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UNIVERSITY POLICY STATEMENT

It is the policy of the University that research, instruction, and public service will be accomplished openly and without prohibitions on the publication and dissemination of the results of academic and research activities to the fullest extent permitted by law. However, while research in a university setting generally is, and normally can, be conducted openly and without restrictions, ASU recognizes that there are certain conditions under which the export of information or technology is either prohibited by law, or requires a license from the U.S. Government. Thus, it is also the policy of the University to comply with all United States export control laws and regulations, including those implemented by the Department of Commerce through its Export Administration Regulations; by the Department of State through its International Traffic in Arms Regulations; and embargo regulations imposed by the U.S. Treasury Department through its Office of Foreign Assets Control.

Memo to Deans, Faculty and Principal Investigators

From: Sethuraman Panchanathan 

Sent: Friday, January 06, 2017 11:04 AM

To: Sethuraman Panchanathan <panch@asu.edu>

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:http://researchintegrity.asu.edu/security.
 
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 Lisa Mosley, Assistant Vice President, Research Operations at 480-727-9754 or lisa.mosley@asu.edu.
 
OKED is pleased to partner with investigators to ensure we are able to continue to engage in world class research.
 
Best regards
Panch
 
Sethuraman (Panch) Panchanathan, Ph.D.
Executive Vice President, ASU Knowledge Enterprise
Chief Research and Innovation Officer

Export Compliance Brochure

 

EXPORT CONTROL WIZARD

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.  

 

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