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Export Control Compliance


Stony Brook University (SBU) is committed to complying with federal export control laws and regulations that pertain to the conduct and dissemination of our research and ot the export of tangible items such as equipment, components, or materials.  The Research Security Program is responsible for SBU's export control compliance program.

SBU Export Control Policy

SBU Confidential Export Control Escalation Policy

Request an Export Control Review (NetID login required) 


What are export control regulations? 

Export controls are a body of U.S. federal laws and regulations that regulate: 

  • Disclosure, shipment, use, transfer, or transmission of items, commodities, materials, technical information, technology, software, or encrypted software to foreign persons or entities wherever located. 
  • Transactions and services involving prohibited countries, persons, or entities.
  • Certain transactions with people or entities on federal restricted parties lists.  

U.S. Export Control Laws and Regulations Overview


Where can you get assistance with export control compliance? 

The Export Control Compliance team can provide support with any of the following issues:

  • Engaging in international collaborations
  • Attending conferences, meetings, and seminars in foreign countries
  • Working with and handling controlled information
  • Shipping or hand-carrying items to international locations
  • Traveling to embargoed/sanctioned countries 
  • Purchasing controlled equipment
  • Screening for restricted parties 
  • Inviting foreign visitors to campus
  • Hiring international employees
  • Engaging with foreign militaries and military organizations
  • ...and more

How can you request an export control review?

The Research Security Program team has created forms for easy submission of review requests. 

REQUEST AN EXPORT CONTROL REVIEW - NETID LOGIN REQUIRED


Are there training requirements for export control compliance? 

Export control training is not required for faculty, staff, and students that are not involved in export controlled projects or activities.  The Export Control Compliance team highly recommends completion of online export control training in Collaborative Institutional Training Institute (CITI) . 

Faculty, staff, and students can choose from:  Introduction to Export Compliance or any of the focused topical areas - Researchers, Biosafety, International and Foreign Waters, When Using Technology in Research, U.S. Sanctions Programs, Collaborations, Distance Education, Shipping, Purchasing.   

*CITI is available to all SBU faculty, staff and students - Use the Log In Through My Organization option and use your NetID and password. Directions: Select "Add a Course", then "I want to complete the Research Security Course at this time", then "Research Security Training", select "Next". You will then have the option of viewing any or all four modules, completion of the modules will be recorded in CITI.

 

Resources and Guidance for Export Control Compliance 

Export Controls Overview, Concepts and Guidance

Below is an overview of export controls along with general information, concepts and links to additional information, training, and resources.  Faculty, staff, and students who conduct or participate in international activities must be familiar with the information provided in these pages. Contact the Export Controls Compliance team 


Campus Activities & Export Controls Overview

The Campus Community (see below) must comply with SBU's Export Control Policy.

The Campus Community has an obligation to review the information provided on these pages and must contact the Exports Controls Compliance team when conducting activities that may require an export license or documented license exception. Campus Compliance Overview

Export Control Laws and Regulations

The Campus Community should be familiar with export control laws and regulations as it relates to their SBU activities.  The below information and related links are meant to provide a basic understanding of export control regulations and laws.  Federal Export Control Laws and Regulations Overview

Export Classification of Items, Technology, and Software

Classification is determining which body of export control regulations an item,  technology, or software falls under.   This is important because classification determines how an item, technology, or software is controlled and any licensing requirements. 

Design intent and any number of features can alter the way in which any item, technology, or software is controlled under the export control regulations.  Classification Overview 

Elevated Export Control Compliance Risks

Some individuals, institutions, businesses, governments, and countries have been identified by the U.S. government as presenting elevated concerns.  Interactions may be prohibited, require an export license or documented exception, or present other risks to the individual or SBU. 

Below is information on each of these areas.  All of the activities described below must be reviewed by the Export Control Compliance team.   

Related Federal Regulations

In addition to the laws and regulations discussed above,  many other laws and regulations touch upon export control compliance. 


Research Security

Export control compliance is one element of a Research Security Program and in some cases there is overlap of concerns and reviews. 

In addition to export control compliance information provided on these pages, faculty, staff and students should review and understand the information provided on the Research Security Program website


U.S, Government Articles of Interest


Learn More 

Awareness and Training Resources/Materials

Awareness and training resources to assist SBU faculty, staff, and students in understanding how to comply with export control laws and regulations. 

Awareness and Reporting

 

What Do You Want To Do? 

Common Activities that Require an Export Review 

Below is general guidance for faculty, staff, and students for complying with export control laws and regulations when engaging in university activities.


Restricted Party

Restricted Party Screening 

Restricted Party Screening

All non-U.S. persons and all entities (foreign and domestic) must be screened for inclusion on any of the U.S. government's restricted party list prior to engaging in activities.  How to conduct a restricted party screening.

Attend, Host, or Present at a Conference, Meeting, or Seminar

Conference, Meetings, and Seminars Export Reviews

Sharing non-public information (export-controlled, proprietary, or restricted by the U.S. government) may require an export license or documented license exception.  Additional risks may be associated with Countries of Concern. 

professional activities

 

Deemed Export

Share Information with a Foreign National Employee

Foreign National Employee Export Review

Sharing non-public information (export-controlled, proprietary, or restricted by the U.S. government or sponsor) and access to some equipment, materials, and/or software may require an export license or documented license exception.

Store Export Controlled Information or Items

Store Export Controlled Information or Items

Export controlled information and items must be properly secured based upon their level of control and security needs.  Explore campus resources.

store controlled information

 

collaborations

Conduct Research with an International Partner

International Collaborations Export Review 

Exchange of non-public information and shipment of any items may require an export license or documented license exception. Additional risks may be associated with  embargoed/sanctioned countries or Countries of Concern. 

Host an International Visitor

International Visitor Export Review

Sharing non-public information (export-controlled, proprietary, or restricted by the U.S. government or sponsor) and access to some equipment, materials, and/or software may require an export license or documented license exception.

visitors

physical

Send a Shipment, Hand-Carry, or Electronically Transmit Internationally

International Shipments and Hand-Carry Export Review 

An export license, documented license exception, or no license required determination is required whenever hand-carrying/shipping for one's own use in an international location or shipping to a third-party.  For hand-carry of electronic devices additional information - Tools of the Trade Guidance Document

Travel Internationally

International Travel Export Review 

International travel and export control compliance depends upon many factors, including international activity, the destination, and what is being hand-carried/shipped. 

travel

purchasing

Purchase Export Controlled Items (e.g.,  Equipment, Materials, Software)  

Procurement Export Review 

Receiving and understanding the export classification of purchases  (i.e., equipment, materials, chemicals, biologics, technology, software).  End-use agreement. Export controlled purchases often need enhanced security.  


 

Questions? 

View the FAQ page 

Contact Export Controls Compliance team 

Request an Export Control Review (NetID login required)


 

Report Export Compliance Concerns 

If after reviewing the information provided on this website or any other export control compliance resources it is believed that an export violation may have ocurred use the below resources: 

Confidential Export Control Escalation Policy

Contact the Director of Research Security