Academic Research Security
The Academic Research Security Compliance and Risk Management Directorate manages academic research security risk mitigation for fundamental and non-classified research activities across the Institute.
Pre-Proposal Review
The Pre-Proposal Review Form (see instructions here) has been designed to streamline the proposal development process by proactively identifying potential contractual obligations with regard to security, compliance, and other considerations. By addressing these elements early, the program supports Principal Investigators and research administrative teams in submitting proposals more efficiently and on time.
The form will ask initial screening questions to gauge if your upcoming research proposal includes any of the following:
Controlled Unclassified Information (CUI)
CUI stands for “Controlled Unclassified Information” and is a category of information controlled by the U.S. government that is sensitive but not classified. If Georgia Tech researchers receive CUI, it must be properly protected to prevent unauthorized disclosure.
All CUI documents should contain “CUI” Headers and Footers clearly identifying it as such; emails should alert you to CUI inclusion in the subject line of the email.
Please select “Yes” if you believe you have or will receive CUI-marked documents. The Academic Research Security Office will be alerted and reach out to assist you with the next steps.
Academic Research Security Plan
Many federal agencies are requiring a Research Security Plan to address internal processes or procedures to address foreign talent recruitment programs, conflicts of interest, research security training, research integrity, cybersecurity, and other national security concerns.
Research Security Plans may include and combine components of Technology Control Plans (TCPs), System Security Plans (SSP), and Data Management Protection Plans.
Please select “Yes” if your project requires any of the plans listed here. The Academic Research Security Office will reach out to assist you with the next steps.
Export Control
Export control regulations are a complex set of federal laws designed to control the transfer of information, technology, software, and services considered to be important to the U.S.
Please select “Yes” if you anticipate any export control restrictions during your project, or if you have received documents containing export control markings. A member of the Export Control Office will reach out to assist you with the next steps.
Foreign/International Collaboration
The U.S. Government created the National Security Presidential Memorandum 33 (NSPM-33) to protect fundamental research by reviewing research projects for conflicts of interest arising from maligned foreign influence. As a result, academic research institutions receiving federal funding should understand affiliations and dealings faculty members may have with foreign governments and entities. Georgia Tech encourages international collaboration and recognizes it is important for faculty to be transparent about foreign activities.
If your project involves collaboration with foreign entities or institutions, please check “Yes” and the Academic Research Security Office and/or Conflict of Interest Office will assist you with the next steps.
Foreign/International Travel
All Institute travel must be authorized in accordance with Institute Travel Authorization Procedures to identify whether technology or information can be taken out of the United States without violating export control laws
Individuals can be held liable for improperly transferring controlled technology, so it is important to work with your Export Control Office before planning foreign travel.
Please click “Yes” if your project includes foreign travel and a member of the export control team will be alerted via a JIRA ticket.
For more information, please contact export@gatech.edu
Request for Fundamental Research Exclusion
Fundamental Research is “basic and applied research … the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research … the results of which ordinarily are restricted for proprietary or national security reasons.”
If your proposal Solicitation or Program Management Team indicates your project will involve CUI or Export Controlled data or technology, but you believe you will be performing fundamental research, a Fundamental Research Exclusion request can be sent to the federal Contracting Officer to remove dissemination restrictions.
If you feel this applies to your project, please click “Yes” and a member of the Office of Sponsored Programs will direct your inquiry to your Contracting Officer who will work with you to submit an exclusion request.
Additional Screening Questions
The form will also ask some initial screening questions on the following topics:
- Funding Source: To determine the relevant regulatory authorities, funding source type is requested - federal, state, industry/corporate, foundation or other.
- Reduced Indirect Rate: To assist PIs, it is helpful to know if the proposed research includes a reduced indirect cost rate.
- Subawards: To expedite negotiation of subawards, information is requested to address administrative, financial and regulatory obligations.
Additional Resources
In addition to the above topics, captured within the form, the following topics may be useful as you prepare your proposal.
Need Assistance?
Office of the Chief Research Operations Officer: CROO@gatech.edu
Academic Research Security Team: research_security@enclave.gatech.edu
Cybersecurity Team: soc@gatech.edu
GTRI Information & Cybersecurity Team: ask.cyber@gtri.gatech.edu
