/Office for Research and Innovation
Research Security

 

Professional Activities

Stony Brook University (SBU) faculty, staff, and students are encouraged to participate in international activities, as these may promote the creation of knowledge and enrich learning experiences. These professional activities may include external academic appointments, sabbaticals, conference presentations, mentoring, advising, tutoring of non-SBU students, lectures, teaching engagements, or serving on review panels for non-SBU entities.  These activities  may be performed in the U.S., outside the U.S., or a combination. 

REQUEST A PROFESSIONAL ACTIVITY REVIEW

Restricted Party Screening Requirement

International activities enrich the SBU community’s intellectual and research endeavors, international connections, and global perspectives. However, these international partners may 

SBU faculty and staff engaging in international professional activities are required to complete a Restricted Party Screening.

The U.S. government maintains lists of entities and persons who are restricted and/or denied certain transactions.  This includes the recent "1286 List" - Restricted Party Overview

All  foreign person and entities must be screened for inclusion on any of these lists prior to engaging in activities.  If they appear on one of these lists you must contact the Research Security Program before engaging in any activities or invitations. 

How to conduct a restricted party screening using Descartes Visual Compliance software

Foreign Talent Recruitment Programs (FTRP)

Researchers, as well as faculty and staff,  accepting appointments at foreign institutions (regardless of compensation and/or title) must make sure that they are not agreeing to be part of a Malign Foreign Talent Recruitment Program (MFTRP). 
Is My Talent Program Malign? 

Faculty should understand the characteristics of foreign talent recruitment program (FTRP).  Most federal sponsors prohibit a principal investigator or key personnel from participation in a malign foreign talent recruitment program (MFTRP) and/or consider participation in any FTRP when making award determinations.

Review the information on Foreign Talent Recruitment Program and Malign Foreign Talent Recruitment Programs.

Research Security Considerations

In addition to addressing concerns related to restricted parties, other regulatory requirements, such as sharing export-controlled information, access to intellectual property, and potential undue foreign influence concerns must be considered and reviewed in balance with the benefits of  the international professional activity.  

Researchers, as well as faculty and staff, should review the below  general guidance for considerations when engaging in international professional activities. 

Be aware of potential Academic Solicitation which may include requests from U.S. persons, or from foreign nationals located in the United States or abroad, and may consist of:

  • Unsolicited applications or requests for undergraduate, graduate, postgraduate or other research positions.
  • Unsolicited requests for access to research papers or other research-related publications or documents.
  • Unsolicited requests for assistance with or review of thesis papers, draft publications or other research-related documents.
  • Unsolicited invitations to attend and/or present at international conferences.

The federal government maintains a list of critical and emerging technologies that are potentially significant to U.S. national security.  

Conduct of research in these areas at an international location 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 federal government has identified China, Iran, Russia and North Korea as Countries of Concern.   

There are additional considerations when conducting professional activities in Countries of Concern, contact the Research Security Program for a review of the professional activity and discussion about any potential risks or restrictions. 

Publications should accurately reflect affiliations, contributions and support.  Federal agencies also monitor publications to ensure that foreign components, international collaborators and funding support have been properly reported both in the manuscript and to the agency. Review the Recommendations on Authorship from the Provost's Office.

Note: Several SBU departments also have authorship guidelines for their area. 

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.  Faculty and staff should understand how federal funding agencies will review and consider their international professional activities.  Review the information on Federal Sponsor Risk Reviews. 

 

Export Controls 

Researchers, as well as faculty and staff, engaging in professional activities have an obligation to be aware of export restrictions applicable to the conduct of professional activities.  The Export Control Compliance team can provide support with potential export controls issues for professional activities. 

Beyond Countries of Concern (China, Iran, North Korea, and Russia), the Department of Treasury, Office of Foreign Asset Controls places restrictions on certain persons, entities, and countries.  Full list available here

If the professional activity will be with an individual or entity in an embargoed country, i.e., North Korea,  Cuba, Iran , Russia, Syria, Crimean Region of Ukraine, Luhansk Region of Ukraine, or Donetsk Region of Ukraine, the faculty member or student's faculty advisor MUST consult with the SBU Export Control Compliance team before conducting any activities.   

Remember to review the International Collaborations Guidancefor additional information on export controls and embargoes/sanctioned countries.

If the professional activity includes the sharing of information that is not Publicly Available then that information is considered proprietary and needs to be reviewed for export control determination. 

If the professional activity includes the shipment or hand-carry of any tangible items (i.e., equipment, materials, documents, supplies) then those items should be reviewed for export control determination. Review  International Transfers: Shipments, Hand-Carry and Electronic Transmissions

 

Federal Sponsor Requirements

Researchers with federal funding must understand when professional activities need to be disclosed to and/or require approval from a federal sponsor.  Disclosure and prior approval requirements may vary among federal sponsors. 

Disclosures to federal sponsors may be required depending upon the detail of the international collaboration.  Review  Sponsor Requirements:  Biosketch, Current & Pending, & Other Support information.

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.

 

Other Campus Requirements

Researchers, as well as faculty and staff, engaged in professional activities, must follow campus policies and procedures for professional activities.  If the professional activity includes an international collaboration component, make sure to review the International Collaboration guidance for additional considerations. 

Faculty Policies/Processes

Postdoc Policies/Processes