Instructional Leadership, emphasis: K-12 School Leadership (MEd)
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  1. NAU
  2. Research
  3. Research safety, compliance, and IRB
  4. Export control
  5. NAU Export Control Review Form

NAU Export Control Review Form

Please use this form if you think your area of research/teaching might be export controlled. For assistance, please contact the Office of Regulatory Compliance. with a brief description of your project and the nationalities of any foreign participants or countries of travel.
A NAU Material/Technology Review is required prior to: 1. Sending material/equipment/technology outside of the United States; 2. Use of a controlled material/equipment/technology by a foreign person in the US (deemed export); 3. NAU-related travel where controlled technology may be discussed

General Overview

It is unlawful under export laws and regulations to send or take export controlled information or material out of the United States or transfer export controlled information to foreign persons inside or outside the United States. A “foreign person” is one who is not a United States citizen or permanent resident alien of the United States. Principal Investigators may be personally liable for violations of export control laws and regulations; the penalty for unlawful export and disclosure of export controlled information is up to 10 years in prison and/or fines of $1,000,000 per violation. Material means any physical objects including instruments, parts, chemical or biological material. Technology means any technology or information related to export controlled items or categories. This includes specific procedures, know how, and computer source code
The list of export controlled material and/or technologies is extensive. Contact the Office of Research Compliance at 928- 523-6117 for questions regarding whether your material is controlled for export under the EAR or ITAR.
Descriptions of technologies that are controlled by the International Traffic in Arms Regulations (ITAR) pmddtc.state.gov/regulations_laws/itar.html
Export Administration Regulations (EAR) at bis.doc.gov/index.php/regulations/commerce-control-list-ccl

Material/Technology Details

Country for Material transfer or Nationality of non-US persons for “deemed export”: Deemed export occurs when a foreign person is granted access to export controlled materials or technology while in the US.

Expert Questionnaire

1. Can the material or technology be found in the public domain (i.e., can it be purchased by anyone commercially without restriction)?
2. Is the material or technology included as part of instruction in catalog courses and/or associated teaching laboratories?
3. Is the technology part of ongoing or completed fundamental research? Fundamental research is any research undertaken at NAU for which the results are intended for publication and NAU is free to publish without restrictions.
4. Is there a direct military application (can the materials be used as weapons)?
5. Do you have any reason to suspect or believe that the end user may intend or be involved in the design or production of, or re-export or transfer the material or technology to another party for use in the design or production of military or defense related systems?
6. Does the end user intend to re-export the material or technology? If so, to whom and to what country? What is the final intended end use?
7. Is the transfer to a foreign government or foreign government agency or to a US government agency operating in foreign countries?
8. List any funding source(s) (federal and non-federal), along with any OSP grant number, for the research in which the Material/Technology was created:
9. Are these materials/technologies included in the US Patriot Act’s list of Select Agents at selectagents.gov/SelectAgentsandToxins.html?

ORC/PI Joint Determination

Is material or technology is covered by ITAR or EAR?

PI Certification

Signature