Research Policy Analysis and Coordination
Chapter 20-300 Security Matters Which May Arise in Campus Activities
(See Section 20-100 for a definition of what currently is within the scope of the University's security responsibility).
20-310 Contract and Grant Office Perspective
A "classified" agreement (usually a contract) may be: (a) one which actually produces classified results, whether originally intended or not; (b) one which permits the Principal Investigator(s) to have access to classified information (in order to ensure access to full information in the field of work); and/or (c) one which permits the Principal Investigator(s) to visit or pass through a classified facility to reach an unclassifed site (such as found at the shuttle launch site). Therefore, from a Contract and Grant Office perspective, extramurally sponsored agreements are of two general types: those originally intended to be classified (Section 20-311), and those not originally intended to be classified (Section 20-312).
20-311 Agreements Intended to be Classified
The University has longstanding research security relationships with the Department of Defense (DOD) and the Department of Energy (DOE), which enable personnel on University campuses to participate in two separate categories of research activities requiring access to classified information or restricted data:
(1) those DOD, DOE or other Federally-sponsored research activities requiring access to off-campus classified information, materials, and Governmental facilities, where no on-campus classified research results related to the national defense are either intended or produced; or
(2) in some limited cases, those research activities requiring access to classified information, materials, and Government facilities for the performance of classified work in University facilities (generally off-campus) which is actually intended to produce classified results related to the national defense.
Both categories (1) and (2) above are considered classified research under DOD/DOE definitions and would require DOD- or DOE-issued personnel security clearances to the Principal Investigator and any other project personnel involved in the performance of the research. (Refer to Section 20-430 g. and 20-540 a. for definitions of security clearances.) In the case of DOD category (1) or (2) sponsored research, there is an additional requirement that a DOD facility security clearance must be issued to the campus before performance of classified research would be authorized. If the campus elects not to obtain a DOD facility clearance, the classified work cannot be performed in that location. PIs may have to relocate their classified work to a University location that has a facility clearance or arrange to perform the work under a consulting arrangement (see Sections 20-360 and 20-F01 e.) with a cleared external organization or facility. Sections 20-300 through 20-440 summarize the research security requirements for the administration of DOD and DOE classified agreements.
Only those campuses that have received a Department of Defense "facility clearance" are authorized to accept classified agreements. Each such campus has an appointed Security Supervisor who holds a copy of the DOD Industrial Security Manual and the Universitywide Standard Practice Procedure for Safeguarding Classified Information. The campus Security Supervisor and the University Research Security Officer may be consulted on any questions which may arise concerning the administration of classified agreements, or on the campus's option to elect not to continue with the work under a sponsored agreement that has become classified (see Section 20-312). At present the only University units with a facility clearance are Scripps Institution of Oceanography, Office of the President, LLNL and LANSL.
20-312 Classified/Classifiable Information
If information is produced in the course of performing work on an unclassified sponsored project that the PI believes should be classified because its disclosure might adversely affect the security of the United States, the PI should promptly contact the sponsoring agency and request further guidance.
The sponsored agreement may, at that point, become classified even though the agreement document as initially awarded did not bear a classified designation (see Section 20-430). Notification that an agreement has become classified is normally made by the sponsoring DOD agency by means of a "DD Form 254" (see Section 20-F03). When such a notification is issued it becomes, upon acceptance, as much a part of the agreement to which it pertains as does a formal modification. DOE provides notification of classification via a formal contract/grant modification. In the case of both DOD and DOE, the campus has the option to elect not to continue with the work and to terminate the agreement in accordance with local campus policy covering the performance of classified research on or off campus. Whenever a sponsoring agency sends a classification notification to a campus, the campus Contracts and Grants Office should first send a copy to the University Research Security Officer located in the Research Administration Office, Office of the President, who will provide further guidance.
20-313 Inadvertent Possession of Classified Information
If a campus or Office of the President employee inadvertently comes into the possession of classified material, he or she should immediately contact one of the following offices for assistance:
University Research Security Office/OP
DOE/SAN Safeguards & Security Division (415) 423-0140
DOE/LA Safeguards & Security Division (213) 894-2648
FBI/Northern California: (415) 451-9782 (Day); (415) 552-2155 (Evenings)
FBI/Southern California: (415) 477-6565 (24-hr)
The nearest office of the Federal Bureau of Investigation or campus police should be called to retrieve the material for safekeeping and appropriate disposition. Classified material sent outside a cleared facility is required to be wrapped with an inner cover that prominently displays the classification marking, and an outer cover that is plain except for the sender's and receiver's addresses. Thus an unauthorized person opening a package will only realize that it contains classified material after the outer cover is opened. It is this point that the campus police/FBI should be contacted; the inner cover should not be opened. The individual would be considered a security breach requiring a full-scale Federal investigation.
A written report of the incident must be filed with the University's Research Security Officer, who in turn is required to forward the report by the most expeditious means to the cognizant DOE or DOD Investigative Officer.
20-320 University Research Security Requirements
Classified agreements are subject to various research security requirements which are to be implemented in accordance with the University's Standard Practice Procedures for Safeguarding National Security Information (SPP). The University's SPP manual is the basic statement of University policy and procedures on research security management.
Each campus involved in category (1) or (2) type of research (see Section 20-311) will be issued a copy of the University's SPP manual. In addition, each campus involved in category (1) or (2) type of research must issue its own campus SPP manual for local implementation.
20-330 General Responsibilities for University Research Security Matters
The responsibility for coordinating the campus and Office of the President research security program has been assigned to the Research Security Officer located in the Research Administration Office, Office of the President. Campus management designates Research Security Supervisors to administer campus DOD research-related security matters for their campus.
DOE and DOD research security matters for which the University's Research Security Officer has been assigned responsibility (except when assigned to campus Security Supervisors, LLNL, or LANSL) include the following:
--Processing and approving security clearance applications for University of California personnel who have a justified need for a security clearance (see Section 20-340);
--Providing initial and periodic written security briefings to all University personnel who have received security clearances, commensurate with their anticipated exposure to classified or restricted data (see Section 20-F01 f.);
--Processing visit requests for University-cleared individuals requiring access to cleared Government facilities in the performance of their research activities or University duties;
--Processing the termination of security clearances (access authorizations) when no longer required in the course of University employment;
--Modifying the University's Security Agreement with the Department of Defense to add campus locations approved for the performance of classified research;
--Ensuring compliance with the terms of the University's DOD Security Agreement;
--Submitting required reports; and
--Initiating and overseeing campus facility clearances.
20-340 University-sponsored Security Clearances
University-sponsored security clearances are initiated for University employees and Presidential appointees in accordance with the University's Security Agreement with the Department of Defense, and pursuant to fulfillment of the University's contract management responsibilities for LLNL and LANSL and obligations under any other classified extramural award to The Regents. Personnel who are processed for University-sponsored clearances must have a justified need for such clearance in relation to their assigned responsibilities, and consistent with the University's DOD Security Agreement and applicable local campus policies.
LLNL and LANSL security officers are responsible for DOE security clearances at these laboratories, and the SIO security officer is responsible for DOD security clearances at SIO (not the University Research Security Officer).
Faculty who require security clearances in their consulting arrangements must apply for such clearances through the Government Agency or private company for which they are consulting. (See Section 20-360.)
20-341 University of California Regents and Management Personnel
University-sponsored DOD and DOE security clearances are secured for members of the Board of Regents, including the President of the University, Principal Officers and certain other Officers of The Regents, Senior Vice Presidents and certain other Vice Presidents of the University, and selected other Office of the President management personnel. DOD clearances for this group are mandated in accordance with the University's Security Agreement with the Department of Defense which requires that DOD-Secret clearances (see Section 20-430 d.) be secured for all "Owners, Officers, Directors, and Executive Personnel" (OODEPs) of the corporation. Unless excluded, failure by any persons in this OODEP group to be processed for a DOD-Secret security clearance might disqualify the University (all campuses) from the performance of DOD sponsored classified research.
In addition, DOE-Q clearances (see Section 20-530 a.) are required for The Regents and various Office of the President management personnel in fulfillment of their oversight responsibilities for the University's Management and Operating (M& O) contracts with the Department of Energy for LLNL and LANSL. In fulfillment of those responsibilities, The Regents and University management personnel make trips to and receive classified briefings at the above-mentioned laboratories.
20-342 University Committees
University-sponsored DOE-Q clearances are secured for University faculty and outside appointees to the President's Health, Safety, and Environmental Advisory Committee for LLNL and LANSL (HSEAC), and for University faculty and outside appointees to the President's Scientific and Academic Advisory Committees to LLNL and LANSL (SAAC).
On occasion, University-sponsored DOE-Q clearances are required for faculty serving on Academic Senate committees, e.g., the Advisory Committee of the Academic Senate on the University's Relations with the Department of Energy Laboratories.
20-343 Other Individuals and Groups
Other individuals or groups of individuals may be processed for University-sponsored security clearances as the need arises, consistent with requirements under Section 20-340. These may include various University attorneys assigned to the Office of the General Counsel; various internal auditors assigned to the University Auditor's Office; various personnel assigned to the Office of Risk Management; and various personnel assigned to the Office of Technology Transfer. In addition, DOE-Q clearances may be required for various personnel assigned to campus Environmental Health and Safety offices who are part of emergency nuclear hazards control teams that must visit LLNL and LANSL to discuss classified matters or to receive training.
20-350 The Federal Perspective
In accordance with National Security Decision Directive 189 (September 21, 1985) issued by then President Reagan,
It is [U.S.] policy...that, to the maximum extent possible, the products of fundamental research remain unrestricted. It is also [U.S.] policy...that, where the national security requires control, the mechanism for control of information generated during federally-funded research in science, technology and engineering at colleges, universities and laboratories is classification....
Accordingly, when the government needs to control federally-funded research results, it will classify the information; otherwise the information will remain unrestricted. See Section 20-F02 for additional information on Federal laws and regulations related to classification.
20-360 Performance of Classified Work by Faculty, as Consultants to External Organizations
Individual Faculty members may serve on classified projects as consultants to the Federal government, commercial contractors, or other outside organizations. The University does not keep records of these projects, nor follow them. However, such consulting activities are subject to the general requirements of the University's Policy On Outside Professional Activities of Faculty Members, Section 025, Academic Personnel Manual. (See also Chapter 1, Section 1-700 of this Manual.)
It is the normal practice of the University not to sponsor clearances on behalf of faculty or other personnel who require such clearance solely to satisfy outside consulting obligations to external organizations, unrelated to the individual's assigned day-to-day University responsibilities. In such cases, the Government Agency or private company for which the individual is consulting usually must initiate and sponsor the individual's security clearance. There may be exceptions, however, such as Type C consultants (see Section 20-F01 e.) for whom the University may provide support for classified matters. Examples of individuals and groups for which the University initiates and sponsors security clearances are covered in Sections 20-341 through 20-343. Faculty should be reminded that they must have their own approved facility clearance for certain types of classified consulting.