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.) –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)

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

Department of Defense Updates: –DFARS XX: Safeguarding Unclassified Information (Proposed Rule, March 2010) –New DFARS Clause ( April 2010) –Guidance on Disclosure of Results of Fundamental Research (May 2010) NSDD-189 DoD Directive DoD Directive

Basic Safeguarding of Unclassified DoD Information XXX The potential DFARS changes would revise the prescription for the existing clause at DFARS 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

Export Controlled Items (April 2010) Single clause to replace two previous restrictive clauses and (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 or 7009 export controls contact ORIA

No DoD assessment of export controls Replaces use of two restrictive export clauses and Raises awareness of export controls included in every solicitation and contract Easier to flow down Elimination of DoD performance expectations Burden on university to assess export issues not covered by FRE Single Clause Pros and Cons

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

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

DoD Directive Distribution 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

DoD Directive Presentation 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?

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

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

Concerns or Questions About Exports? Contact ORIA: – Debra Murphy, Director – Candyce Lindsay, Assistant Director – Susan Metosky, Specialist For additional information or forms visit: