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 

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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

• SBU Export Control Manual
  Export Controls Compliance Manual (July 2024)
• Campus Community Defined

  The Export Control Policy applies to the Campus Community. 

  The Campus Community includes but is not limited to all faculty (including voluntary, lecturers, and adjuncts); research personnel (including research staff, post-doctoral fellows, research associates); visiting scientists and scholars, graduate and undergraduate students involved in research activities; visiting scholars, consultants or other volunteers involved in research activities; non-research staff in departments, centers, institutes, colleges, administrative offices that are involved with transactions covered under this Policy.

  University includes all schools, centers, institutes, and administrative offices within the State University of New York at Stony Brook, the Research Foundation for State University of New York as it relates to Stony Brook University, Stony Brook Medicine (including University Hospital), and the Long Island State Veterans Home.

• Where the Policy Applies - Locations

  SBU's Export Control Policy applies to the conduct of any Activity:

  • On University controlled premises, or
  • On behalf of the University at any domestic location, or 
  • On behalf of the University at any foreign location.

  Note: Activity is defined as research, education, service & scholarship or business purpose.

• Research Activities and Export Controls

  Even though most research conducted at SBU is  Fundamental Research (meaning that there are no foreign national or publication restrictions), there are many situations where export controls apply to SBU research activities.

  Examples of potential export control areas:

  • Receipt of Third-Party Confidential Information
  • International Activities (both in the U.S. and abroad)
  • Export controlled materials, equipment or information
  • Research that is not Fundamental
  • Research (funded or unfunded) for the benefit of an international entity

  Review the Research and Export Controls Overview

• Education Activities and Export Controls

  Even though most courses offered at SBU qualify for exclusions from export control regulations (courses commonly taught at universities and part of the course catalog), there are situations where export controls apply to SBU educational activities.

  Examples of potential export control areas: 

  • Senior design classes 
  • Teaching abroad 
  • Online courses 
  • Software 

  Review the Education and Export Controls Overview.

• Service and Scholarship Activities and Export Controls

  Even though most service and scholarship activities would not be subject to export control regulations, there are situations where export controls apply to SBU service and scholarship activities.

  Examples of potential export control areas: 

  • Unfunded research for the benefit of an international entity 
  • Travel to, or collection of data from, an embargoed/sanctioned country
  • International partnerships/visitors

  Review the Service and Scholarship and Export Control Overview.

• Business Activities and Export Controls

  SBU interacts with international entities, persons, and partners through many different avenues.

  Operational offices (supporting SBU's mission) can be:

  • Export control compliance checkpoints and/or 
  • Areas of risk for export control compliance

  Examples of potential export control areas: 

  • Payment to an international party
  • Purchase of export controlled items 
  • Agreements with an international partners
  • International Shipments

  Review Business and Export Controls 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 Control Terms and Definitions

  There are many defined terms and key concepts to understand with export controls laws and regulations. 

  Export Control Terms and Definitions 

• What Export Control Laws and Regulations Apply To

  • Disclosure, shipment, use, transfer, or transmission of any item, commodity, material, technical information, technology, software, or encrypted software for the benefit of a foreign person or foreign entity anywhere (including the transfer of controlled information within the U.S. “deemed export”);   Types of Exports Overview

  • Transactions and the provision of services involving prohibited countries, persons or entities based on trade sanctions, embargoes and travel restrictions;  Embargo and Sanction Programs Overview

  and 

  • Certain transactions with persons or entities designated on a federal restricted parties lists.  Restricted Party Overview
    
    

  See What Do You Want to Do? on this page for guidance on common SBU activities. 

• International Traffic in Arms Regulations

  Highly Controlled  - all destinations and to non-U.S. persons in the U.S.

  Administered by the Directorate of Defense Trade Controls (DDTC) in the Department of State, the International Traffic in Arms Regulations regulate defense articles,  significant military equipment, major defense equipment, defense services, and technical data and software. 

  International Traffic in Arms Regulations Overview

• Export Administration Regulations

  Different levels of control that vary by  item and destination.  Access by non-U.S. persons in the U.S. depends on multiple factors.  

  Administered by the Bureau of Industry and Security (BIS) in the Department of Commerce  - Export Administration Regulations regulate commercial and dual use (commercial and military/security applications) items, including encrypted software.

  Export Administration Regulations Overview

• Nuclear related Export Control Regulations

  Highly Controlled -specialized regulations with a narrow scope.

  Administered by:

  • Department of Energy the Assistance to Foreign Atomic Energy Activities regulates technology and services related to direct or indirect production of Special Nuclear Materials.
  • Nuclear Regulatory Commission regulates the export and import of nuclear equipment and material.

  Federal Export Control Laws and Regulations Overview

• Sanctions/Embargoes Regulations

  Highly Controlled - country and/or activity based

  Office of Foreign Asset Controls (OFAC) in the Department of Treasury, administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.

  Embargo and Sanction Programs Overview

• Record Keeping Requirements

  The U.S. government regulations in general require: 

  • Any paperwork detailing:  internal export control assessments, including any documentation regarding the applicability of any licensing exemptions, license determinations, license submissions, post-license management, negotiations in connection with an export regardless of whether the export or re-export actually occurs are required to be kept for five (5) years from the last activity or expiration date. 
  • Records must be kept in a manner in which facilitates the ability to retrieve the records for any purpose and to review the records during internal or U.S. Government audits.
• Penalties, Fines, and Sanctions for Non-Compliance

  The penalties for violating export control laws can be significant and may result in criminal sanctions and/or fines against the individual and/or the University, loss of exporting privileges for the University, and/or loss of federal funds.

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 

• How to Determine Classification of Items, Technology, or Software

  The export control regulations have an "Order of Review" to determine classification of items, technology, and software.   

  This includes all physical items and non-public information and software! 

  Classification Overview 

• Classification of Third-Party Items, Technology, and Software

  When receiving an item, technology, or software from another party that may be export controlled it is important to request the export classification. 

  Classification Overview 

• Classification of Campus Created Items and Technology

  Depending on what you have created (e.g. information vs prototypes) you may or may not be dealing with something that is export controlled.

  Classification Overview 

• Classification of Campus Created Software and Encryption

  Software and encryption is a complex area of export control laws and regulations. For both research and non-research developed software, review the Guidance for Stony Brook Developed Software (NetID and password required)

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.   

• Restricted Parties

  A Restricted Party is any person or entity that is listed on a U.S. government denial list.

  Restricted Parties Overview

  How to conduct a restricted party screening using Descartes Visual Compliance software

• Countries of Concern

  Each set of export control regulations addresses sharing of controlled items, technology, and software under its control with specified countries. 

  In addition, the Department of Defense identified:

  • China, Iran, North Korea and Russia as Countries of Concern. 

  "Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education" (June 2023) 

• Embargoed or Sanctioned Countries

  Embargoes and sanctions are unique to the country/group that is being targeted by the embargo/sanction.

  Particularly relevant to the campus community are programs against Cuba , Iran, and Russia.  

  • Many activities with individuals in, or ordinarily resident in, Iran may require an export license even though there is no export. 
  • Activities in Cuba require a documented license exception. 

  Embargoes and Sanctions Overview

• Foreign Military/Government Organizations

  The International Traffic in Arms Regulations (ITAR) also regulates Defense Services which is the training of foreign military units and forces by U.S. persons 

  Defense Services Overview

  Note: Defense services may occur even if the activity includes only publicly available information. 

Related Federal Regulations

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

• Controlled Unclassified Information (CUI)

  SBU does not conduct research that would create or accept Controlled Unclassified Information (CUI).  

  Controlled Unclassified Information (CUI) is information the Government creates or possesses, or that an entity creates or possesses for or on behalf of the Government, that requires safeguarding or dissemination controls consistent with applicable laws, regulations, and Government-wide policies but is not classified under Executive Order 13556 “Classified National Security Information” or the Atomic Energy Act, as amended.

  Controlled Unclassified Information Overview

  Contact the Research Security Program if you have questions regarding CUI for research. 

• Classified Information

  SBU does not conduct Classified Research or accept Classified Information. 

  Classified national security information is information created or received by an agency of the federal government or a government contractor that would damage national security if improperly released. The President of the U.S. manages the system of classifying information by executive order (E.O.); the most recent order concerning classified national security information is E.O. 13526, signed by President Obama on December 29, 2009.

  Classified Information Overview

  Contact the Research Security Program if you have questions regarding Classified Information for research. 

• Military Critical Technology Data Agreement (DD2345)

  Stony Brook University's DD2345 expires in August 2024. 

  The Military Critical Technical Data Agreement (DD2345) is the institutional form the University fills out to register in the Joint Certification Program (JCP). Through the JCP, U.S. and Canadian defense contractors to apply for access to U.S. Department of Defense (DoD) or Canadian Department of National Defense (DND) unclassified export controlled technical data/critical technology on an equally favorable basis. The Joint Certification Office is staffed by DoD and DND staff that review and certify contractor applications submitted on the DD2345.

  Military Critical Technology Data Agreement Overview

  Contact the Research Security Program if you have questions regarding a DD2345 for research. 

• Foreign Corrupt Practices Act (FCPA)
  Anti-bribery provisions of the Foreign Corrupt Practices Act make it unlawful to bribe a foreign official for the purposes of obtaining or retaining business.
• Anti-Boycott Regulations

  Anti-Boycott regulations:

  • Prohibit U.S. businesses (including SBU) from taking actions in support of unsanctioned foreign boycotts, including the Arab League’s boycott of Israel.
  • Prevent U.S. persons from conducting business under terms that would restrict a person’s ability to do business with other countries under a boycott not recognized by the United States. 

  Anti-Boycott laws are administered and enforced by the Department of Commerce, Bureau of Industry Security, under the “Restrictive Trade Practices and Boycotts” of the EAR (15 CFR Part 760) and by the Department of Treasury under the “Ribicoff Amendment” to the Tax Reform Act of 1976 adding §999 to the Internal Revenue Code. 

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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. 

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U.S, Government Articles of Interest

• Don't Let This Happen To You:  Actual Investigations of Export Control and Antiboycott Violations (Nov. 2024)U.S. Department of Commerce, Bureau of Industry and Security 
• Protecting Critical and Emerging U.S. Technologies from Foreign ThreatsThe National Counterintelligence and Security Center
• Shield America BrochureU.S. Immigration and Customs Enforcement

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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.