March 2025 Newsletter

How Open Research and Scholarly Work Intersect with Export Controls

Why do I need to worry about export control laws if I am conducting open research and scholarly work?

While there are broad carve outs to the export controls rules for information generated during open research and scholarly work, there can certainly still be some risks. Common activities one engages in during or items that are used in furtherance of such projects can still come with restrictions that are meant to protect national security and/or the U.S. economic advantage. Failure to abide by these restrictions can have serious consequences for SBU and the individual conducting the activity (more on this later).

SBU Export Control Policy

What is open research and scholarly work?

Generally speaking, open research and scholarly work are free of any restrictions on dissemination of the resulting information and/or restrictions on participation based on nationality.

If you are conducting research or scholarly work that has restrictions on dissemination or participation, please contact ovpr_exports_admin@stonybrook.edu as this could create export control requirements and require other campus/SUNY approvals.

What do export controls laws regulate?

Disclosure, shipment, use, transfer, or transmission of items, commodities, materials, technical information, technology, software, or encrypted software to foreign persons, foreign locations, or foreign entities wherever located. This includes activities occurring completely within the U.S. (a “Deemed Export”) (types of exports)
Transactions and services involving prohibited countries
Certain transactions with people or entities on federal restricted parties list

What is not export controlled?

While one cannot provide a list of all things that are not export controlled. There are some things common to universities that are excluded from export controls laws which include:

Results that arise from Fundamental Research*
Any content that is already published and in the public domain (e.g., published manuscripts, ideas shared at open conferences, content available in libraries)
The subject matter taught in classes at universities such as SBU
Technology contained in a patent

*Defined as: basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

Campus Compliance and Export Control Laws and Regulations Overview

What is export controlled?

Many different kinds of items that can be used for a military purpose (even commercial items that can have a dual-use), harm the national security interests, or serve an economic interest of the U.S. can be export controlled. Some common export-controlled technologies or equipment that may be at universities include:

Designs specs for integrated circuits
Algorithms for advanced cryptography
New methods for culturing infectious substances
Plasmids
Infrared Cameras or imaging systems
Drones
Chemicals, chemical precursors, energetic materials
Biological agents and toxins
And many, many more…

Note: This is not an exhaustive list and only provides some common examples, if you have an item, software, or data that you think may be export controlled contact ovpr_exports_admin@stonybrook.edu.

What kinds of activities may be export controlled?

There are many activities one can engage in, even while performing open research or scholarly work that can be subject to export controls regulations. Some common examples for universities are:

Receive third party (proprietary) information
Ship or hand-carry research materials or items to foreign countries
Use or obtain export-controlled materials, equipment, or information in your lab
Perform research that is not Fundamental Research
Engage in research (funded or unfunded) for the benefit of a foreign military entity
Travel to an embargoed country such as Cuba or Iran
Attend a closed meeting where sensitive information will be distributed or discussed
Host foreign nationals here at SBU
Transmit information electronically that is not already publicly available
Provide distance education to a student in a sanctioned country (Cuba, Iran, etc.)
Transfer items or information (regardless of method) to a foreign entity for an inherent military application

Review our Guidance Documents

How can you get assistance with export controls?

What happens if export control laws are violated?

Potential risks and consequences of violations can include:

Significant financial penalties for the university
Potential imprisonment of individual offenders
Possible loss of federal funding or export privileges
Negative optics/bad publicity

Case Studies

Receiving Proprietary Information

You request background proprietary information from a sponsor or other external source to inform your Fundamental Research project. While the results of Fundamental Research are not subject to export controls, such proprietary information is not considered “results of your Fundamental Research project” and is subject to export controls. How do you find out if the proprietary information is export controlled?

Best Practice: Obtain a non-disclosure agreement (NDA) through the Intellectual Property Partners (IPP) office for the exchange of proprietary information. As part of the NDA process the IPP staff will share NDAs that involve export-controlled information with the ORS.

Important: If an external party wants to share export controlled technology or technical data, the university must put appropriate safeguards in place to ensure that an unauthorized Deemed Export does not take place. Contact ovpr_exports_admin@stonybrook.edu whenever you know you will need to obtain export controlled information and our staff will work with you to put these safeguards in place.

Conducting a Survey in Sanctioned Countries

You are a social scientist looking to conduct a human subjects survey around the world including some sanctioned/embargoed countries, you plan to disseminate the findings of your study. While the human subject study is Fundamental Research and the results would not be subject to export controls, conducting a survey in some sanctioned/embargoed countries is prohibited without a specific U.S. government license.

Best Practice: Obtain an IRB approval or a determination of non-human subjects research from the Office of Research Compliance. As part of the IRB process the IRB staff will share studies that involve sanctioned/embargoed countries with ORS.

Important: If your intended subjects are located in Cuba, Iran, North Korea, Syria, or Ukraine (Crimea, Donetsk, Luhansk) contact ovpr_exports_admin@stonybrook.edu to discuss your project further before you engage with them or initiate any surveys/projects.

Shipping Research Materials to a Foreign Collaborator

You have a federally sponsored project that includes a collaboration with a colleague at a foreign university. As part of the research process, you and your collaborator need to ship materials (created as part of the project) to each other. As long as the sponsor of the research has not placed restrictions on publication or participation in the research, you are conducting Fundamental Research, and the results are not subject to export controls. Even though the materials being shipped are an outcome of Fundamental Research, they are still subject to export controls.

Best Practice: Anytime you need to share research materials, equipment, or specimens with a foreign party you need to address any potential export control concerns prior to shipment/transfer. You may want to obtain a material transfer agreement (MTA) through the Intellectual Property Partners (IPP) office when transferring materials in/out of SBU. As part of the MTA process the IPP staff will share MTAs that involve export controlled materials with the ORS.

Important: The requirement for an export license or export license exception depends on many factors including what is being sent, where it is being sent, to whom it is being sent, and the intended use. ORS is the authorized university office to obtain export licenses. Contact ovpr_exports_admin@stonybrook.edu for assistance with international shipping/transfers and export licensing.

Purchasing High-End Equipment with Advanced Capabilities

You are a social scientist that wants to take high-resolution photographs of animals in the wild and need to purchase a camera to conduct your study. This research is considered Fundamental Research. However, the equipment (in this case the camera) that is used to conduct Fundamental Research may be export controlled for either use in international field research (physical export) and/or use by a foreign national in the U.S. (deemed export).

Best Practice: Ask the vendor for the export classification of equipment and contact ovpr_exports_admin@stonybrook.edu with any questions regarding the control level and compliance. Contact ovpr_exports_admin@stonybrook.edu If you are asked to sign an end-user statement as end-user statements are usually required for items/software that are controlled at a higher level.

Important: The more advanced the equipment (“best in class”), the greater the chance it could be export controlled and come with access restrictions based on nationality. Knowing if your equipment is export controlled is a crucial step in knowing your compliance obligations under export control laws - regardless of the location of the research. Contact ovpr_exports_admin@stonybrook.edu for assistance with determining export control restrictions and requirements for equipment or other similar purchases.

Furnishing Assistance to a Foreign Military Organization

You are approached by the Ministry of Defense for a foreign country about assisting them with a military issue they are having. They will allow you to publish the results of the work and they are not limiting foreign national participation - seems like Fundamental Research. However, it is clearly to help further their country’s military operations which makes this subject to export controls.

Best Practice: Obtain a sponsored research agreement (SRA) or other appropriate agreement from the Office of Sponsored Programs (OSP) before engaging in research for the benefit of another entity. As part of the proposal and SRA process the OSP staff will involve ORS in the review of international projects.

Important: Engaging in Fundamental Research for the benefit of a foreign country’s military (or a military adjacent entity in a foreign country) presents export control risks - this is known as a Defense Service. SBU would need to obtain special authorization from the U.S. government for such services to be offered (even if all information used or provided are in the public domain). Contact ovpr_exports_admin@stonybrook.edu if you are approached to conduct this type of research or scholarly work.