Pre-Proposal Research Compliance Screening Form

Failure to provide accurate and complete information to the best of your knowledge, as requested on this form, will delay the process of approval by the Vice President for Research

 

Proposal Information

NMT strives to be in compliance with all federal requirements concerning research proposals per 7 CFR 3406.18

 
 
 
 
 
 

 

Human Based Subject Research / Vertebrate Animal Subject Research

ALL projects involving human subject research (HSR) [7 CFR 3406.18(k)(2)] or Vertebrate Animal Subject Research [7 CFR 3406.18(k)(3)] must be reviewed and approved by either the Internal Review Board (IRB) or the Institutional Animal Care and Use Committee (IACUC).

 

All Human Subjects Research Projects (HSR) require a meeting of the full Institutional Review Board (IRB).


More information can be found NMT's Institutional Review Board page: https://www.nmt.edu/research/irb.php

 

All Vertebrate Animal Research must be reviewed and approved by the NMT IACUC.


NMT's Office of Research Compliance and Safety provides consultation and compliance services to researchers considering conducting Animal Research.


Any questions or concerns regarding the NMT Animal Care and Use Program should be directed to iacuc@nmt.edu

 

 

Responsible Conduct of Research (RCR)

Responsible Conduct of Research (RCR) training is a vital component of ensuring that all researchers - faculty, staff, and students - adhere to the highest ethical and professional standards.


For more information on the annual RCR training required by various federal agencies visit our NMT RCR page: https://www.nmt.edu/research/responsible-conduct-of-research.php


For CITI Training modules and access to previously earned certificates visit: https://www.citiprogram.org/index.cfm?pageID=14&message=64

 

Have all research staff on this project, including the PI, completed the required training courses?

 

 

Conflict of Interest Disclosure (COI)

You may complete COI Training here : https://www.nmt.edu/research/compliance/CITI%20Training.php


You'll need to complete the following:


  • NMT Conflict of Interest Curriculum
  • NMT PIs Module


Certificates may be dowloaded from CITI and are valid for 4 years.


Please include your certificate for COI Training in the drop box at the end of this form.

 
 

Include your training certificate with the documentation in the drop box at the end of this form.

 

I have completed a new Conflict of Interest Disclosure in the most recent annual disclosure window prior to this proposal.

 

I have a material change to report since my most recent annual COI disclosure.

 

 

Radiation

New Mexico Tech is committed to supporting the safe use of radioactive materials in research and teaching. All matters related to radiation safety at NMT should be directed to the Radiation Safety Officers.


All questions or concerns should be directed to: rso@nmt.edu

 

Will this project utilize ionizing radiation?

 

 

Export Control Exclusion Screening

Principal Investigator (PI): Must answer the following questions and provide documentation in cooperation with the Sponsored Projects Administrator (SPA) working on your proposal/grant/contract/agreement.


***IMPORTANT NOTICE TO PI***

Consequences of Non-Compliance


  • Violations of the Export Administration Regulations, 15 C.F.R. Parts 730-774 (EAR) may be subject to both criminal and administrative penalties.
  • Under the Export Control Reform Act of 2018 (50 U.S.C. §§ 4801-4852) (ECRA), criminal penalties can include:
  • up to 20 years of imprisonment
  • up to $1 million in fines per violation,
  • Administrative monetary penalties can reach up to $300,000 per violation or twice the value of the transaction, whichever is greater.



Upload all supporting documentation in the drop box at the end of this form.

 

 

Fundamental Research Exclusion (National Security Decision Directive (NSDD) 189)

The Fundamental Research Exclusion is lost if the university accepts a contract, grant, or award that restricts the free, open, and broad sharing of the research results within the scientific community [15 CFR 734 ].



Please complete the following sections to the best of your knowledge.

 

Will the information be published and shared broadly in the scientific community?

 

Will there be a NDA associated with this project

 

Are there any restrictions on foreign national participation or requirements for U.S. citizens only in the project?

 

Will there be any foreign nationals and/or persons holding dual citizenship involved with the project?

 

Is any of the equipment / information / technology being utilized in this project export controlled?

 

Is any portion of the project being conducted at a site other than NMT? (This includes work being done by Sub-Awardees, Collaborators, Consultants, etc.)

 

Will equipment / information / technology or any other export controlled materials be shipped outside the United States?

 

Is foreign travel expected on this project?

 

 

Educational Information Exclusion

Educational information is released by instruction as listed in catalog courses and associated teaching laboratories in U.S. accredited academic institutions [15 CFR 734.9 ]


Please complete the following sections to the best of your knowledge.

 

Is the information commonly taught at schools and universities?

 

Are courses about this information listed in published university course catalogs?

 

 

Other Terms Mentioned or Discussed Within the Project Documentation

The NMT Research Compliance and Safety Office wants to protect all of our researchers to the best of our ability.


The following questions are aimed at very specific areas of export compliance not covered in the previous sections. We have provided links to regulatory sites in order to assist you in answering these questions honestly. Please take the time to double check and ensure your project does not utilize any of these additional areas of compliance.

Please complete the following sections to the best of your knowledge.

 

Does your project utilize encryption commodities, software, and technology (15 CFR 740.17)?


More information on encryption commodities, software, and technology can be found here: https://www.ecfr.gov/current/title-15/section-740.17

 

Except for a few exclusions the Department for Health and Human Services (HHS) has determined that specific biological agents and toxins have the potential to pose a severe threat to public health and safety. A list of the agents in question can be found here: https://www.ecfr.gov/current/title-42/chapter-I/subchapter-F/part-73/section-73.3


The export of any regulated select agent (42 CFR 73.3) requires the prior approval of the NMT Research Compliance Officer in the Research Compliance & Safety Office.

 

The Uniform Trade Secrets Act (UTSA) defines a " trade secret " as:


Information, including a formula, pattern, compilation, program, device, method, technique, or process that:

  • Derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use; and
  • Is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.


For more specifics please visit Cornell Law School's Legal Information Institute here: https://www.law.cornell.edu/wex/trade_secret


Does the project utilize anything that could be considered a Trade Secret?

 

Are any parties or entities involved in this project from sanctioned or embargoed countries?


U.S. persons may be prohibited from conducting certain activities with individuals and entities on the sanctioned or embargoed entity list without prior Office of Foreign Assets Control (OFAC) authorization.


The sanctioned and embargoed entities list is supplement no. 4 to part 744 of the export administration regulations (15 CFR Part 740)

 

Will your project utilize any items or technical data from the International Traffic in Arms Regulations (ITAR) or U.S. Munitions List (USML) that may fall outside of information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities?


The ITAR recognizes a related exclusion for “educational information” that has become part of the public domain through academic instruction. The ITAR, the exclusion applies to information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges and universities. (22 CFR § 120.10(b))

 

Will your project utilize anything that might be considered outside educational information released by ‘instruction’ in catalog courses and associated teaching laboratories of academic institutions (with some encryption exceptions) according to the Export Administration Regulations (EAR)?


The EAR recognizes a related exclusion for “educational information” that has become part of the public domain through academic instruction. Under the EAR, the exclusion applies to information that is publicly released through instruction in catalog courses and associated teaching laboratories (15 CFR §734.9​​).

 

 

Documentation

This dropbox is NOT authorized to receive Export Controlled information


 


Please provide all requested documentation/information to be attached to your Compliance Screening Form.

Drop your files here