Export Controls

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Guidance/Procedures for the Campus Community
Export Controls
Campus Newsletters, Presentations and Online Courses
Training, Brochures and Awareness Videos
Articles, Letters, Opinions, Comments
Export and Related Campus Policies

Introduction to Export Controls

What are Export Controls?

Export controls are a body of federal regulations that regulate:

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”).

Transactions and the provision of services involving prohibited countries, persons or entities based on trade sanctions, embargoes and travel restrictions.

Certain transactions with persons or entities designated on a federal restricted parties lists.

Common Definitions and Terms

Common Acronyms

Do I Need to Comply?

All members of the Campus Community must comply with U.S. export control laws when conducting any Activity

(1) on University controlled premises, or

(2) on behalf of the University at any domestic location, or

(3) on behalf of the University at any foreign location.

Please refer to P212 for definitions of Campus Community, Activity and University.

How Do I Comply?

The Office of the Vice President for Research provides a variety of CAMPUS TRAINING RESOURCES and GUIDANCE DOCUMENTS (step by step procedures) to support the Campus Community with their compliance with export control laws.

What Can Happen if I Don't Comply?

Penalties, fines, and sanctions (and in some cases jail time) can be imposed on the individual and/or the university for violation of the regulations. Voluntary disclosures can be made by the University to the federal agencies and may result in reduced penalties and/or sanctions if it is found that a violation had occurred.

How Can I Contact SBU's Export Control Officer?

 

FAQ

This page is under development. If you have questions that you would like see answered, please email Susan.Gasparo@stonybrook.edu

Training Resources

The Office of the Vice-President for Research has the following training resources available to all faculty, staff and students to assist with compliance with the federal export regulations.

SBU Export Compliance Newsletters

New newsletter series to assist the campus community in understanding and complying with Export Control regulations.

Issue #3 (May 24, 2019) - International Visitors

Issue #2 (March 4, 2019) - International Shipping

Issue #1 (December 20, 2018) - International Travel Considerations (Travel to an Embargoed Country, Traveling with Items, Accepting Foreign National and/or Publication Restriction for Sponsored Research

December 7, 2016 Recorded Presentation by Don Fischer, attorney and principal of Fischer and Associates

Export Controls: Training and Awareness (NetID and password required)

In Person Trainings

To request a presentation, please contact the Office of Research Compliance at 2-9036.

Collaborative Institutional Training Institute (CITI), recommended as follows:

Faculty, Staff and Students Conducting Research:  Export Compliance for Researchers

Faculty, Staff and Students as Appropriate to Research Area:  Export Compliance for Biosafety, Export Compliance and International and Foreign Waters, Export Compliance When Using Technology in Research

Faculty, Staff or Students Involved in International Activities:  Export Compliance and United States Sanctions Programs, Export Compliance and Collaborations, Export Compliance and Distance Education, Export Compliance for International Shipping

Faculty, Staff or Students involved in Purchasing Activities:  Export Compliance for Purchasing

Non-Research Faculty and Staff in Campus Academic/Research Areas:  Introduction to Export Compliance

Staff in Office of the Vice-President for Research:  Export Compliance for Research Administrators

Staff in University Business Offices:  Export Compliance for Operational Departments

Go to our CITI Training page to learn how to access CITI

Policies

Research Foundation of SUNY and State University of New York Institutional Commitment to compliance with federal export regulations

Research Foundation for SUNY, Export Control Guidance

SUNY, Export Control Guidance

Stony Brook University Export Control Policy (P212)

Stony Brook University Confidential Export Control Escalation Policy

Military Critical Technical Data Agreement (DD2345)

What is the Military Critical Technology Data Agreement (DD23345)?

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.

What is the Military Critical Technology Data Agreement (DD23345) Used For?

Stony Brook University's certification is principally used to facilitate either the participation of University researchers in DoD/DND sponsored events (e.g., to discuss program requirements or present research findings) or the exchange of export controlled technical data between defense contractors (i.e., between prime contractor and subcontractor).

Who Receives the Data?

Under the JCP, data is sent to the recipient's Data Custodian named on the DD2345 who is then responsible for ensuring that appropriate safeguards (controls) are put in place to prevent unauthorized disclosures and exports before releasing it to the end user (i.e., researcher). Given that the purpose of the JCP is to facilitate the exchange of export controlled technical data, the Export Control Administrator is responsible for administering the University's certification under the oversight of Data Custodian.

Note: University faculty, staff, trainees, and students engaging in University supported activities are required by the JCP to use our institutional certification rather than register as an individual.

Certification Details

  • Enterprise Name: The Research Foundation for the State University of New York
  • Certification Number: 0059840
  • Expiration Date: 8/15/2024
  • Data Custodian: Susan Gasparo (susan.gasparo@stonybrook.edu)

Process

All DD2345-related questions and requests must be directed to the Data Custodian; documents should be emailed to ovpr_exports_admin@stonybrook.edu to expedite processing. Examples include, but are not limited to, requests for a copy of the University's approved DD2345, employment verification with DD2345 authorization, and representations and certifications associated with sponsored programs proposals or awards.

An approved Technology Control Plan (TCP) is required for all JCP data, regardless of format, that will be accessed, developed, provided, used, or stored by or on behalf of the University or University personnel. A TCP is not required for meeting participation unless the participant will be retaining notes, conference proceedings, presentations, etc. from the meeting that require safeguarding.

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