Research Administration Office

University of California

Memo Operating Guidance

No. 92-13

May 18, 1992

Subject: National Security Agency: General Provisions for Grants and Cooperative Agreements

The standard National Security Agency (NSA) General Provisions for NSA Grants and Cooperative Agreements (dated 1989) contain language regarding publication, security, and termination which is not acceptable to the University. The three clauses involved are:

18. Publication Procedures

30. Security

31. Termination and Suspension

The Berkeley campus Sponsored Projects Office has recently negotiated new language for these three clauses. This language has been accepted by NSA and can be used in any other University NSA agreements.

A copy of the original NSA clauses with deletions struck out and the accepted changes underlined is attached to this memo. The negotiated changes are explained below.

18. Publication Procedures

Changes to paragraph a. of this clause included: eliminating the section which implies the need for government authorization of publications, reports, and papers; removing the phrase that suggested that reports be submitted in advance to the sponsor; eliminating the restriction on further dissemination of information the researcher believes may require classification; and clarifying the procedures to be followed.

The University wants to hold the government to the requirement that the project be classified before it is begun so that the University can accept or reject the agreement on that basis. For that reason, it is important that no restrictions on or penalties for dissemination of "potentially" classifiable information be included in the agreement.

Paragraph b. Acknowledgment of Government Rights and Sponsorship: (1), (2), and (3) remain the same. Paragraph b. (4) is deleted because the University does not want to appear to agree to submitting publications for review for "sensitive" information and, by inference, approval of publication, nor to the possibility of an "after the fact" classification of results. In addition, we do not want to imply that we would follow the Agency's directions on non-release of sensitive information or performance of classified work. Instead, paragraph a. above provides for "mutually" established guidelines in the event that this occurs.

30. Security

Only the first sentence of this clause is retained. The

remainder of the clause discusses procedures if "sensitive

information" is developed. The phrase, "which would appear to have the potential for adversely affecting the national security" is overly broad, leaving too much room for interpretation as to what might be covered by such language.

Further, the clause requires the University to notify the government of such adverse information in contrast to clause

18 which merely tells the researcher what to do in the event the researcher believes the information requires classification.

31. Termination and Suspension

Paragraph a. (1) is amended to allow for termination of the agreement if classification restrictions are imposed.

Refer: Samuela A. Evans

(510) 987-9849

Subject Index: 20

Organization Index: F-194

David F. Mears

Director, Research

Administration Office