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Department of Defense

Department of Defense. Fundamental Research Guidance. Presented By the Office of Research Integrity & Assurance. Key Issues for Faculty. Foreign Travel to sanctioned countries (Cuba, Iran, North Korea, Syria, Sudan) hand carrying export controlled items (GPS, prototypes, etc.)

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Department of Defense

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  1. Department of Defense Fundamental Research Guidance Presented By the Office of Research Integrity & Assurance

  2. Key Issues for Faculty • Foreign Travel • to sanctioned countries (Cuba, Iran, North Korea, Syria, Sudan) • hand carrying export controlled items (GPS, prototypes, etc.) • controlled technical data (blueprints, engineering designs, etc.) • Shipping Anything to Any Foreign Country • always requires export review • documented export determination (ITAR, EAR, NLR, ECCN, USML) • Receiving Export Controlled Data from Sponsor • requires safeguarding (TCP)

  3. Key Issues for Faculty (cont’d) • Fundamental Research • no sponsor approval needed to publish results • no restrictions on foreign participation • Deemed Exports • non-US persons in the United States • same as exporting to the individual’s country • Restricted Party Screening • government lists of restricted entities and individuals • ASU cannot conduct any type of business with • screen all participants on export controlled research

  4. Department of Defense • Updates: • DFARS 252.204-70XX: Safeguarding Unclassified Information (Proposed Rule, March 2010) • New DFARS Clause 252.204.7008 ( April 2010) • Guidance on Disclosure of Results of Fundamental Research (May 2010) • NSDD-189 • DoD Directive 5230.24 • DoD Directive 5230.27

  5. Basic Safeguarding of Unclassified DoD Information 252.204-7XXX • The potential DFARS changes would revise the prescription for the existing clause at DFARS 252.204-7000 - Disclosure of Information • Two types of safeguarding: Basic and Enhanced • not used in solicitations and contracts for fundamental research unless the requiring activity has identified a validated requirement for access to or generation of DoD information to perform the fundamental research • Proposed Rule March 2010

  6. Export Controlled Items252.204-7008 (April 2010) • Single clause to replace two previous restrictive clauses 252.204-7008 and 252.204-7009 (July 2009) • The Contractor shall comply with all applicable laws and regulations regarding export-controlled items, including, but not limited to, the requirement for Contractors to register with the Department of State in accordance with the ITAR. • If you see previous versions of 252.204-7008 or 7009 export controls contact ORIA

  7. Single Clause Pros and Cons Raises awareness of export controls included in every solicitation and contract 1 2 No DoD assessment of export controls 3 Replaces use of two restrictive export clauses 252.204-7008 and 252.204-7009 4 Easier to flow down 5 Elimination of DoD performance expectations Burden on university to assess export issues not covered by FRE 6 252.204-7008

  8. Guidance on Disclosure of Results of Fundamental Research • (June 2008 and May 2010) • DoD program managers should actively avoid getting their research entangled in export controls or other potential restrictions on public disclosure. • Unclassified contracted fundamental research awards should not become subject to controls under U.S. statutes and regulations, including U.S. export control laws and regulations. • The performance of contracted fundamental research also should not be managed in a way that it becomes subject to restrictions on the involvement of foreign researchers or publication restrictions

  9. NSDD 189 (1985 reaffirmed 2001 and 2010) • National Policy: • the products of fundamental research remain unrestricted • the mechanism for control of information generated during federally-funded fundamental research is classification

  10. DoD Directive 5230.24Distribution Statements on Technical Documents (CDRL’s) • to denote which reports are available for distribution, release, and dissemination • Statement A for public release and unlimited distribution (FRE) • Statements B-F increasing degree restrictions • Statement X is for export controls

  11. DoD Directive 5230.27Presentation of DoD-Related Scientific and Technical Papers • Allows the publication and public presentation of unclassified contracted fundamental research results • Contracted Fundamental Research includes grants and contracts that are • (a) funded by budget Category 6.1 "Research”, whether performed by universities or industry or • (b) funded by budget Category 6.2 "Exploratory Development” and performed on-campus at a university Category 6.3 “Development”fundamental research?

  12. Key Factor of DoD Guidance • Restrictive language of the prime does not need to be flowed down to subcontractors when the sub’s work is FRE • Industry to ASU • ASU to our subcontractors

  13. What Does All This Mean to Faculty? • Easier negotiations with sponsor • Less restrictions on future DoD awards • Sponsor cannot dictate export controls • Fundamental research preserved • Right to publish results of research • No foreign students restrictions

  14. Concerns or Questions About Exports? • Contact ORIA: • Debra Murphy, Director 965-2179 • Candyce Lindsay, Assistant Director 965-8016 • Susan Metosky, Specialist 727-0871 For additional information or forms visit: http://researchintegrity.asu.edu/security

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