NEW -  Proposal Submission Deadline Policy  - Begin March 4th, 2019

As of February 27, 2019, all new study and continuing review/study closure submissions must be submitted in myResearch IRB

Export Controls

The purpose of the campus policy is to inform and educate the University community of their responsibilities to comply with federal export control regulations.

Although many of the campus activities are not subject to the export regulations, most notably educational activities, fundamental research, there are still many activities that are subject to the export regulations.

Penalties and sanctions can be applied to either or both the university and the person and can include significant fines and jail time.

International travel considerations include: country you are going to (is it a sanctioned/embargoed country), person/business/university you are visiting (are they a restricted entity), what you are taking (is a license needed or is there a license exception), and what you will be doing there (do you need a license).

Example - standard laptops qualify for license exception TMP. Although no license is required, there are requirements to be in compliance with the license exception: you MUST retain exclusive control of the equipment at all times, you MUST not let the equipment be used by anyone in the foreign country, you MUST not intend to keep these items in these countries for longer than one year, you MUST verify that no government licenses are required.

Example - even if you are conducting fundamental research, a license may still be required to bring field equipment. This is especially true for any military controlled items.

Example - travel to Cuba has recently opened up but travel is not completely open and not all activities are permitted.

Before Shipping Checklist for Export Compliance

Is the item or technical information controlled under the export control regulations?

  • Yes and it is controlled under the International Traffic in Arms Regulations (ITAR) – STOP - an export license is required
  • Yes and it is controlled under the Export Administration Regulations (EAR) – STOP – an export license or a license exception may be required
  • It is EAR99 - STOP - EAR99 items cannot be shipped to most restricted parties or to embargoed countries

Are you sending the item to an embargoed or sanctioned country?

Does the person or entity that you are sending the item to appear on any restricted parties lists?

Is it a legitimate end purpose?

Under the EAR a "conference or gathering is considered “open” if all technically qualified members of the public are eligible to attend and attendees are permitted to take notes or otherwise make a personal record (but not necessarily a recording) of the proceedings and presentations." In all cases, access to the information must be free or for a fee that does not exceed the cost to produce and distribute the material or hold the conference (including a reasonable profit).

Individuals should be cognizant of whether or not the conference or workshop they are attending, hosting, or presenting at is open.

Open conferences will not ask that attendees complete forms confirming their nationality status or sign non-disclosure agreements.

If you are attending a conference/workshop that is not open, a license may be required to share the information from that conference/workshop with foreign persons (even within the U.S.).

The TMP license exception, applies to the Export Administration Regulations and not the International Traffic in Arms Regulations.  A laptop must be “clean” - may not contain any export controlled technical data - to be eligible for the TMP license exception. In addition, the following must be followed: 

  • you MUST retain exclusive control of the equipment at all times
  • you MUST not let the equipment be used by anyone in the foreign country
  • you MUST not intend to keep these items in these countries for longer than one year
  • you MUST verify that no government licenses are required

Go to International Travel for additional consideration for traveling.

Prior to taking any field equipment with you to an international research location, you must first stop and review whether or not these items export controlled under either the Export Administration Regulations (EAR) or the International Traffic in Arms Regulations (ITAR)? If they are controlled under the International Traffic in Arms Regulations, the items will need a license. If they are controlled under the Export Administration Regulations, the applicability of a license exception or need for a license will depend upon the destination. If they are controlled under the EAR and there is an applicable license exception, this exception needs to be properly documented.

Remember: Just because you can purchase an item overseas does not mean that a license is not required to take the item overseas.

The release of technology or software subject to the Export Administration Regulations to a foreign national in the U.S. (although this term in not expressly stated in the International Traffic in Arms Regulations the same principles apply).

Deemed exports can be conveyed through visual inspection, oral exchange, electronic/digital exchange, made available by practice/application (e.g. training).

When receiving third party proprietary information and before sharing the information with a foreign national (even a fellow SBU employee or student) a deemed export review should be completed.

U.S. Citizenship and Immigration Services' I129 form requires an Export Attestation for a foreign person petitioning for a H-1B, H-1B1 Chile, Singapore, L-1 or O-1A visa.

A person who is NOT:

  • Granted permanent U.S. residence, as demonstrated by the issuance of a permanent residence card, i.e., a "Green Card"
  • Granted U.S. citizenship
  • Granted status as a "protected person" under 8 U.S.C. 1324b(a)(3), e.g., political refugees, political asylum holders, etc.
  • It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions)

The fundamental research exclusion does not apply to shipping information and/or materials off campus, a license may be required to share this information with an international collaborator - even under a fundamental research project.

The fundamental research exclusion applies to INFORMATION that is made public; while the actual “item” that is the result of the research may require a license.

Key considerations when you have international collaborations - what are you sharing, who are you sharing with, why are you sharing.

Proprietary Information is not publicly available and is subject to the export regulations. If you received Proprietary Information and wanted to share it with a research team member that was a foreign national, a deemed export license may be required. Research Agreements (RA), Material Transfer Agreements (MTA) and Non-Disclosure Agreements (NDA) can be structured to mandate that a party notify the Research Foundation and the principal investigator that Proprietary Information is export controlled prior to releasing it in order to allow for the proper sharing of the information.

The regulations distinguish between Fundamental and Proprietary Research.

The distinction is important as there are different rules for different types of research.

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