PROCEDURES FOR DEPARTMENT OF STATE REVIEW OF GOVERNMENT-SPONSORED FOREIGN AFFAIRS RESEARCH

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86B00985R000100170003-1
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 8
• Document Creation Date: December 21, 2016
• Document Release Date: September 10, 2008
• Sequence Number: 3
• Publication Date: November 18, 1965
• Content Type: OUTLINE

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%.W Nwo
November 1.8, 1965
Procedures
for Department of State Review
o f . Cove. rnr,tent-S onsoreci 'orei n affairs Research
"Although with very few exceptions these studies have not been
sponsored by the State Department, we acknowledge the contribution
that the behavioral and social sciences can make to the work of
officials struggling- with the complex problems of foreign policy....
The Department has reaped some benefits from the research of others
and, in general, has welcomed the increased interest of other depart-
ments in social and political research on foreign affairs."
From the Secretary of State's testimony
before the Fascell. Subcc:,r:a:ittec, House
Foreign Affairs Cosmiittee, August 4, 1965.
A. Definition of_,overn::ent-sponsored foreinn affairs research.
Government-sponsored foreien affairs research is defined as re-
search prod;ra:.a and studies in the social and
dealing with international relations, or with foreign areas P;,6
peoples, whether conducted in the United States or abroad,
are supported by contracts or grants awarded by agencies of the
United States. In-house research is not included.
B. Responsibilities for review and clearance.
1. DciLartment of State responsibility for clear.ancL of fore; 1'ri
affairs research. The Department of State will review
Government-sponsored foreign affairs research in accordance
with the President's letter of August 2, 1965 to the Secretary
of State:
"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 as-
sure the propriety of Government-sponsored social
science research in the area of foreign policy."
State Dept. review completed
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Under the procedures set forth herein, developed pursuant
to the President's letter, the Department of State will be
responsible for formulating policies for review and clear-
ance of foreign affairs research and for clearing research
projects submitted to it for that purpose by other govern-
ment agencies.
2. Other agencies' responsibilities.
a. To facilitate review of foreign affairs research, certain
responsibilities set forth in these procedures remain
with the agencies sponsoring foreign affairs research.
b. Each agency will designate a clearance point to be re-
sponsible for reviewing projects, providing information,
making determinations as to clearance required, and sub-
mitting projects to the State Department for review in
conformance with these procedures.
C. Categories of research.
1. Projects required to be submitted to and cleared by the State
DLii1_ ti_o nt. This category consists of projects involving
foreign travel or contacts with foreign nationals sponsored
by the military and foreign affairs agencies.* Certain ex-
ceptions are specified in subsection 2 and 3 below:. Projects
will be considered cleared unless other. State action is com-
municated to the agency within 15 days after the required
information is received by the Department for review.
2. Projects requirinr, review and determination by the clearance
point within an acencv as to whether such `rojects need be
submitted to the State Department for clearance. The clear-
ance point within an agency is responsible for submitting to
the State Department for clearance projects falling under this
subsection when it determines that the conduct of such research
might have potentially adverse effects on U.S. foreign relations.
Projects thus submitted will be considered cleared unless other
State action is communicated to the agency within 15 days after
the required information is received by the Department for re-
view.
The clearance point will transmit information items 1, 2,
3, 6,
and 7 to the State Department on profects it determines do
require State Department clearance. The State Department
not
* The Department of Defense, the United States Information Agency, the
Arms Control and Disarmament Agency, the Agency for International
Development, and the Central Intelligence Agency.
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reserves the right to request further information on projects
not submitted for clearance under this subsection and to re-
quire submission for clearance of any such projects.
The types of projects under this subsection are as follows:
a. Projects, either classified or unclassified, involving
foreign travel or contact with foreign nationals, which
are sponsored or subsidized by domestic agencies. With
respect to projects nob submitted for clearance, the
agencies will insure that the Ambassador is informed
through State channels sufficiently in advance of the
arrival of contractor personnel in a country so that
he may transmit timely advice to Washington.
b. Projects, either classified or unclassified, involving
foreign travel, but with contact limited to U.S. official
personnel. In each case, notification to the Ambassador
will be required as under C.2.a.
c. Projects, either classified or unclassified, to be con-
ducted initially in the United States with no foreign
national contacts, but which might later involve foreign
travel and contact with foreign nationals. Where travel
is subsequently decided upon, the project travel plans
will be submitted to the State Department for approval
as required under C.1.
d. Unclassified projects not involving foreign travel or
contact with foreign nationals.
e. Any other type project which, upon agreement between the
Department of State and another agency, is made subject
to the review procedures in this subsection.
3. P roiects not requiring, State Depart;^ent clearz?nce. Projects
under this category need not be submitted to the State Depart-
ment for clearance but information items 1, 2, 3, 6, and 7
shall be furnished to the Department at the time specified in
section I or quarterly at the discretion of an agency. The
Department retains the option to request additional information
or to review a project.
a. Classified projects to be conducted entirely in the U.S.
with no contacts with foreign nationals. The Department
of State shall be consulted befot such a project is de-
classified and such projects shall thereupon be treated
in accordance with category 2.
b. Routine renewals and amendments to projects already cleared
by the State Department or, in the case of field research,
which include provision for continuing coordination with
the embassy.
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c. odification or extension of existing in-country research
projects or programs carried out by agreement with the
host country and with the approval of the U.S. Ar:;ha_ssador.
Such modifications and extensions are considered cleared
upon certification of this approval to the Dcpartm:ant of
State by the U.S. ambassador.
4. P.esearcii in progress before Aueust L) 3'65 other than Chat
covered in h. 3. c: above."Isi r to Expedite review. of this
category, the Department of State n,ay provide each agency with
a listing of all foreign affairs research projects and programs
currently known to the Department of State. The Department of
State may indicate what additional information, if any, it seeks
about these projects and may also request information on all on-
goinr, projects and programs which may not appear on t.'na listing.
Any such project or program will be considered cleared unless the
Department of State informs the agency that it needs to be re-
viewed.
Continuous pros?.rams of research.
1. rams of contract org anizntions. Apart from the handling of
research projects as spccifi.cu in C. aDovc, government ?Yancies
shall keep the Department of State informed about continuous
foreign affairs research procrar.:s carried out by research, ors-,an-
izations receiving their principal support from such agencies.
After consulting with an agency, the Dcpartr:.ent of State ray as;:
to clear specific projects in accordance with section G. of these
procedures.
2. Plans and projects not requiring clew r':nce. In cases where re-
search organizations receiving. tneir principal support from
agencies are not required to clear their research plans or pro-
jects with sponsoring agencies, the Department of Stata shall
not require clearance of research programs. however, the sponsor-
ing agency, the Department of State, and each of the major. re-
search organizations concerned shall d_-:tcr,uine jointly the' best
means for keeping the Department of State informed of all foreign
affairs research carried out by such organizations and individuals.
3. Contract pro rarlsof ayeney field offices. Similarly, the Depart--
ment shall be kept informed about contract researca pro grams
carried out through field of ices of agencies. Individual pro-
jects carried out under such programsashall be reviewed in ac-
cordance with section C. of these procedures.
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E. Grants to academic institutions.
Grants to academic institutions for general purposes (such as
construction of facilities, expansion of faculty or unspecified
research in an academic discipline) related to foreign affairs
research will not be subject to Department of State clearance.
Agencies shall keep the Department informed about such general
purpose grants.
F. Other resear.cii activities.
1. Conferences and consortia. The definition of foreign affairs
research includes government-sponsored conferences with foreign
nat:ionals dealing with questions of foreign affairs research
and studies of or support for academic research consortia
2. Informal. contacts with forcisn nationals. Informal communica-
tions of contractors with foreign nationals in the U.S. are not
subject to Department of State clearance. lowwwever, agencies
may consult with the Department of State about the propriety of
such contacts, particularly when they are carried out by members
of research organizations clearly identified as institutions
created specifically to serve the agency.
G. Travel ty contractors and grantees.
1. Information on travel.. It would be helpful if agencies inform
the Department of State about travel and work abroad of their
contractors and grantees even when the Department has not re-
quired clearance for such activities.
2. Travel for Private purposes. Tice Department of State will not
concern itself with the foreign travel of contractors and grantees
that is not directly related to government-sponsored foreign af-
fairs research. This includes attendance at professional t:eetings
abroad and field work abroad on privately supported research.
lc' orts.
The clearance point Niithin an agency is responsible for insuring
that the contents of unclassified research project-s will not ad-
versely affect U.S. foreign relations. Should the clearance point
have any question concerning the propriety of an unclassified re-
search report, it should. consult With the State Department concerning
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disposition and possible classification of such reports. The
release of Department of Defense classified studies to foreign
government will continue to be the responsibility of the Military
Information Control Committee.
T. Information required from sponsoring agency-.
As a general rule information will be submitted to the State Depart-
ment by agencies before a gray~t is awarded or a contract is concluded.
Agencies are responsible for cdnsulting with the Department of State
on the propriety of unclassified invitations for bids or publicity
of any kind. Arrangements for cornnunication of information on pro-
ject proposals may vary depending on the agency and soiaetimes on
particular projects. Such details will be worked out with agencies
by the Chairman of the Research Council (see below).
Sponsoring agencies shall submit the following information:
1. Title of project and brief description.
2. Sponsoring agency or agencies (including information of any
funding by other agencies).
3. Contractor, estimated cost, and principal researchers.
4. Detailed information on project: questions to be investigated,
methods, schedules, types of findings anticipated, countries
or regions covered.
5. If the project involves field work abroad, names of researchers
and indication of time of proposed field work and extent and
types of contact with foreign nationals.
6. Extent to which discussion with a U.S. diplomatic mission has
already been held in the formulation of the project proposal.
7. Classification of project and proposed disposition of reports.
J. Review and clearance actions.
1. Department of State reviec. rocess.
a. Types of clearance actions.
(1) Cleared.
(2) Cleared with conditions.
(3) Not cleared (with statement of reasons).
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b. Once cleared, there will normally be no further State
Department action, although other agencies remain under
obligation to inform the Department of changes in the
character of the research, and, in the event of sub-
stantial changes or significant developments in the re-
search, the Department retains the option to review the
project.
2. Criteria for State Depart~!r~nt actions.
a. Research projects will be reviewed only for the purpose
of avoiding adverse effects upon United States foreign
relations.
b. The risks of possible adverse effects on foreign relations
will be wei;hed against the value to the United States
government of the research project. Because the sponsoring
agency is the best judge of the value of a proposal to its
own mission, its views will be taken fully into account.
c. If the Department of State questions the propriety of any
research project, it will consult with the sponsoring agency
before making a final determination.
d. Clearance of research projects by the State Department is
not. necessarily an endorsement of the need, method, or
value of the project.
3. Policy formulation and clearance in tilcO Dcrartmcnt of State.
a. The Secretary of State has created a Foreign Affairs Research
Council (RC) , with the Director of Intelligence and research
as Chairman, to assist him in formulating policies for State
Department review and clearance of project proposals. The
Council is composed of the Chairman of the Policy Planning
Council, the Deputy Assistant Secretary for Politico-I:ilitary
Affairs, and, as appropriate, representatives of the regional
and functional bureaus. The RC is assisted by the Bureau of
Intelligence and Research and its Office of External Research.
b. The Foreign Affairs Research Council may from time to time
issue guidelines to agencies to aid them in fulfilling the
requirements of these procedures.
c. The Chairman of the Foreign Affairs Research Council will
act for the Department on clearances, doing so on the basis
of information from and discussion with sponsoring agencies
and on the basis of policies and procedures approved by the
Council and, when appropriate, after discussion of individual
projects by the Council. The Chairman will keep the Secretary
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of State informed of major questions before the Council
.end of important actions by the Council.
4. Aprpeals. An agency may request a review of a decision, in
which case the Foreign Affairs Research Council will consider
the agency's appeal and will act promptly on it. Should the
decision still be unsatisfactory to an agency, an agency head
may consult with the Secye.tary of State.
:. RerTuirements of the Federal Reports Act of 1942 and Budget Circular
A-40.
The requirements set forth in these procedures do not relieve
agencies fror: ti,eir responsibili tics under the Federal Reports
AcL of 19:2 and bureau of the bud,,,et Circular No. A-40.
L. Review of Procedures.
No later than six months after the effective date of these procedures,
November 18, 1965, the Department of State in consultation with the
interested agencies will review these procedures and make any necessary
Lo iiu:piove L1LCLI. Subsequent reviews of these procedures will
take place as deemed necessary by the Department of State.
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