Research Security & Export Control Review Requests/Forms
Reviews/Consultations
Use the forms below to request a Research Security or Export Control Review for your activity.
The Research Security Program coordinates reviews on various aspects of international engagements to assess risks related to undue foreign influence, research security and compliance concerns some international engagements may present. Review considerations were in-part created on guidance from the National Institute of Standards and Technology's Safeguarding International Science, Research Security Framework, released August 2023.
The NIST framework is designed to enable organizations to implement a mission-focused, integrated, risk balanced program through the application of research security principles and best practices that fosters the safeguarding of international science while mitigating risks to the integrity of the open collaborative environment.
Review Considerations
Entities and individuals that appear on a U.S. government restricted party list (i.e.; Entity List, Debarred List, Specially Designated Nationals and Blocked Persons,
High risk entities include entities identified on the FY22 Lists Published in Response
to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal
Year 2019 (Public Law 115-232) as amended) and the 1260H List.
The University community is required to conduct reviews to screen for high risk entities
when considering international activities. Tools and instructions available on the Export Controls website to assist with the screening requirement.
The U.S. government has listed China, Iran, Russia, and North Korea has "Countries
of Concern".
- Strategic area
- Military Civil Fusion technology match
- Technology access
- Malign foreign talent recruitment program affiliation
The federal government maintains a list of critical and emerging technologies that
are potentially significant to U.S. national security. Research project with an international
partner in one of these areas should be reviewed by the Research Security Program.
Federal Resource: Critical and Emerging Technologies List Update (February 2024); Fast Track Action Subcommittee on Critical and Emerging Technologies
of the National Science and Technology Council.
The Office of the Under Secretary for Research and Engineering’s Critical Technology Areas are essential to addressing the United States' most pressing national security challenges.
The Department of Treasury, Office of Foreign Assets (OFAC) administers and enforces
economic and trade sanctions based on U.S. foreign policy and national security goals
(current list of countries). A license from the OFAC or a documented license exception may be required before any
activity can occur.
Additional information on sanctions/embargoes can be found here.
The U.S. government has defined characteristics of a Malign Foreign Talent Program (MFTRP).
Foreign Talent Recruitment Programs (FRTP) should be reviewed to determine if they
are a MFTRP and/or they create any high risk to SBU and/or the individual.
-
In general, 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.
Additional information and resources on export controls can be found here.
Other Considerations
Entities and individuals that appear on a U.S. government restricted party list (i.e.; Entity List, Debarred List, Specially Designated Nationals and Blocked Persons, High risk entities include entities identified on the FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232) as amended) and the 1260H List.
The University community is required to conduct reviews to screen for high risk entities when considering international activities. Tools and instructions available on the Export Controls website to assist with the screening requirement.
The U.S. government has listed China, Iran, Russia, and North Korea has "Countries of Concern".
- Strategic area
- Military Civil Fusion technology match
- Technology access
- Malign foreign talent recruitment program affiliation
The federal government maintains a list of critical and emerging technologies that are potentially significant to U.S. national security. Research project with an international partner in one of these areas should be reviewed by the Research Security Program.
Federal Resource: Critical and Emerging Technologies List Update (February 2024); Fast Track Action Subcommittee on Critical and Emerging Technologies of the National Science and Technology Council.
The Department of Treasury, Office of Foreign Assets (OFAC) administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals (current list of countries). A license from the OFAC or a documented license exception may be required before any activity can occur.
Additional information on sanctions/embargoes can be found here.
The U.S. government has defined characteristics of a Malign Foreign Talent Program (MFTRP).
Foreign Talent Recruitment Programs (FRTP) should be reviewed to determine if they are a MFTRP and/or they create any high risk to SBU and/or the individual.
-
In general, 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.
Additional information and resources on export controls can be found here.
Government of Canada list of research organizations and institutions identified to
pose the highest risk to Canada's national security due to their direct, or indirect
connections with military, national defence, and state security entities. Considerations include the funding sources, potential funding sources and understanding
certain sponsors risk tolerance. Faculty should be aware that U.S. federal agencies are increasing efforts to identify and counter undue foreign
influence in federally-funded research. Federal agencies have implemented a variety
of policies and processes for these purposes. If a faculty member is funded by, or plan to submit a proposal to, one of these federal
agencies it is important to understand the agency's disclosure requirements, prohibited
activities, and risk review criteria. Additional information about Federal Sponsor Risk Reviews can be found here.
Review Request Forms
ACCEPTING APPOINTMENTS AT INTERNATIONAL INSTITUTIONS/ENTITIES
Classifying an Item for Export
CONDUCTING ACTIVITIES INVOLVING IRAN (OTHER THAN TRAVEL)
Conducting an International Collaboration
Hiring a Foreign National Employee
Hosting an International Visitor
Shipping or Hand-Carrying an Item Internationally
Traveling to an International Destination
Virtually Attending an International Conference
Other General Inquiries or Requests