{"id":1371,"date":"2016-11-18T15:40:05","date_gmt":"2016-11-18T23:40:05","guid":{"rendered":"https:\/\/www.washington.edu\/research\/?page_id=1371"},"modified":"2023-09-15T11:11:26","modified_gmt":"2023-09-15T18:11:26","slug":"classified-or-restricted-research","status":"publish","type":"page","link":"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/","title":{"rendered":"Classified or Restricted Research"},"content":{"rendered":"<p>Sponsors may impose restrictions on personnel, access to facilities, or information sharing. A Principal Investigator needs to receive <a href=\"http:\/\/www.washington.edu\/faculty\/councils\/fcr\/\" target=\"_blank\" rel=\"noopener noreferrer\">Faculty Council on Research (FCR)<\/a> approval before the University enters into a restricted research agreement.<\/p>\n<p>Review:<\/p>\n<ul>\n<li><a href=\"http:\/\/www.washington.edu\/admin\/rules\/policies\/PO\/EO8.html\" target=\"_blank\" rel=\"noopener noreferrer\">UW EO on Classified, Proprietary and Restricted Research<\/a><\/li>\n<li><a href=\"http:\/\/www.washington.edu\/admin\/rules\/policies\/APS\/02.05.html\" target=\"_blank\" rel=\"noopener noreferrer\">UW APS on Information Security and Privacy Policies and Standards<\/a><\/li>\n<\/ul>\n<p>Pay close attention to the Request for Proposal where it lists\u00a0the classified or restricted research requirements. These requirements will have <a href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/setup\/sponsor-requirements\/federal\/#contracts\" target=\"_blank\" rel=\"noopener\">implications for setting up and managing the project<\/a>,\u00a0including budget impacts.<\/p>\n<p>If awarded, federal regulation requires plans and metrics for restricted research with Homeland Security Presidential Directive 12 (<a href=\"https:\/\/www.dhs.gov\/homeland-security-presidential-directive-12\" target=\"_blank\" rel=\"noopener noreferrer\">HSPD-12<\/a>), Federal Information Processing Standards (<a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FIPS<\/a>), and\/or Federal Information Security Management Act (<a href=\"https:\/\/www.dhs.gov\/fisma\" target=\"_blank\" rel=\"noopener noreferrer\">FISMA<\/a>). These plans must be in place within as little as 30 days after receipt of the award.<\/p>\n<h2>Classified Research<\/h2>\n<p>When personnel need to access classified information or facilities, the research must receive additional review and approval through the <a href=\"http:\/\/www.washington.edu\/faculty\/councils\/fcr\/\" target=\"_blank\" rel=\"noopener noreferrer\">Faculty Council on Research (FCR)<\/a> and the <a href=\"mailto:uwfso@uw.edu\">University Facility Security Officer (FSO)<\/a>. Project personnel must obtain security clearance through the <a href=\"mailto:uwfso@uw.edu\">FSO<\/a>.<\/p>\n<p>Review more information on <a href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/setup\/compliance-requirements-non-financial\/classified-research\/\" target=\"_blank\" rel=\"noopener noreferrer\">handling classified information<\/a> at set up.<\/p>\n<div id=\"uw-accordion-shortcode\">\n<div class=\"js-accordion\" data-accordion-prefix-classes=\"uw-accordion-shortcode\">\n<div class=\"js-accordion__panel\" >\n<h2 class=\"js-accordion__header\">Review Federal Classified Information Categories and Requirements<\/h2>\n<table>\n<tbody>\n<tr>\n<th scope=\"col\">\n<h4>Description<\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>Information Type<\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>What you may see.<br \/>\n<i>Security Requirements<\/i><\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>Compliance Requirement<\/h4>\n<\/th>\n<\/tr>\n<tr>\n<th scope=\"row\">U.S. Government<br \/>\nCompartmentally Classified Programs\/Projects<\/th>\n<td>Classified (Compartmented)<\/td>\n<td><a href=\"https:\/\/www.federalregister.gov\/documents\/2010\/01\/05\/E9-31418\/classified-national-security-information\" target=\"_blank\" rel=\"noopener noreferrer\">E.O. 13526<\/a>; DoD5220.22-SUP<\/td>\n<td><a href=\"http:\/\/fas.org\/sgp\/library\/nispom_dod_overprint_rev1.pdf\" target=\"_blank\" rel=\"noopener noreferrer\">DoD5220.22-SUP<\/a><\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">National Industrial Security Program (NISP)<br \/>\nClassified Programs\/Projects<\/th>\n<td>Classified (Collateral\/Genser)<\/td>\n<td><a href=\"https:\/\/www.federalregister.gov\/documents\/2010\/01\/05\/E9-31418\/classified-national-security-information\" target=\"_blank\" rel=\"noopener noreferrer\">E.O. 13526; <\/a>DoD5220.22-M<\/td>\n<td><a href=\"http:\/\/www.dss.mil\/isp\/fac_clear\/download_nispom.html\" target=\"_blank\" rel=\"noopener noreferrer\">DoD5220.22-M<\/a><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/div>\n<\/div>\n<\/div>\n<h2>Human Subjects Research<\/h2>\n<p>Research that involves human subjects and is classified for reasons of national security raises special issues for IRB review and for the process of obtaining informed consent, particularly with respect to the level of disclosure and waivers of informed consent.<\/p>\n<p>Consult with the Human Subjects Division (HSD) in advance before submitting your proposal, to ensure that the UW IRB will be able to meet the special requirements of classified research.<\/p>\n<p>To consult, and\/or to request a Letter of Support from HSD, send an email to <a href=\"mailto:hsdinfo@uw.edu\">hsdinfo@uw.edu<\/a>.<\/p>\n<h2><a name=\"cui\"><\/a>Controlled Unclassified Research<\/h2>\n<p>Classified research is not the only reason a project may be considered restricted. Restrictions on personnel, information sharing (controlled unclassified information &#8211; CUI) or access to campus facilities for national security purposes is also restricted research.<\/p>\n<p>Sponsors may have other requirements which must be in place to receive funding when CUI is involved. For example, the Department of Defense has a Cybersecurity Maturity Model Certification requirement for specific DoD contracts that handle CUI. Review more information on <a href=\"https:\/\/washington.edu\/research\/announcements\/dod-contracts-prep-cybersecurity-requirements\/\" target=\"_blank\" rel=\"noopener\">Preparing for DoD Contract Cybersecurity Requirements at the UW<\/a>.<\/p>\n<div id=\"uw-accordion-shortcode\">\n<div class=\"js-accordion\" data-accordion-prefix-classes=\"uw-accordion-shortcode\">\n<div class=\"js-accordion__panel\" >\n<h2 class=\"js-accordion__header\">Review Federal Non-Classified Information Categories and Requirements<\/h2>\n<table>\n<tbody>\n<tr>\n<th scope=\"col\">\n<h4>Description<\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>Information Type<\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>What you may see.<br \/>\n<i>Security Requirements<\/i><\/h4>\n<\/th>\n<th scope=\"col\">\n<h4>Compliance Requirement<\/h4>\n<\/th>\n<\/tr>\n<tr>\n<th scope=\"row\"><b>Export Controlled Information<\/b><\/th>\n<td>Certain unclassified government info under government&#8217;s cognizance that, if generated by private sector, would require a specific license or authorization for export under regulations.<br \/>\nInformation and technology regulated by Export Administration Regulations, 15 CFR Parts 742, 744, and 746, and the International Traffic in Arms Regulations, 22 CFR 120.21.<\/td>\n<td>USC Titles:<br \/>\n7, 8, 10, <b>15, <\/b>17, 19, 21, <b>22<\/b><\/td>\n<td><a href=\"https:\/\/www.dhs.gov\/homeland-security-presidential-directive-12\" target=\"_blank\" rel=\"noopener noreferrer\">HSPD-12<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FIPS<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FISMA<\/a><\/td>\n<\/tr>\n<tr>\n<th scope=\"row\"><b>Controlled Unclassified<br \/>\nInformation <\/b>(<b>CUI<\/b>)<\/th>\n<td>Unclassified government info requiring safeguarding or dissemination controls pursuant to and consistent with applicable law, regulations and government-wide policies.<br \/>\n23 CUI Categories.<b>The\u00a0<a href=\"https:\/\/www.archives.gov\/cui\/registry\/category-list.html\" target=\"_blank\" rel=\"noopener noreferrer\">CUI registry<\/a><\/b><b> lists more details and the 84 subcategories.<\/b><\/td>\n<td><a href=\"https:\/\/www.whitehouse.gov\/the-press-office\/2010\/11\/04\/executive-order-13556-controlled-unclassified-information\" target=\"_blank\" rel=\"noopener noreferrer\">E.O. 13556<\/a><\/td>\n<td><a href=\"https:\/\/www.dhs.gov\/homeland-security-presidential-directive-12\" target=\"_blank\" rel=\"noopener noreferrer\">HSPD-12<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FIPS<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FISMA<\/a><\/td>\n<\/tr>\n<tr>\n<th scope=\"row\"><b>Family Educational Rights &amp; Privacy Act <\/b>(<b>FERPA<\/b>)<b> Information<\/b><\/th>\n<td>Any individually identifiable educational info and records held by educational institutions transmitted by or maintained in electronic media; or transmitted by or maintained in any other form or medium.<\/td>\n<td>Title 20USC, Part 1232g.<\/p>\n<p>34CFR, Part 99<\/td>\n<td><a href=\"https:\/\/www.dhs.gov\/homeland-security-presidential-directive-12\" target=\"_blank\" rel=\"noopener noreferrer\">HSPD-12<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FIPS<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FISMA<\/a><\/td>\n<\/tr>\n<tr>\n<th scope=\"row\"><b>Health Insurance Portability &amp; Accountability Act <\/b>(<b>HIPAA<\/b>)<br \/>\n<b>PHI Information<\/b><\/th>\n<td>Any individually identifiable health info transmitted by or maintained in electronic media; or transmitted by or maintained in any other form or medium.<\/td>\n<td>45CFR 160.103<\/td>\n<td><a href=\"https:\/\/www.dhs.gov\/homeland-security-presidential-directive-12\" target=\"_blank\" rel=\"noopener noreferrer\">HSPD-12<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FIPS<\/a>;<\/p>\n<p><a href=\"http:\/\/csrc.nist.gov\/publications\/index.html\" target=\"_blank\" rel=\"noopener noreferrer\">FISMA<\/a><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/div>\n<\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>Sponsors may impose restrictions on personnel, access to facilities, or information sharing. A Principal Investigator needs to receive Faculty Council on Research (FCR) approval before the&#8230;<\/p>\n<div><a class=\"more\" href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/\">Read more<\/a><\/div>\n","protected":false},"author":123,"featured_media":0,"parent":250,"menu_order":5,"comment_status":"closed","ping_status":"closed","template":"templates\/page-builder-lifecycle.php","meta":{"_acf_changed":false,"footnotes":""},"class_list":["post-1371","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v24.0 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Classified or Restricted Research - UW Research<\/title>\n<meta name=\"description\" content=\"Classified or restricted research\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Classified or Restricted Research - 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