1. UNM Industrial Security Department
Protecting UNM’s Most Valuable Assets
People
Research/PII
Technology
Reputation
Awards don’t belong to one person
Two teams responsible for this award: KMP’s, Carlos, Adelicia Gunn
I will introduce the other team in a moment.
The Industrial Security Department’s job is to …….
Keep faculty, staff and students out of prison or from having to pay fines they could never afford in their lifetimes.
UNM suffers – contracts under $25,000.
Train faculty how to protect foreign theft of the research that they have spent countless, sleepless nights developing so that they don’t lose the ability to publish and patent.
PII
The technology that UNM is working so hard to protect has military application and saves our lives which is why we can’t have countries who want to hurt the U.S. have it. The men and women in our military count on us to keep them one step ahead.
With regards to our reputation, if we cannot demonstrate that we can protect sensitive information, we will not be awarded contracts and grants from Sandia, LANL, AFRL, MDA, DTRA.

2. NEW MEXICO – A TARGET FOR ESPIONAGE?
Spaceport America + Federal Training Academies
Cleared Companies
White Sands Missile Range
Military Installations
Multi-National Conferences
You are likely to be asking yourself if there is an espionage threat within New Mexico. It certainly is, due to New Mexico being a technology-rich environment . Here are some of the reasons why our state is frequently targeted for acts of espionage.
DoD and National Laboratories
Public Research Universities

3. FOREIGN INTEREST TARGETED TECHNOLOGIES
ARMAMENTS & ENERGETIC
MATERIALS
Missile Systems, Warhead Technologies, Survivability Armor and Warhead Defeat Systems
INFORMATION SYSTEMS
Software/Hardware, Transmission
Systems, Modeling and Simulation, Information Communication Intelligence Systems, Information Security Systems
ALSO INCLUDED
Aeronautics
Space Systems
Marine Systems
Materials
Guidance/Navigation/Vehicle
SENSORS & LASERS
Laser, Optics, Optical Material and Processes, Radar, Imagery, Electro-
optic/night-vision devices,
Acoustic Sensors.
ELECTRONICS
Microelectronics, Fabrication equipment, Electronic Materials, Components/Microwave Tubes,
Microelectronics, Nanoelectronics

4. WHY DOES UNM WORRY ABOUT OUR RESEARCH? Key Management Personnel
President
HSC Chancellor
Provost
FSO
Purple Arrow (NMCIWG)
DSS
FBI
HSI
DTRA
OSI (Air Force)
NCIS (Navy and Marines)
902nd Military Intelligence (Army)
SNL, LANL
U.S. Attorney’s Office
Why Does UNM Need An FSO?
FSO For Main And HSC
TS Facility Clearance
UNM is a Cleared Defense Contractor (CDC)
CDC’s Must Follow National Industrial Security Program (NISP) Regulations
Conduct Self-inspections Prior To Annual Security Vulnerability Assessments
Liaison With Federal Agencies (DOD-DSS, FBI, DHS)
Liaison With SNL, LANL, AFRL, DTRA….
It is natural for faculty at a university to be requested to submit papers or speak at an international conference; requests to review theses, receive postdoc applications, requests from FN to tour facilities at UNM where sensitive research is being conducted
But when those unsolicited requests come from embargoed or high risk countries soliciting information on top targeted technologies, that is when they become suspicious.
Police officer for 25 years before I became an FSO 7 years ago. Which is why, if this award wasn’t so beautiful, I would take a hammer and chisel to this and give each one of the following people a piece of it. These people taught me everything I know and it gives me comfort that each one of them is just a phone call away.
Other Universities have contacted me to ask what our secret is. It comes down to two things: Trust and SA Jeanette Salazar Green’s Purple Arrow Group. I have never seen teamwork, sharing of information and communication among Federal agencies work this cohesively. I don’t know how you do it Jeanette, but it is brilliant.
My DSS rep for the last 6 years was Patricia “the hammer” Bourgouyne. Superior rating. Goal to prove her wrong. UNM has had 3 consecutive superior ratings.
My new rep is Juan Carrillo. Responsive. Statue on table during the inspection.
Although thank God we don’t have classified computers to worry about, Sam Losee is always willing to answer our cyber questions.
Jeremy Arellano from Homeland Security is our go to guy for Export Control issues.
The two people I work the closest with are Paul Godlewski, my DSS CI rep and Margarita Brito, Special Agent from the FBI.
The suspicious contacts that I report to DSS come from my faculty and students. Not sneaking around campus.
Paul and MB train them annually how to read their gut.
I trust they carefully address what I send, but most importantly, the faculty and students trust them.
Paul doesn’t end our conversations with goodbye, he says “Hey, I’m here for you.” He sincerely means that.

5. Contact 505-277-2058 or 277-2968 for assistance
PUBLISH or PERISH
Protecting your research ensures that the work you have dedicated your life to is appropriately credited to you and not published or patented by other scientists or governments because your ideas or intellectual property were stolen either by a simple phishing or while presenting at an international conference whether overseas or in the United States.
You may be working on 6.1 research that has not yet been determined to be classified or export controlled information because potentially has military application.
The Industrial Security Department is responsible for helping faculty, staff, and students with the security measures necessary to safeguard Classified, Sensitive, Intellectual Property, Export Controlled information, Controlled Unclassified Information (CUI) and Personal Identifiable Information (PII).
Contact or for assistance

6. INSTITUTIONAL CHALLENGE
FINDING A BALANCE
Research and Science
Protection of US Interests
Economic Advantage
Military
Advantage
National Security
Dissemination of Knowledge
Openness
Innovation
We understand groundbreaking research requires collaboration, overseas travel and sharing of knowledge. But there are limits and we work closely with faculty to interpret the boundaries that cannot be crossed.
I want to assure you that research can thrive despite the rules and regulations we must live under.

7. WHY ARE CI & SECURITY IMPORTANT TO A UNIVERSITY?
CONTRACTS
ENTRUSTED WITH DOD / ANOTHER COMPANY’S:
-- INTELLECTUAL PROPERTY PII (CUSTOMER, EMPLOYEE)
-- PROPRIETARY
YOUR
UNIVERSITY
UNIVERSITY OWNED
INTELLECTUAL PROPERTY
PROPRIETARY FORMULAS
PROPRIETARY TECHNOLOGIES
EXPORT CONTROLLED
PII (CUSTOMER, EMPLOYEE)
NATIONAL SECURITY
CLASSIFIED / CUI / FOUO / PII
DEFENSE TECHNOLOGIES
6.1 RESEARCH THAT BECOMES BATTLEFIELD TECHNOLOGIES

8. Universities are awarded a large number of basic research grants;
ACADEMIA CHALLENGES
Compared against a typical U.S. cleared company, academic institutions/faculty members typically have a higher volume of contact with foreign nationals
Inbound
Personnel (Students)
Symposia
Invites
Travel
Outreach
Universities are awarded a large number of basic research grants;
however, participants sometimes forget that their research may have military application
DoD 6.1 Research
Military Application

9. ACADEMIC SOLICITATION
Fastest growing method of stealing your research
What is Academic Solicitation?
Use of students, professors, scientists or researchers to improperly attempt to obtain sensitive or classified information through unsolicited requests for peer or scientific board reviews of academic papers or presentations; requests to study or consult with faculty members; requests for access to software and dual use technology.
It is difficult to discern the legitimate contacts from nefarious attempts to gain access to information
Who is being targeted?
Subject matter experts teaching technical courses
Faculty and students conducting classified and Export Controlled research on behalf of a US Government sponsor
Faculty, students, and subject matter experts with unclassified work published in scientific or technical journals or presented at international science conferences both outside and inside the US.
What is being targeted?
Classified, sensitive, or export restricted basic and applied research
Developing defense or dual use technologies

10. Top Method of Operation:
Academic Solicitation
Targeted Technologies
Electronics
Aeronautic systems,
Software
Marine systems

11. POTENTIAL CONSEQUENCES
It is imperative for academics to be familiar with, and comply with the laws, regulations, and procedures governing the restrictions of sharing classified, or export controlled technologies and information with foreign students or academics. Imprisonment (10 years per violation) Fines ($1 Million per violation) Denial of Export Privileges Loss of contracts above the $25,000 threshold Career in Ruins The type of enforcement action depends primarily on the nature and scope of the violations

12. ACADEMIA ESPIONAGE CASES
TAKASHI OKAMOTO [Economic Espionage]
Spied for a Japanese company
Lerner Research Institute (LRI) of the Cleveland Clinic Foundation
Chief of a LRI team conducting Alzheimer’s research
Stole research material, destroyed/sabotaged related materials
Aug 1999: Okamoto fled to Japan, who refused to extradite him to U.S.
HIROAKI SERIZAWA [Economic Espionage]
Co-conspirator with TAKASHI OKAMOTO
Kansas University Medical Center, Kansas City, KS
Molecular Biologist ( )
Plea agreement: 3 years probation, fine + community service
This theft ended the employer’s Alzheimer’s disease research ($2.5mil)

13. ACADEMIA EXPORT CONTROL VIOLATIONS
THOMAS BUTLER [Export Control Violations]
Texas Tech University; Professor, a leading researcher on plague
Illegally transporting biohazards to Tanzania and not reporting the holdings to Texas Tech
Transported plague samples
Charged with 69 felonies and faces more than 400 years in jail
REECE ROTH [Export Control Violations]
Spied for China ( )
University of Tennessee; Professor, Electrical Engineering and Computers
Honorary professorship at Shenzhen Campus, Tsinghua University
Provided export controlled data a Chinese and Iranian student
1 Jul 2009: sentenced to 48 months in prison, 2 years supervision
DANIEL SHERMAN [Export Control Violations]
Co-conspirator with Reece Roth; spied for China ( )
Linked to University of Tennessee’s Plasma Sciences Laboratory
Conspired with Reece to illegally export data to China
10 Aug 2009: Sentenced to 14 months in prison

14. SUSPICIOUS CONTACT REPORTING
Report all unexpected contacts and requests for:
Lecture overseas or in U.S. at an international conference
Host a foreign national visit
Review a CV for possible employment/study opportunity
Relationship outreach
Request for information
Review a thesis or conduct peer research
Ensure all sales and marketing requests are handled per company policy.
Improper sales and marketing requests could easily circumvent export control policies and/or government regulations.
Frequent international traveler, be wary of repeat accommodations. Collectors will place individuals in rooms that are “bugged” or otherwise under some type of surveillance.

15. FOREIGN TRAVEL VULNERABILITY
You can be the target of foreign intelligence at any time or any place but the risk is greater when you travel overseas.
Many hotel rooms overseas are searched and under surveillance
In a world where reliance on technology continues to grow, foreign entities have increased the targeting of laptops and cell phones
Conversations on your laptop and cell phones may be monitored
Installation of malicious software on computers
Get through crowded areas as quickly as possible (i.e. airports, etc.)

16. TIPS FOR FOREIGN TRAVEL
Leave unneeded electronic devices at home
Remove all sensitive or exploitable information
Use temporary addresses not associated with UNM
Perform an anti-virus scan prior to departure and upon return
Encrypt data, hard drives and storage devices whenever possible
If they take your computer out of your sight at customs, assume your computer has been compromised
Do not take thumb drives at conferences
Get a travel briefing from Industrial Security prior to departure

17. FOREIGN TRAVEL BRIEFINGS
Country specific
Country prohibitions (Iran)
Export Control Precautions
Export Control Memo’s for equipment
Licenses (Cuba)
Safety and Security
Health Recommendations/Health Insurance
Classified/Unclassified

18. CONFERENCES AND TRADE SHOWS VULNERABILITES:
WHETHER OVERSEAS OR WITHIN THE U.S.
Elicitation:
Strategic use of conversation to subtly extract information about you, your work, and your colleagues
Never underestimate the value of the information you are sharing
Collectors pose as attendees, exhibitors, or scientists.
Reportable behaviors you may experience:
Offers to act as a foreign sales agent
Steering conversations or insistent questioning outside scope
Taking excessive photographs of systems displayed at presentation or boots
Asking personal questions to build a relationship for follow-up s and on-going contact
Multiple individuals simultaneously asking questions

20. CYBER SECURITY REMINDERS
Phishing s are looking more real - IT blocks
1-3 million phishing/spam s daily
Do not click on links or attachments from suspicious looking s
Hover over links or return paths to determine real destination
Look for a sense of urgency, spelling errors, poor grammar, warning that you have been a victim of fraud
Use same precautions on your mobile device as you would on your computer – download anti-virus software
Rule of thumb: Anytime you are asked for personal information, username or your password – it is a scam
Forward to so Information Security can prevent others from getting it.

21. WHAT IS YOUR FIRST CLUE?
What is your first

22. This is a real UNM employee!
Why would I need a link to my own ?
UNM IT will not send links!
Misspelling of common words

23. DON’T MAKE YOURSELF A TARGET
Never advertise your clearance or sensitive research to anyone, including your friends, neighbors, or family.
80% of adversaries’ information is collected through open sources
Why are open sources valuable? They can piece the puzzle together…
Why are you ignoring the green wire?
Foreign national visitors
Social networking sites (LinkedIn, Facebook, Twitter)

24. INDUSTRIAL SECURITY & EXPORT CONTROL
Services
Ensure Research Is Conducted Through Compliance With Federal Laws
Consult With Faculty Who Are Considering Whether Or Not To Become Involved In Controlled Work
Oversee Classified And Export Controlled Contracts To Ensure Compliance
International Travel Briefings
Security Training
Information Protection
Security Clearances
Develop Technology Control Plans (TCP’s) For Export Controlled Research IT
Office of Sponsored projects
Purchasing
Surplus
GEO
Office of Graduate Studies

25. Only university to receive both awards
Cogswell Award
In 2016, UNM received the Cogswell and Counterintelligence Awards from the Department of Defense.
Only university to receive both awards
Last 4 DOD security inspections – SUPERIOR rating
Boast to get more Government contracts
Cogswell Award
Counterintelligence Award

26. OTHER TRAINING OFFERED
Office of Industrial Security
Active Shooter/Workplace Violence
Cyber Security – Phishing: How Not To Become a Victim of Fraud
Social Networking Security
Laptop and Cell phone Security
International Travel Security
Identity Theft
Deb Kuidis
Office of Export Control
Export Controls and Academic Research
International Research and Collaboration
Export Control Scenarios
Export Controlled University Property (purchasing and surplus)
Export Controlled Software
Performing Controlled Research
Protecting Controlled Unclassified Research (CUI)
Krista Laybourne