REPORTING REQUIREMENTS INVOLVED IN FOREIGN AFFAIRS RESEARCH (U)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86B00985R000200040020-5
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 12
• Document Creation Date: December 19, 2016
• Document Release Date: October 5, 2005
• Sequence Number: 20
• Publication Date: April 27, 1981
• Content Type: MF

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NFAC #2473/81
27 April 1981
P1EMORANDUM FOR: See Distribution
FROM Coordinator for Academic Relations, NFAC
SUBJECT Reporting Requirements Involved in Foreign
Affairs Research
1. As each addressee is aware, I have been contacting you every
three months over the past year for contributions to the quarterly
report for the State Department on external contracts negotiated by
this Agency in the field of Foreign Affairs Research (FAR). Some of
you are probably well aware of the history of this program but others
may have become involved only recently and could be unaware of some of
the requirements involved. For the latter, in particular, I am attaching
a copy of the Department's most recent edition of its policies and
procedures statement and a copy of the Agency's 0 which attempted
to outline our reporting responsibilities as they existed in 1969. ~~
2. Please note in particular:
a. That the program is mandated by Presidential
directive and a memo from the Special Assistant to the
President for National Security Affairs--it is not
voluntary (II.,A);
b. That only external contracts are involved--no
in-house products;~-
c. That there is a working definition from the State
Department of FAR (see Annex 1) which has varied little
over the last several years.
d. That this Agency must seek review and clearance
of all FAR projects (1) involving foreign travel or contact
with foreign nationals in the US or abroad or (2) when a
project may have potential adverse effects on US foreign
relations (IU.,A);
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NFAC #2473/81
SUBJECT: Reporting Re uirements Involved in Foreign Affairs
Research
e. That the request for review and clearance must be
submitted before a contract is signed or grant awarded
f. That all FAR contracts, whether reviewed or not,
must be reported to the Department on a quarterly basis,
i.e., at the end of the quarter in which the contract is
initiated. (-This of course, is the basis for my quarterly
queries to you).
3. You should be aware of another decision from the Coimptroller of
CIA: all funding information for CTA external research contracts on
foreign affairs is classified SECRET, Please be aware of this restriction
when submitting your quarterly reports. Annually 2 shall ask you for
cost information on contracts originated by your component during the year
so that I can pass to the Department a classified total Agency figure
for our external FAR program.
4. Several years ago the Coordinator for Academic Relations was
designated by the Director as the CTA representative to the Department of
State on matters relating to the coordination and review of Agency-sponsored
external research on foreign affairs. Obviously I shall be available at
any time to assist you in interpreting these policies and procedures and
will forward requests for cle e as well as the quarterly reports on
external research contracts.
5. As you will note, 0 is antiquated and badly in need of
revision to reflect the present system. An inter-directorate committee
worked for many months in an attempt to construct a new version of 51-12
and eventually succeeded last year only to have the effort founder on
ob'ections by the Assistant General Counsel. Anew attempt at rewriting
~ppears likely, T shall keep you informed.
6, Please pass this information to your alternate or successor as
FAR representatives for your component. Where appropriate you may also
wish to make this information available to senior officers of your
Office or Directorate.
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Attachments:
As stated
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NFAC #2473/81
SUBJECT: Reporting R ents Tnvo1ved in Foreign Af~Fairs
Research
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NFAC/NIC/CAR~js (27 April 1981)
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POLICIES AND PROCEDURES
FOR
DEPARTMENT OF STATE REVIEW AND COORDINATION
~~9fl~i4-~.>
1980
OF
GOVERNMENT-SPONSORED RESEARCH ON FOREIGN AFFAIRS
P se: To state the source and nature of the Secretary of State's
responsibilities for the review and coordination of Government-
sponsored research on foreign affairst to specify the concomitant
responsibilities and procedures agreed to by sponsoring agencies.
I. DEFINITION OF GOVERNMENT-SPONSORED FOREIGN AFFAIRS RESEARCHI
Research programs and studies in the social and behavioral sciences dealing
with international relations, or with foreign areas and peoples, whether
conducted in the United States or abroad, which are supported by contracts
or grants awarded by agencies of the United States. (A more detailed
definition is provided in Annex I.) In-house research is not included.
II. AUTHORIZATION AND ORGANIZATION
A. Mandate
A letter from the President to the Secretary of State, dated August 2,
1965, established the responsibility for the review for sensitivity
reasons of Government-sponsored research on foreign affairs. It said:
I am determined that no Government sponsorship of
foreign area research should be undertaken which in
the judgment of the Secretary of State would .adversely
affect United States foreign relations. Therefore I
am asking you to establish effective procedures which
will enable you to assure the propriety of Government-
sponsored social science research in the area of
foreign policy.
In addition, an April 27, 1977, memorandum to all Department and
Agency heads from the Special Assistant to the President for National
Security Affairs assigns to the Secretary of State "responsibility for
1/
This document, first issued on January 16, 1978, replaces the
"Procedures for Department of State Review of Government-Sponsored
Foreign Affairs Research" adopted on November 18, 1965, and pub-
lished in the Federal Register (Vol. 31, No. 7, January 12, 1966,
pp. 358-60).
ILLEGIB
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the coordination of foreign affairs external research...Lincludin~f
information exchange, documentation, publication and other activi-
ties_xequired to minimize duplication of effort; joint funding;
measures to assure quality, utility and availability; and other
matters requiring interagency consultation."
This document is designed to assist in the discharge of both
the Secretary's coordination responsibilities and his responsibility
to avoid adverse effects on U.S. foreign relations. As his repre-
sentative in the discharge of these responsibilities, the Secretary
has designated the Director of the Bureau of Intelligence and
Research (INR).
B. Department of State Research Council
To implement the President's 1965 directive, the Secretary of
State created the Department of State Research Council (DSRC) and
designated the Director of INR as Chairman to assist him in formu-
lating policies for State Department review and clearance of
project proposals submitted by other Government agencies. In
addition to its Chairman, the DSRC is composed of the Director of
the Policy Planning Staff, the Legal Adviser, and, as appropriate,
representatives of the regional and functional bureaus. The DSRC
and its Chairman are assisted by the Office of Long~Range Assess-
ments and Research (INR/AR/LAR).
C. DSRC Chairman
The Chairman of the DSRC is responsible for final clearance of
proposed projects submitted by sponsoring agencies. The Chairman
keeps the Secretary of State informed of the DSRC's major delibera-
tions and actions. The Chairman may issue guidelines to aid agencies
in fulfilling the requirements of these procedures.
The DSRC will review research projects only for the purpose of
avoiding adverse effects on U.S. foreign relations.- ',Phe risks of
possible adverse effects on foreign relations will be weighed
against the value of the research project to the U.S. Government.
Because the sponsoring agency is the best judge of the value of a
proposal to its own mission, its views will be carefully considered.
If the DSRC questions the propriety of any research project, it
will consult with the sponsoring agency before making a final deter-
mination. Clearance of projects by the DSRC is not necessarily an
endorsement of the need, method, or value of the project.
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IV. CRITERIA FAR REVIEW AND CLEARANCE
A. Military and Foreign Affairs Agencya/ Prajects
All foreign affairs research projects that at any stage involve
foreign travel or contact with foreign nationals in the United States
or abroad, must be submitted for review. Such other projects as the
sponsoring agency determines may have potential adverse effects on U.S.
foreign relations (see IV. D. 1. below) should be submitted for review.
B. Domestic Agency3/ Projects
Domestic agencies must determine, on the basis of potential sensi-
tivity as described in section IV. D. below, which of their foreign
affairs research projects should be submitted for review.
C. All Agencies--Continuing Programs and General Purpose Grants
1. Agency representatives will keep the DSRC informed about continu-
ing foreign affairs research programs carried out by research organiza-
tions receiving principal support from their agencies. After consultation
with an agency, the DSRC may ask to review specific projects. In cases
where such research organizations are not required to clear their research
plans or projects with sponsoring agencies, the DSRC shall not require
review of specific projects. However, the DSRC should be kept informed
of all foreign affairs research projects undertaken as part of these
programs.
2. Grants to academic institutions for general purposes (such as
expansion of facilities, faculty, or curriculum) need not be submitted
to the DSRC for review. However, the DSRC should be informed about such
grants if any Funds are to be used to support foreign affairs research
by the recipient institution.
D. Project Sensitivity
1. Projects which involve neither foreign travel nor contact with
foreign nationals may also be sensitive if they deal with subjects under
active negotiation or currently in dispute.
?/ Arms Control and Disarmament Agency, Department of Defense, Central
Intelligence Agency, International Development Cooperation Agency,
Department of State, U.S. International Communication Agency.
3/ Grants of the National Science Foundation, the National Endowment for
the Humanities, the National Institutes of Health, and the Alcohol,
Drug Abuse, and Mental Health Administration, as well as grants awarded
under the Fulbright-Hays program or the National Defense Education Act,
have been exempted from provisions of this section.
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2. Projects which involve foreign travel or contact with foreign
nationals are especially likely to be sensitive if they:
a. Deal with the authority, effectiveness, or policies of a
foreign government, with the nature and relationships of politically
significant internal institutions, or with the attitude of the people
toward the government (especially if the government is characterized by
instability);
b. Involve large-scale or formalized surveys or interviews; or
c. Are conducted by large teams or which cover extensive or
remote areas of a foreign country.
3. Projects which involve foreign travel or contact with foreign
nationals are less likely to be sensitive if they:
a. Deal with historical rather than contemporary subjects
unless there are contemporary implications;
b. Gather information in the host country through documentary
investigation rather than interviews or questionnaires;
c. Have the approval of interested agencies of the host country
government;
d. Involve professional participation by host country nationals
as researchers; or
e. Are not designed to contribute specifically to the operating
mission of an?agency of the U.S. Government.
A. Time Required
Fifteen working days are normally allotted far DSRC review of agency
projects. Projects will be considered cleared unless other DSRC action
is communicated to the agency within 15 working days after the required
information is received for review.
B. Information Required
1. Title and brief description of project.
2. Name of sponsoring agency or agencies (including information on
any funding by other agencies).
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3. Contractor, estimated cost, and principal researchers.
4. Detailed information on project: hypotheses to be investigated,
methods, schedules, types of findings anticipated, countries or regions
covered.
5. If project involves field work abroad, names of researchers,
indication of time of proposed field work, and extent and types of
contact with foreign nationals.
6. Extent to which discussion with U.S. diplomatic mission has
already been held in the formulation of project proposal.
7. Classification of project and proposed disposition of reports.
C. Types of Clearance Actions
1. Cleared
2. Cleared with conditions
3. Not cleared (with statement of reasons)
(Once a project is cleared, normally there will be no further State
Department action, although other agencies remain under obligation to
inform the DSRC of changes in the character of the research, and, in
the event of substantial changes or significant developments in the
research, the DSRC retains the option to review the project.)
D. Appeals
An agency may request reconsideration of a decision, in which case
the DSRC will accept the agency's appeal and act promptly on it. Should
the decision still be unsatisfactory to an agency, the agency head may
consult with the Secretary of State.
VI. AGENCY RESPONSIBILITIES4~
A. Submission of Projects for Review
Agency representatives will be responsible far collecting information
on projects their agencies propose to support, making determinations as
1 To avoid duplicate reporting, or failure to report, in cases of
collaborative programs and projects involving two or more agencies,
that agency which actually signs contract or grant agreements should
assume these responsibilities.
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to which projects require DSRC clearance, and submitting appropriate
project information~ta the DSRC for review before a contract is signed
or grant awarded.
B. Timely Reportinc~on All Projects
In conjunction with the Smithsonian Science Information Exchange (SSIE),
LAR publishes Government-Sponsored Research on Foreign Affairs: A Quarterly
Report of Project Infarmation. To maintain this inventaxy of current pro-
jects, information on each project, whether or not previously reviewed by
the DSRC, should be reported to LAR (see address on page 7) within 10 work-
ing days after the awarding of a contract or grant, or as soon thereafter as
possible. Alternatively, those agencies which elect to submit their project
information on a quarterly basis, may do so.
1. Classified project information should be submitted an Foreign
Affairs Research Summary form DS-1728, or comparable agency form.
2. Unclassified project information should be submitted on the
Smithsonian Science Information Exchange Project Form, or comparable agency
form.
3. Agencies which automatically submit information on all of their
projects to SSIE, whether or not they are foreign affairs-?related, do not
need to send duplicate project summary forms to LAR. i
C. Submission of Completed Studies
Agency representatives should ensure that one (1) copy of all studies
and reports (classified and unclassified) delivered to the agency as pro-
ducts of its external research projects (whether reviewed by the DSRC or
not) is sent to the Defense Technical Information Center, DTIC/DDR,
Cameron Station, Alexandria, Virginia 22314. Each paper sent to DTIC
should be sent under cover of a transmittal indicating what distribution
is authorized by the agency. Unclassified papers not restricted in their
distribution will automatically be deposited as well (by DTI C) with the
National Technical Information Service, Department of Commerce, where
they will be accessible to the general public.
Agency representatives should supply annual funding information on
their agencies' programs, serve as facilitators of cooperative projects,
and otherwise be available for consultation on matters of interagency
coordination.
1 This is not required in those cases where agencies use other estab-
lished procedures to clear their research projects with a policy
bureau in the Department of State (e.g., PL-480 programs) or with a
U.S. Embassy (e.g., A.I.D. projects initiated and funded by field
missions). However, the coordination representatives should inform
the hairman of the DSRC b memoranda of the clearance arrangements
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The staff of INR/AR/LAR is available for advance consultation on the
possible sensitivity of projects: and ~ssgC~ated foreigii?~ ~ . `~~ ~~`n~e~~-~ ??
topics of no apparent sensitivity on general principle'~may'~rdve to be
quite sensitive in a particular time or place? advance consultation
often serves to expedite projects and assure that a proposed study can
in fact be carried out. Agency representatives having doubts about the
potential sensitivity of projects or associated foreign travel are
encouraged to seek consultation.
AZZ submissions of information and documents and requests for assistance
should be directed to:
Office of External Research, INR/AR/LAR
Attn: Special Assistant (Research Review
and Interagency Coordination)
Room 6842
Department of State
Washington, D. C. 20520
Tel: [phone]
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 Annex I
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FOREIGN AFFAIRS RESEAR~
Working Definition
Subject Matter
Foreign and domestic affairs are increasingly difficult to sort out, both
in the United States and in other countries. Actions and attributes of the
United States, governmental and private, shape both foreign and domestic
affairs. For these f'easons, a broad rather than narrow definition of foreign
affairs research is required if knowledge and analyses adequate to currant
and emergent realities are to be developed.
Therefore, a foreign affairs research program, project or activity is one
that focuses, in part or entirely, on recent, contemporary, or future:
-- Attributes, ideas or behavior of non-II.S. individuals, groups, societies,
or nations. This includes not only studies of discrete foreign areas or
peoples but also multinational studies and cross-national comparative
studies. It also includes mere distant historical studies that draw
parallels with or lessons applicable to the contemporary scene.
-- Relations between and among nations or relations between and among
individuals or groups located in different nations.
-- Ways in which U.S. individuals, groups, ideas, attributes or activities
bear on the position or behavior of the United States in international
affairs.
Research Approaches and Methods
As in other categories of human and social affairs, knowledge about foreign
affairs neither fits neatly into disciplinary categories nor emerges exclu-
sively from a limited number of specifiable approaches, methods, techniques.
et cetera.
-- Generally, foreign affairs research uses the approaches and methods of
one or more of the basic or applied social, behavioral, or policy
sciences. But, alternatively or in addition, it may also use the ap-
proaches and methods of one or mare of the humanities. It should be
specially stressed that these approaches and methods can be aPPlied to
the foreign affairs aspects, uses, or implications of the physical and
life sciences and of technologies (weapons, energy, industrial, agri-
cultural, medical, etc.); studies of this nature are an increasingly
important part of foreign affairs research.
-- As in many other fields, foreign affairs research, can be categorized
as pure, exploratory, basic, applied, developmental, evaluative,
policy, etc. All such categories should be included when foreign
affairs is the subject matter.
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