ASU Home

Exports & Security

Memo to Deans, Facutly and Principal Investigators
From: Sethuraman Panchanathan 
Sent: Friday, January 06, 2017 11:04 AM
To: Sethuraman Panchanathan <>
Subject: PI Responsibilities
Dear Colleagues,
Thank you for your continued efforts in advancing the ASU research enterprise. We have achieved a record level of activity in the last year due to your hard work and dedication to knowledge creation, advancement and dissemination.
With this level of investment, it is important that we demonstrate the highest level of stewardship of the funds our sponsors provide to advance our research and scholarly programs. This memo serves as an important reminder of Principal Investigators (PI) responsibilities related to conducting research at ASU.
These responsibilities are outlined in RSP 103 and include the following areas:
·       Proposal preparation
·       Research compliance
·       Award negotiation
·       Post-award and project management
While OKED facilitates the ability of PIs to focus on their research, it is critical that the PI also understand the role they play in supporting the management of research projects.
I would also like to take this opportunity to remind you of the seriousness of export control regulations. Export control regulations are federal laws that restrict the export of information, goods and technology and apply to:
•     Transfer of specified items or information to people or entities outside the U.S.
•     Disclosure of certain information (whether in hard copy or orally) to certain foreign nationals inside or outside the U.S.
•     Training or offering services involving controlled equipment or information to foreign nationals
•     Transactions with, or providing services to certain foreign countries, entities, or individuals that are names on the U.S. restricted party lists (this includes research travel to embargoed countries)
The regulations apply to virtually all fields of research; however, they do provide several exclusions or exemptions. There have been recent changes to the regulations regarding travel to Cuba and oversight of military electronics and space craft related research. To determine whether your research qualifies for an exemption, or to better understand export control regulations, please visit:
OKED staff are available for consultation, training, and workshops and they will continue to provide updated information on the policy changes that may impact your research. You may also visit Research Academy for additional resources. If you have any questions about your PI responsibilities, please contact Heather Clark, Director of PreAward Services and Research Integrity, at 480-965-1427 or
OKED is pleased to partner with investigators to ensure we are able to continue to engage in world class research.
Best regards
Sethuraman (Panch) Panchanathan, Ph.D.
Executive Vice President, ASU Knowledge Enterprise
Chief Research and Innovation Officer

Export Procedure Manual



Export control regulations are federal laws governing the export of certain commodities or information for reasons of national security or protections of trade. Export controls may arise for one or more of the following reasons:

  • The nature of the export has a military application or economic protection issues,
  • There are governmental concerns about the country, organization, or individual receiving the information or technology, and 
  • The end use or the end user of the export are of concern.

Most exports do not require government licenses. Three sets of federal regulations come into play when the “licensed controlled actions” are involved in university sponsored research:

There are provisions in the regulations that allow for an exclusion for fundamental research. Fundamental research is defined as basic or applied research in science and/or engineering when the resulting information is expected to become part of the public domain, i.e. when there are no restrictions on publication beyond those intended to protect pre-existing proprietary information or intellectual property rights.

Do I need an export license? 

Are you unsure as to whether you need an export license for your research project? The export control wizard will walk you through a series of questions, leading to a determination of whether or not an export control license is applicable to any particular situation. Remember that export controls may apply when an item, information or software is being sent outside U.S. borders, or when it is being shared with "foreign persons or entities" in the U.S.

The terminology used in this wizard is derived from the federal regulations governing export controls. Violations of these export control regulations can lead to significant civil and criminal penalties.

  • Fundamental Research means basic and applied research in science and engineering, where the resulting information is shared broadly within the scientific community.
  • INFORMATION can include technical data such as models, formulae, engineering designs and  specifications, or technical assistance such as training or instruction.
  • SOFTWARE refers to a collection of one or more computer programs or microprograms in either source code (programming statements) or object code (machine-readable instructions).
  • ITEMS mean any tangible things (e.g. equipment or hardware).

You may find it useful to know that export controls generally, although not exclusively, fall within the following areas:

  • Chemical, Biotechnology and Biomedical Engineering
  • Materials Technology
  • Remote Sensing, Imaging and Reconnaissance
  • Navigation, Avionics and Flight Control
  • Robotics
  • Propulsion System and Unmanned Air Vehicle Subsystems
  • Telecommunications/Networking
  • Nuclear Technology
  • Sensors and Sensor Technology
  • Advanced Computer/Microelectronic Technology
  • Information Security/Encryption
  • Laser and Directed Energy Systems
  • Rocket Systems
  • Marine Technology

We acknowledge and thank the University of Tennessee – Knoxville, the University of Missouri and Stanford University for the general design and content for the wizard.

Export Controls contacts

Susan Metosky, Compliance Officer
(480) 727-0871