UPPS 02.02.13 - Research Security Program

POLICY STATEMENT

Texas State University is committed to the highest standards of integrity and compliance by ensuring the protection and security of research data and intellectual property in accordance with ethical, legal, regulatory, contractual, and system requirements.

1. SCOPE

   1. Texas State University maintains a research security program to protect and secure intellectual property and research data, prevent research misconduct, and mitigate the risks related to research security and foreign interference. The Research Security Program promotes transparency and guards against conflicts of interest and commitment, provides training and information on research security, and implements processes to assess and manage potential risks associated with collaborations and data. The program includes elements of cybersecurity, foreign travel security, research security training, export control training, and annual reporting of foreign financial support.

2. STATE AND FEDERAL REGULATIONS

   1. Federal and state governments and granting agencies have identified foreign influence as a significant risk within higher education research. In some cases, foreign governments, institutions, and researchers have misused their involvement in the research community to compromise United States national and economic security, resulting in the loss of research funding, loss of export privileges, and civil or criminal penalties, including imprisonment.

   2. The provisions of this policy, established by the Education Code Section 51.956, are the guiding principles for promoting an organizational culture of compliance with state and federal requirements (e.g., NSPM 33; CHIPS and Science Act, 2022; SB No. 1565; and GA-48).

3. RESPONSIBLITILIES

   1. The Division of Research, in coordination with Information Security Office (ISO), is responsible for the governance of classified information, controlled unclassified information, oversight of the university’s secure computing enclave, foreign influence reporting, and export control.

   2. In its commitment to the highest standards of integrity and regulatory compliance in safeguarding its research portfolio, Texas State has appointed the associate vice president for Research as the acting Research Security Officer (RSO). The RSO reports to the vice president for Research and will be responsible for:

      1. facilitating the implementation of the federal and state requirements related to research security;

      2. ensuring that investigators and academic units have the relevant information regarding the rapidly changing landscape for international activities and research security;

      3. conducting initial and ongoing risk assessments for securing sensitive research information and take action to mitigate institutional risks;

      4. developing, implementing, and providing oversight of policies, procedures, and associated research security training;

      5. developing and implementing procedures for monitoring and incident reporting involving research security-related compliance;

      6. identifying and overseeing any university employee association with malign foreign talent programs;

      7. attending academic security and counter exploitation program educational events; and

      8. advising the Division of Research, Office of the President, and the Information Security Office on matters related to research security.

   3. All principal investigators, co-investigators, and key personnel listed on any externally funded research award have the following responsibilities as part of the institution’s Research Security Program:

      1. adhere to all policies related to UPPS No. 02.02.07, Researcher Conflicts of Interest in Research and Sponsored Program Activities; UPPS No. 02.02.08, Conflicts of Commitment in Research and Sponsored Program Activities; UPPS No. 02.02.10, Export Control Laws and Regulations; and UPPS No. 04.04.06, Outside Employment and Activities; and

      2. complete all required training as requested.

4. RELATED MATERIALS

   1. The Research Security website provides a comprehensive overview of individual and institutional responsibilities and general information.

   2. UPPS No. 02.02.07, Researcher Conflicts of Interest in Research and Sponsored Program Activities

   3. UPPS No. 02.02.08, Conflicts of Commitment in Research and Sponsored Program Activities

   4. UPPS No. 02.02.10, Export Control Laws and Regulations

   5. UPPS No. 04.04.06, Outside Employment and Activities

   6. CHIPS and Science Act

   7. Education Code Section 51.956

   8. NSPM 33

   9. SB No 1565

   10. GA-48

5. REVIEWERS OF THIS UPPS

   1. Reviewers of this UPPS include the following:

      Position	Date
      Associate Vice President for Research	Oct 1 E5Y
      Director, Research Integrity and Compliance	Oct 1 E5Y
      Chief Information Security Officer	Oct 1 E5Y

6. CERTIFICATION STATEMENT

   This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedure from the date of this document until superseded.

   Associate Vice President for Research; senior reviewer of this UPPS

   Vice President for Research

   President