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Guidance & Procedures for Export Control Compliance

Do Activities Need to Be Reviewed for Export Control Compliance?

Yes! While most activities at Stony Brook University (SBU) do not require an export license there are times when an export license, documented export license exception, and/or technology control plan is required for a research, teaching, service and scholarship, or business activity.

How to Comply

Request an Export Control Review (NetID login required) 

Guidance and Procedures - What Do You Want to Do? 

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  • Classification

    Classification Guidance.  How to determine which body of export control regulations an item, technology, or software falls under whether campus created or received from a third-party (e.g., collaborator, vendor, consultant, company)

    Correct classification is required to be able to comply with export control laws and regulations when sharing with a non-U.S. person (wherever located) and sending/shipping internationally (to U.S. and non-U.S. persons). 

  • Conferences, Meetings, and Seminars

    Conferences, Meetings, and Seminars Guidance.  These events should be open to technically qualified members of the public.  Even in open events, sharing of 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, Restricted Parties, and embargoed/sanctioned countries. 

    If attending a conference, meeting, or seminar where government clearance is required review the Government Information Guidance. 

  • Drones 

    Drone Guidance.  Use of some drones in foreign locations or within the U.S. by a non-U.S. person may require an export control license. 

    Foreign Person Employees

    Foreign Person Employees Guidance. 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.

  • Foreign Military/Government Interactions

    Defense Services Overview. 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 

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

  • Foreign Sponsors 

    Foreign Sponsors Guidance. Additional considerations for research and research related services sponsored by a foreign entity, organization, or government. 

  • Government Information 

    Government Information Guidance.  Government information may be export controlled.  If a sponsor or collaborator intends on sharing Controlled Unclassified Information (CUI) or Classified Information contact the Research Security Program about storage.  At this time, SBU does not have the ability to transmit/receive/store electronic files that contain Classified Information or Controlled Unclassified Information. 

  • International Transfers: Shipments, Hand-Carry and Electronic Transmissions

    International Transfers: Shipments, Hand-Carry and Electronic Transmissions Guidance.  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.  

  • International Collaborations

    International Collaborations Guidance. 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. 

  • International Travel

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

  • International Visitors 

    International Visitor Guidance. 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.

  • Process Design Kits (PDK)

    Process Design Kits (PDK) Guidance.  Receiving and working with PDKs (even on fundamental research projects) may require an export license.

  • Purchase of Items

    Purchase of Items Guidance. 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.  

  • Remote Work from Overseas

    Remote Work from Overseas.  Working remotely overseas should be screened for any export control compliance, sponsor, and research security requirements.

  • Restricted Party Screening 

    Restricted Party Screening Guidance. All  foreign person and entities 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 using Descartes Visual Compliance software.

    Note: these lists are frequently updated. 

  • Sanctioned and Embargoed Countries 

    Embargo and Sanction Programs Guidance. Each sanction and embargo program is different. A review of the proposed activity in conjunction with the particular program must be reviewed before engaging in activities. In some cases this includes persons in, ordinarily resident in, or entities in the sanctioned or embargoed country. Sanctioned Countries List

    Cuba Guidance

    Iran Guidance

    Russia Guidance

  • Software and Encryption

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

  • Store Export Controlled Information and Items 

    Store Export Controlled Information and Items Guidance.  Where and how to store export controlled information and items. 

Reference Documents to Guidance/Procedures Above