Transcript COI for PIs Briefing

Export Controls –
Export Provisions in
Research Agreements
NCURA
Regional Spring Meeting
April 27, 2008
Fundamental Research Exclusion
• Information is ordinarily published and
shared broadly within the scientific
community
• Distinguished from proprietary research
and from industrial development,
design, production, and product
utilization
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Fundamental Research Exclusion
• Does not apply to research performed
under national security controls
– Prepublication review with a right to
withhold permission for publication
– Restrictions on prepublication
dissemination of information to non-U.S.
citizens
– Restrictions on participation of non-U.S.
citizens in the research
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AFRL Clause
“Generally, only United States citizens
and permanent resident aliens are
eligible to be participating faculty under
this Agreement. Exceptions will be
determined by AFRL/MN on a case-bycase basis.”
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DOD Clause 252.204-70000
“(a) The Contractor shall not release to
anyone outside the Contractor’s organization
any unclassified information, regardless of
medium (e.g. film, tape, document),
pertaining to any part of this contract or any
program related to this contract, unless
(1) The Contracting Officer has given prior
written approval; or
(2) The information is otherwise in the
public domain before the date of release
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DOD Clause 252.204-70000
(b) Requests for approval shall identify the
specific information to be released, the
medium to be used, and the purpose for the
release. The Contractor shall submit its
request to the Contracting Officer at least 45
days before the proposed date for release.
(c) The Contractor agrees to include a similar
requirement in each subcontract. . . .”
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FAA Clause
“The Associate Administrator for Civil Aviation
Security must review all research results
related to civil aviation security prior to
release to the general public. This includes
such items as dissertations, theses, archival
and conference technical papers, technical
reports, etc. This requirement is to
determine if the results contain information
that may assist terrorists in undermining
established security systems.
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FAA Clause
Information must be submitted by the
grantee to the FAA Technical Monitor, whom
then forwards the information
to. . . .
Within 30 days of receipt by the FAA technical
monitor, a notice of approval, declination, or a
request for modification of the publication will
be provided by the Office of Civil Aviation
Security. . . .”
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DARPA Clause G-9000
“There shall be no dissemination or
publication, except within and between the
Contractor and any subcontractors, of
information developed under this contract or
contained in the reports to be furnished
pursuant to this contract without prior written
approval of the Contracting Officer
Representative (COR). All technical reports
will be given proper review by appropriate
authority to determine which Distribution
Statement is to be applied prior to the initial
distribution of these reports by the
Contractor.
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DARPA Clause G-9000
Papers resulting from unclassified contracted
fundamental research are exempt from
prepublication controls and this review
requirement, pursuant to DoD Instruction
5230.27 dated October 6, 1987.”
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Army Clause – Foreign Nationals
Performing under Contract
In accordance with 8 USC 1324a, it is unlawful to hire
for employment in the US an individual without
verifying that individual's employment authorization.
8 CFR 274a.2 VERIFICATION OF EMPLOYMENT
ELIGIBILITY identifies the official documents that
establish employment eligibility.
Prior to performance of work by a foreign national as
a result of this contract, the employer shall provide
the Contracting Officer the name of the foreign
national and identify the type of form (s) produced
for verification of employment status.
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Army Clause – Foreign Nationals
Performing under Contract
Should the foreign national's performance require
access to DoD facilities, the employer shall coordinate
with the sponsor providing access, in order to submit
the following:
1.
2.
3.
4.
5.
6.
Individual's Name
Citizenship
Date and Location of the Visit
Purpose of the Visit
Passport Number
Employer's Verification of Work Authorization
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DFARS Airforce Clause 5352.2279000 (Export Controlled Data Restrictions)
“Equipment and technical data generated or
delivered under this contract are controlled by the
International Traffic in Arms Regulation (ITAR), 22
CFR Sections 121 through 128. An export license is
required before assigning any foreign source to
perform work under this contract or before granting
access to foreign persons to any equipment and
technical data generated or delivered during
performance (see 22 CFR Section 125). The
Contractor shall notify the Contracting Officer and
obtain written approval of the Contracting Officer
prior to assigning or granting access to any work,
equipment, or technical data generated or delivered
under this contract to foreign persons or their
representatives.
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DFARS Airforce Clause 5352.2279000 (Export Controlled Data Restrictions)
The notification shall include the name and country
of origin of the foreign person or representative, the
specific work, equipment, or data to which the
person will have access, and whether the foreign
person is cleared to have access to technical data
(DoD 5220.22-M, National Industrial Security
Program Operating Manual (NISPOM)).”
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Confidentiality Clause
Should Sponsor deem it necessary to disclose
information considered confidential and/or
proprietary by it to University, it will be clearly
marked by Sponsor, in writing, as “Confidential
Information”. Except as required by law, University
will use reasonable efforts to avoid disclosure of such
confidential information for a period of three (3)
years from the date of disclosure. This obligation
does not apply to information that was known to
University prior to its receipt from Sponsor, that is
independently developed by the University, or
becomes known at any time to third parties through
no fault of University.
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Confidentiality Clause - Amended
Because University is an institution of higher
education and has many foreign persons who
are students and employees, the University
intends to conduct the project [as
fundamental research under the export
regulations.] OR [such that the technical
information generated by University qualifies
as public domain under ITAR 120.10(5) and
120.11 or as publicly available under EAR
15CFR734.(b)(3) and 734.7 through 734.11.]
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Confidentiality Clause - Amended
In the event such Confidential Information is
determined by Sponsor to be export
controlled, University reserves the right to
elect not to receive such export controlled
information and a plan for receipt, use, and
dissemination of such export controlled
confidential information must be developed
and agreed to by University prior to such
disclosure.
[Plus right to terminate]
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