and executives
• External research collaborators who are provided access to UNM managed research data

RELATED DOCUMENTS

UNM Regents’ Policy Manual

• RPM 5.10: Conflicts of Interest in Research
• RPM 5.11: Classified Research
• RPM 5.13: Research Fraud
• RPM 5.17: Conflict of Interest Waiver Policy for Technology Transfer

Faculty Handbook

• FH Section B: Academic Freedom and Tenure
• FH Policy C07: Faculty Disciplinary Policy
• FH Policy D175: Undergraduate Student Conduct and Grievance Procedures
• FH Policy D176: Graduate and Professional Student Conduct and Grievance Procedures
• FH Policy E30: Research Data Management
• FH Policy E40: Research Misconduct
• FH Policy E60: Sponsored Research
• FH Policy E110: Conflict of Interest in Research
• FH Policy E130: Foreign Talent Recruitment Programs (under development)

University Administrative Policies and Procedures Manual

• UAP 3215: Performance Improvement

Federal Regulation

• 32 Code of Federal Regulation Part 117

CONTACTS

Direct any questions about this Policy or its components to the Office of the Vice President for Research (OVPR) or the Office of the Health Sciences Vice President for Research (HSVPR).

HISTORY

Approved by the University Faculty on March 13, 1973