Research Security Program
OSTP Quote Heading link
| March 2023 | JSR-22-08, JASON. 2023. "Research Program on Research Security"
General Prelude Heading link
As the only public Carnegie Research 1 institution in the city of Chicago, UIC’s mission is exhibited by our commitment to global engagement in research as we recognize the diversity of our international and domestic scholars who contribute to our scholarly and research excellence.To that end, UIC expects scientists and researchers to be open and transparent in their compliance with University and sponsor guidelines, policies, procedures, and regulations. UIC expects scientists and researchers to take reasonable precautions when traveling internationally to protect themselves and the University. To assist our scientists and researchers, UIC has developed a Research Security Program to meet our internal and external compliance requirements.
Presidential Memorandum on United States Government-Supported Research and Development National Security Policy (January 2021) required that “research institutions [] establish and operate research security programs”. A research security program was described to “include elements of cyber security, foreign travel security, insider threat awareness and identification, and, as appropriate, export control training.”
The National Science and Technology Council (January 2022) released a report, “Protecting the Integrity of Government Science”, outlining the need to improve governmental and institutional implementation of policies and procedures related to research misconduct, research integrity, and research security. The Office of Science and Technology Policy (January 2022) released guidance that included information related to the minimum requirements of a research security program. Similar to the Presidential Memorandum, the guidance described the research security program to include (1) cybersecurity, (2) foreign travel security, including an organizational record of covered international travel and a pre-authorization requirement with security briefings and assistance with electronic device security, (3) research security training, (4) export control training, as appropriate, and (5) designation of a research security point of contact (POC). To clarify the need for Research Security and define this term, the National Science Foundation requisitioned JASON to evaluate Research Security, resulting in the March 2023 ” “Research Program on Research Security” report.
UIC OVCR has established programs that meet these minimum requirements, but some programs may need to be revised to address additional guidance that may be released. UIC OVCR will continue to work with Technology Solutions to implement and improve aspects of our cybersecurity infrastructure. Some currently optional programs may need to be required in the future due to the federal mandates.
UIC has and continues to:
- Operate a cybersecurity program for the University.
- Operate a cybersecurity training program for all faculty, staff, and students.
- Operate an optional travel roster for university-related international travel that included free travel insurance.
- Operate a process of pre-approval of non-university reimbursed and sponsored travel under the UI Policy on Conflicts of Commitment and Interest and supporting software, formerly referred to as report of non-University activities (RNUA). The outside activity disclosure and pre-approval process will be through UIC Research beginning June 28, 2022.
- Operate an optional international travel training that can be requested from the Office of Research Integrity.
- Provide guidance for traveling internationally with data and electronic devices.
- Operate a program for loaner laptops for international travel.
- Operate an optional research security training that can be requested from the Office of Research Integrity.
- Operate an Export Control program, from which training can be requested through the Office of Research Integrity.
- Operate with AVCR Richard Gemeinhart as the research security point of contact until a Research Security Officer is named.
The Office of the Vice Chancellor for Research will update the UIC research community as more federal agencies mandate additional processes and procedures related to research security.
UIC “will not engage in discrimination or harassment against any person because of race, color, religion, sex, national origin, ancestry, age, marital status, order of protection status, genetic information, disability, pregnancy, sexual orientation including gender identity, unfavorable discharge from the military or status as a protected veteran and will comply with all federal and state nondiscrimination, equal opportunity and affirmative action laws, orders and regulations.”
Research Security Accordion Heading link
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What is UIC doing in regard to Research Security?
UIC, the Office of the Vice Chancellor for Research, and the Office of Research Integrity is:
- Offering training in several areas related to research security that can be requested from the Office of Research Integrity.
- Conducting Visual Compliance screening of international Outside Activities, formerly referred to as non-University activities. The outside activity disclosure and pre-approval process will be through UIC Research beginning June 28, 2022.
- Conducting risk-based audits of biographical sketches, other support, foreign components, and international activities reporting to federal sponsors.
- Conducting generalized audits of UIC webpages comparing the information with outside activities disclosures, formerly referred to as non-University activities disclosed through the Report of Non-University Activities (RNUA) and Sponsor Specific Questionnaire (SSQ). The outside activity disclosure and pre-approval process will be through UIC Research beginning June 28, 2022.
- Conducting risk-based and randomized auditing of publically available data, including publication databases and media, comparing the information with outside activities disclosures, formerly referred to as non-University activities disclosed through the Report of Non-University Activities(RNUA) and Sponsor Specific Questionnaire (SSQ). The outside activity disclosure and pre-approval process will be through UIC Research beginning June 28, 2022.
UIC is obligated to conduct appropriate reviews of faculty and staff activities and compliance with funding agency requirements, Federal law and guidance, and University Policies and Procedures.
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What should Colleges, Departments, Centers, and Institutes be doing to improve Research Security?
Colleges, Departments, Centers, and Institutes should:
- Request training related to research security from the Office of Research Integrity.
- Conducting Visual Compliance screening of all new hires.
- Complete Materials Transfer Agreements (MTAs, under common agreement templates) and Data Use Agreements (FDP DTUAs, under common agreement templates) when transferring materials or data, respectively, to or from the University.
- Review biographical sketches, other support, foreign components, and international activities reporting to sponsors, assuring the accuracy of information as it is reported by the investigator in outside activities disclosures, formerly referred to as non-University activities disclosed through the Report of Non-University Activities (RNUA) and Sponsor Specific Questionnaire (SSQ).
- Review publications by faculty and staff, reported through annual evaluations, sponsored program annual reports and final reports, and in public databases, to determine the appointments and affiliations listed and the funding sources cited, comparing the information with funding agency reports and applications.
- Review publications by faculty and staff, reported through annual evaluations, sponsored program annual reports and final reports, and in public databases, to determine if foreign components or international activites have been proprerly reported to funding agencies and if prior approval was obtained.
- Oversee investigators and staff working on sponsored projects and assuring that proper approval is obtained from the sponsor, when necessary, for non-US persons.
Colleges, Departments, Centers, and Institutes are obligated to conduct appropriate reviews of faculty and staff activities and compliance with funding agency requirements, Federal law and guidance, and Univeristy Policies and Procedures. Policies and procedures should be developed and put in place to monitor faculty compliance with foreign influence disclosures at the college, department, center, and institute level.
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What types of penalties are possible for violations of Research Security?
Penalties related to research security will vary based on the alleged violations. The procedures used to adjudicate allegations will depend on the specific alleged violations. Many research security allegations center on alleged violations of the Conflict of Commitment and Interest Policy, HR Policies, and grants policies specific to a given sponsored project. Each policy has outlined actions for violations that range from minor administrative actions for minor infractions to dismissal, as described by the University of Illinois Statues, as the most severe action. Policies and procedures outline mechanisms for the individual to respond to allegations and for allegations and responses to be reviewed by individuals with no conflict of interest.
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How can an individual or unit learn more about what is needed to adhere to the research security program?
Individuals are encouraged to discuss questions first with their unit executive officer(s).
Colleges, Departments, Centers and Institutes, can learn about the research security program by requesting an Information Session from the Office of Research Integrity or send an email to ori@uic.edu.
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Who can I contact if there are issues related to research security?
If you have any questions related to the research security program, please contact the Research Security Officer (RSO). Until a RSO is named, please contact Associate Vice Chancellor for Research Richard A. Gemeinhart, the Interim Research Security Officer (RSO).