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).

Will This Project Involve Human Subjects?*

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

Human Subject IRB Approval*

Has your Human Subject Research project been approved by NMT's IRB?

No IRB Application*

You must have an approved IRB application to do any HSR. An IRB Application must be submitted no later than 5 business days from the date this form is completed.


To complete an IRB application visit: https://www.nmt.edu/research/irb.php and follow the instructions

Pending IRB Application*

I will provide a copy of my IRB Application regardless of its status in the dropbox at the end of this form.

Approved IRB Application*

I will provide a copy of my IRB Application and IRB Approval Signature Sheet in the dropbox at the end of this form.

Will this Project Involve Vertebrate Animals?*

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

Vertebrate Animal Research*

At this time NMT does not hold current federal assurances or approved campus facilities to support vertebrate animal research on campus.


Please contact iacuc@nmt.edu for assistance with protocol review and approval for field research or research on vertebrate animals housed at an approved facility.

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

RCR Training*

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

RCR Training Requirements*

Any principal investigator (PI), co-principal investigator and any other person (including faculty, staff and students) who is responsible for the design, conduct or reporting of New Mexico Tech (NMT) research is required to complete the basic RCR training either through CITI Training Modules or the NMT Research Ethics Series.


For More information on CITI Training visit: https://www.nmt.edu/research/compliance/CITI%20Training.php


For more Information on Research Ethics Workshops visit: https://www.nmt.edu/research/research_ethics_series.php


I understand I am responsible for completing those requirements within 5 business days of completing this form and uploading the certificates to the RCR Database found here: https://app.smartsheet.com/b/form/6dd3786b3ab84711b0f21f35267fcc71

Please upload all training certifications in the dropbox at the end of this form.

Which types of training documentation are being provided?


Select all that apply:

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.

I have read the NMT Conflict of Interest Policy*

Follow the link below to read the Conflict of Interest in Research Policy

https://www.nmt.edu/policies/OR-01.12024%20COI%20in%20Research.pdf

Conflict of Interest Procedures:

https://www.nmt.edu/research/1%20COI%20Procedures%20Implementing%20OR-1.1%202025.4.14_V6%20-%20signed.pdf

It is required to read the COI Policy.*

Click the link above to be redirected to the NMT Conflicts of Interest in Research Policy

I have taken the NMT Conflict of Interest Training*

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

Conflict of Interest Training Required*

Visit https://www.nmt.edu/research/compliance/CITI%20Training.php to complete NMT COI training.


Once you complete your training you must upload your completion certificate in the RCR Database within 5 business days.

https://app.smartsheet.com/b/form/6dd3786b3ab84711b0f21f35267fcc71

Conflict of Interest Disclosure*

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

Conflict of Interest Disclosure Required*

To complete the Conflicts of Interest Disclosure visit the COI Disclosure Form.

Contact coi@nmt.edu

You must complete this new disclosure within 5 business days.

Material Change*

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

New Conflict of Interest Disclosure Required*

To complete the Conflicts of Interest Disclosure visit the COI Disclosure Form.

https://app.smartsheet.com/b/form/8a98516bf3784e16b878df332ca29c51


You must complete this new disclosure within 5 business days.

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

Ionizing Radiation*

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 it be shared or published?*

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

Will there be a Non-Disclosure Agreement (NDA)??*

Will there be a NDA associated with this project

Please provide the name of the Sponsored Projects Accountant/s (SPA) working on the agreement for this project.

Foreign National Restrictions?*

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

Provide an explanation of which areas of your project regarding foreign national restrictions you are unclear about at this time.

Foreign National Participation*

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

Provide the name and nationality of each individual if known or when available (DO NOT include personally identifying information such as Date of Birth, Social Security Number, etc.)

Provide an explanation of which areas of your project regarding foreign national participation you are unclear about at this time.

Export Controlled Equipment/Information/Technology*

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

Describe the nature of the Equipment / Information / Technology being utilized in this project and any of the following:


  • Commodity Jurisdiction/s (CJ),
  • Commodity Classification/s (ECCN),
  • Technology Control Plan/s (TCP)
  • Export Control License/s applications held or required.


Questions may be directed to export@npe.nmt.edu

Provide an explanation of which areas of your project equipment / information / technology being utilized you are unclear about at this time.

Research Location*

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.)

Where will this research be conducted?


Include a complete list of locations and who on the project will be working there.

Provide an explanation of which areas of your project research location you are unclear about at this time.

International Shipping?*

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

Give detailed information about what is being shipped, where it's being shipped to, and who it is being shipped to?

Provide an explanation of which areas of your project international shipping you are unclear about at this time.

Foreign Travel?*

Is foreign travel expected on this project?

Please provide the list of individuals traveling (if known) and locations

Provide an explanation of which areas of your project foreign travel you are unclear about at this time.

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.

Educational Information*

Is the information commonly taught at schools and universities?

Common Course Material*

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.

Encryption commodities, software, and technology*

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

Commodities, Software, and Technology Continued*

Contact the Research Compliance Officer in the Research Compliance & Safety Office at export@npe.nmt.edu within 5 business days for help with the assessment and development of a TCP and determination of export licensing needs.

Provide an explanation of which areas of your project utilizing encryption commodities, software, and technology you are unclear about at this time.

Select Agents?*

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.

Select Agents Continued*

NMT personnel working with EAR/ITAR-listed hazardous materials must maintain an inventory of those items. A Technology Control Plan may need to be developed depending on the materials, contract/award terms, and Foreign National or Foreign Person involvement in the project or within the laboratory area.


Contact the Research Compliance Officer in the Research Compliance & Safety Office at export@npe.nmt.edu within 5 business days for help with the assessment and development of a TCP and determination of export licensing needs.

Provide an explanation of areas of your project utilizing select agents you are unclear about at this time.

Trade Secrets*

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?

Provide an explanation of which areas of your project utilizing trade secrets you are unclear about at this time.

Sanctioned or Embargoed Countries*

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)

Which sanctioned or embargoed country/countries are the party/parties or entity/entities from?

Provide an explanation of which areas of your project involving sanctioned or embargoed countries you are unclear about at this time.

International Traffic in Arms Regulations (ITAR)*

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))

ITAR Continued*

Contact Research Compliance and Safety at export@npe.nmt.edu within 5 business days to discuss the nature of your project and to determine if a license is required.

Provide an explanation of which areas of your project utilizing items or technical data from the International Traffic in Arms Regulations (ITAR) or U.S. Munitions List (USML) you are unclear about at this time.

Export Administration Regulations (EAR)*

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​​).

EAR Continued*

Contact Research Compliance and Safety at export@npe.nmt.edu within 5 business days to discuss the nature of your project and to determine if a license is required.

Provide an explanation of which areas of your project utilizing anything that might be considered outside educational information released by ‘instruction’ in catalog courses and associated teaching laboratories of academic institutions according to the Export Administration Regulations (EAR) you are unclear about at this time.

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.

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