Overview of Export Controls

Institutional Commitment

Stony Brook University is committed to the highest level of compliance with all applicable export control laws and regulations that pertain to the conduct and dissemination of our research and to the export of tangible items such as equipment, components, or materials. While our primary mission is education, research and dissemination of knowledge, the responsibility remains to balance the services of this mission with safeguarding national assets through adherence of the export regulations, rules, and laws of our country. In the November 19, 2010 memorandum, John J. O’Connor reaffirmed the commitment by the State University of New York and The Research Foundation for State University of New York’s to assure due diligence and compliance with the United States federal government export control laws and regulations. The purpose of this document is to restate for the Stony Brook University community the essential aspects of the laws and regulations concerning exports, confirm our policy for compliance, and explain how Stony Brook University will provide our researchers with the assistance they may need to ensure compliance with these complicated laws.

Export Controls Compliance Manual

Confidential Export Control Escalation Policy

What are Export Controls?

What is an Export?

Who is a Foreign National?

Why Does Export Compliance Matter to Me?

Restricted Parties

What is a Restricted Party?

A restricted party is an entity that is placed on a denial list by the U.S. government or any other country’s government.   

Who Can be a Restricted Party?

Anyone! Restricted parties are not limited to foreign entities and can include U.S. persons. Restricted parties are subject to change and are updated routinely. Restricted party designation is not based upon nationality but instead is based upon previous behavior or action.   

 

Penalties / Sanctions

Who can be penalized?

Penalties can apply to individuals and to the organization! 

  1. Violations of AFAEA
    • Criminal sanctions for willful violations and civil penalties may be imposed.

 

Record Keeping

Are there specific guidelines for record keeping of export transactions?

ITAR
  • Maintenance of Records by Registrants 22 CFR 122.5
  • Recordkeeping for Exemptions 22 CFR 123.26
EAR
  • Recordkeeping 15 CFR Part 762
FARC
  • 31 CFR 501 Subpart C – Reports
Nuclear Regulations
  • NRC:  U.S. address, records, and inspections 10 CFR 110.53
  • NNSA:  Not specified in 10 CFR 810

What records are required to be kept?

In general, 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. 

How long are records required to be kept?  

Five years from last activity or expiration date. 

How are records required to be stored?

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. 

University Activities - Research

What is National Security Decision Directive 189 (NSDD189)?

NSDD189 defined fundamental research in order to establish a national policy for “controlling the flow of science, technology and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories”.

NSDD189 states: fundamental research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons."

Federal Policy Memos on Fundamental Research

Exclusions for University Activities

Information in the Public Domain/Publicly Available

The International Traffic in Arms Regulations, the Export Administration Regulations and the Assistance to Foreign Atomic Energy Activities exclude categories of public domain (ITAR) and publicly available (EAR and AFAEA) information from the regulations.

Fundamental Research Exclusion

Educational Information Exclusion (EAR) and General Principles in Science and Engineering (ITAR)  

Employment Exemptions 

 

Internal Export Control Compliance roles and Responsibilities

Who is Involved in a Compliance Program?

An effective export compliance program necessitates participation and coordination of multiple parties in the export review process.  Researchers may be held personally liable for violations of the export regulations and should exercise care in completing any required forms and/or questions.

Escalation Process

Any export control issues or known violations should be reported immediately to the Office of Research Compliance, per the campus Confidential Export Control Escalation Policy.

Legal Counsel

The State University of New York (SUNY), The Research Foundation for SUNY (RF) and Stony Brook University (SBU) provide general export compliance guidance to the Office of the Vice-President for Research and its Office of Research Compliance. SUNY and RF maintain system-wide export control websites, whereas a campus level website is maintained by the Office of Research Compliance.          

Campus Offices

Faculty and Staff

 

Export Review Process, Classifications, License Exceptions and Licenses

Export Review Process

Item/Technology Classification

  • What are the steps to determine if an item/technology is controlled?
  • Commodity Jurisdiction Requests
  • Classification Requests

License Exceptions

Licenses

 

 

 

Voluntary Disclosure

If after reviewing the export compliance information provided in this manual and/or any of the supporting documents and/or websites, it is believed that an export violation may have occurred, please contact the Assistant Director for Export Controls Compliance in the Office of Research Compliance.  The Assistant Director for Export Controls Compliance will work in conjunction with the principal investigator to determine if a violation has occurred; and if required will coordinate with the Empowered Official to file a voluntary disclosure to the appropriate agency.

 

Department of State:

The Department of State strongly encourages the disclosure of information to the Directorate of Defense Trade Controls (DDTC) by persons, firms, or any organization that believes that they may have violated the International Traffic in Arms Regulations.  Voluntary self-disclosure may be considered a mitigating factor in determining the administrative penalties, if any, that can be imposed by the Department of State. 

 

Department of Commerce:

The Department of Commerce encourages the disclosure of any violation of the Export Administration Regulations to the Office of Export Enforcement (OEE).   Disclosure to OEE prior to the time that OEE, or any other agency of the US government, has learned the same, or substantially similar information, is considered a mitigating factor in determining what administrative actions, if any, will be sought by the OEE.

 

Department of Treasury:

  • The Department of Treasury encourages the disclosure of any violation of Office of Foreign Assets Control (OFAC) regulations to OFAC.  Self-disclosure is considered a mitigating factor in civil penalty proceedings

Audit Internal Assessment

The internal assessment function is designed to objectively and independently review all aspects of the export control program.  Internal assessments will be conducted at the campus level as required, and will include:

  • Regular internal audits will be conducted to ensure that the Export Control Compliance Program is operating effectively, guidelines are being followed and that processes are updated as needed and/or required.
  • Review of select contracts, grants, activities, practices and procedures will be conducted to assess whether or not export control policies and procedures are being successfully implemented. 

Training and Education

Stony Brook University is committed to ensure that export control training information is disseminated throughout the campus.  The Office of Research Compliance has the following training opportunities available to the campus community:

eCustoms Visual Compliance:  one-on-one meeting to assist principal investigators in item classification through the interactive use of eCustoms Visual Compliance.

Internal Resources:

 

External Resource Lists: 

Presentations:

SUNY and Export Controls: Compliance, Education and Awareness
An in-depth presentation about export controls given by Richard A. Johnson, an attorney with Arnold and Porter LLP, at Stony Brook University on March 2, 2009.

​Power Point Presentations:

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