Research

Research Security (Interim)

Northern Arizona University (“NAU” or the “University”) is committed to protecting the integrity, security, and openness of its research enterprise. This policy establishes the University’s framework for research security, promotes a culture of security and compliance, supports national security interests, and safeguards University research from threats that may compromise research activities, personnel, data, intellectual property, or other research assets.

Responsible Executive: Vice President for Research
Responsible Office: Office of Research Compliance
Origination Date: September 11, 2026
Last Revised: n/a

Scope

This policy applies to all University employees, students, affiliates, visiting scholars, and other individuals engaged in research, sponsored activities, or activities supporting the University’s research enterprise.

Policy

1. Research Security Program

   • NAU shall maintain a Research Security Program to protect the University’s research enterprise and support compliance with applicable laws, regulations, sponsor requirements, contractual obligations, and University policies. The Research Security Program shall be administered by the Office of Research Compliance under the authority of the Vice President for Research.

2. Research Security Principles

   • The University’s Research Security Program shall:

     • a.  Safeguard the University’s research activities, personnel, data, intellectual property, facilities, and other research assets.
     • b.  Promote a culture of research security, awareness, integrity, transparency, and compliance.
     • c.  Support United States national security interests while preserving academic freedom and lawful international collaboration.
     • d.  Identify, assess, and mitigate risks associated with foreign interference, undue foreign influence, unauthorized access, theft, diversion, misuse, or disclosure of research-related information or resources.
     • e.  Address risks associated with foreign adversary nations, foreign entities, and other activities that may present research security concerns.
     • f.  Support compliance with federal, state, sponsor, contractual, and institutional requirements related to research security.
3. Implementation

   • The University shall establish procedures, standards, training requirements, review processes, disclosures, certifications, and other compliance measures necessary to implement this policy.

     Implementation measures shall address:

     • Research security training;
     • Disclosure and transparency requirements;
     • Cybersecurity;
     • Foreign travel security;
     • Insider threat awareness;
     • Export controls;
     • International collaborations;
     • Research risk management; and
     • Other research security requirements established by law, regulation, sponsors, or the University.
4. Reporting and Compliance

   • The University shall maintain processes for reporting, reviewing, and addressing research security concerns and for monitoring compliance with this policy and related procedures.

     University personnel are expected to comply with applicable research security requirements and to cooperate with reasonable institutional efforts to assess and manage research security risks.

5. Review and Continuous Improvement

   • The Office of Research Compliance shall review this policy and related procedures at least once annually and make revisions as necessary to address changes in law, regulation, sponsor requirements, emerging threats, or institutional needs.

6. Noncompliance

   • Failure to comply with this policy or related procedures may result in corrective or disciplinary action consistent with applicable University policies, sponsor requirements, and law.

Related Information*

Conflict of Interest in Sponsored Projects

Information Security Awareness Training Policy

Intellectual Property Policy

International Travel Policy

Participation in Foreign Talent Recruitment Programs

Export Control Program

Policy History*

09/11/2026: Interim policy approved.

*Related Information and Policy History are solely for the user’s convenience and are not part of the official University policy.