Export Controls Frequently Asked Questions
Overview
The following frequently asked questions address common export control questions that arise in University research.
Export control requirements are activity-specific and may depend on the equipment, materials, software, technology, technical information, individuals, organizations, destinations, and end uses involved. The Office of Research Security (ORS) administers the University's Export Control Compliance Program and assists faculty, staff, and students in determining when export control requirements apply.
Researchers planning a specific activity should begin with the Research Activities & Guidance pages or contact ORS for assistance.
BROWSE RESEARCH ACTIVITIES & GUIDANCE
What are export controls?
U.S. export control laws and regulations govern certain transfers, releases, shipments, transmissions, and other activities involving equipment, materials, software, technology, technical information, and services.
Export control requirements may apply to activities occurring outside the United States as well as certain activities within the United States, including access to controlled technology or technical information by foreign persons.
The applicable requirements depend on the item, information, recipient, destination, end use, and other circumstances of the activity.
What is fundamental research?
Fundamental research generally means basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community.
Information resulting from fundamental research may qualify for exclusions from certain export control requirements. However, the fundamental research provisions do not mean that all activities associated with a fundamental research project are exempt from export controls.
LEARN MORE ABOUT FUNDAMENTAL RESEARCH
Does fundamental research mean export controls do not apply to my project?
No. Even when research qualifies as fundamental research, export control requirements may still apply to other aspects of the activity.
For example, requirements may apply to:
- Export-controlled equipment, materials, software, or technology used in the research.
- Proprietary or controlled technical information received from a sponsor, company, collaborator, or other third party.
- International shipments or hand-carried items.
- International transfers of software or technical information.
- Activities involving sanctioned or embargoed destinations.
- Activities involving restricted individuals or organizations.
- Certain services provided to foreign persons or organizations.
- Foreign-person access to controlled technology or technical data.
ORS can assist in determining whether export control requirements apply to a specific research activity.
Is information resulting from University research subject to export controls?
Information resulting from research may qualify for an exclusion from export controls when the research meets the applicable requirements for fundamental research.
However, information received from another party does not become unrestricted merely because it is used in a fundamental research project. Proprietary, confidential, export-controlled, government-controlled, or otherwise restricted information received from a sponsor, company, collaborator, government agency, or other third party may remain subject to applicable restrictions.
Researchers should review applicable sponsor and agreement requirements before receiving or sharing restricted technical information.
Are items created through fundamental research subject to export controls?
They may be.
Fundamental research provisions generally apply to qualifying information resulting from the research. They do not automatically exclude equipment, materials, prototypes, commodities, software, or other items resulting from the research from export control requirements.
Items developed or produced through University research may therefore require export control classification before they are exported, shipped, transferred, or otherwise provided internationally.
ORS can assist researchers in determining the applicable export control classification and requirements.
Can I share technical information with an international collaborator?
It depends on the information and the circumstances.
Publicly available information and information resulting from qualifying fundamental research generally present fewer export control concerns. However, proprietary, confidential, export-controlled, government-controlled, sponsor-restricted, or other non-public technical information may be subject to restrictions.
The recipient, organization, destination, and intended use may also affect whether authorization is required.
Researchers should review the Sharing Research Information guidance and contact ORS when they are uncertain whether information may be shared.
Can foreign persons participate in University research?
In most cases, yes. Export controls do not generally prohibit foreign persons from participating in University research.
However, restrictions may apply when a project involves certain export-controlled equipment, technology, software, technical data, government information, sponsor restrictions, or other controlled research information.
For example, access to certain ITAR-controlled technical data or defense articles may require authorization from the U.S. Government.
Contact ORS before providing a foreign person access to export-controlled equipment, software, technology, or technical information when you are uncertain whether restrictions apply.
What is a deemed export?
Under the Export Administration Regulations (EAR), the release of certain controlled technology or source code to a foreign person in the United States may be treated as an export to that person's country or countries of nationality.
Similar restrictions apply to the release of technical data to foreign persons under the International Traffic in Arms Regulations (ITAR).
Not every interaction with a foreign person constitutes a deemed export. Applicability depends on the information or technology involved and its export control classification.
ORS can determine whether a proposed activity presents a deemed export concern.
Do export controls apply to international travel?
They can.
International travel may involve export control requirements when researchers travel with University equipment, research materials, software, technical information, encryption items, prototypes, samples, or other research-related items.
Travel to sanctioned or embargoed destinations may also involve additional restrictions on transactions, services, research activities, or other conduct.
Researchers should review the International Travel guidance before traveling internationally with research equipment, materials, software, technology, or controlled information.
Do export controls apply to international shipments?
Yes, international shipments may be subject to U.S. export control requirements.
Requirements depend on factors including:
- What is being shipped.
- Its export control classification.
- The destination.
- The recipient and organization.
- The intended end use.
- Whether the recipient or other parties are subject to U.S. Government restrictions.
- Whether an export license, license exception, or other authorization is required.
Researchers should contact ORS before shipping or hand-carrying research equipment, materials, software, technology, prototypes, samples, or other items internationally when export control requirements have not already been determined.
What is Restricted Entity Screening?
The U.S. Government maintains lists of individuals and organizations that are prohibited or restricted from participating in certain transactions or activities.
Restricted Entity Screening helps identify whether an individual or organization involved in a proposed research activity appears on applicable U.S. Government restricted party or entity lists.
The presence of an individual or organization on a restricted list does not necessarily result in the same restriction in every circumstance. Depending on the applicable list and activity, the transaction may be prohibited, require government authorization, or require additional review.
ORS conducts Restricted Entity Screening in connection with research activities when appropriate.
What are sanctions and embargoes?
The United States maintains economic and trade sanctions that may restrict transactions and activities involving certain countries, regions, governments, organizations, and individuals.
Restrictions vary by sanctions program and may affect activities such as:
- Research collaborations.
- Travel.
- Payments and financial transactions.
- Providing services.
- Shipping or transferring items.
- Sharing certain information or software.
- Remote work or research activities.
Because sanctions requirements vary by destination and activity and may change over time, researchers should consult the applicable Sanctions & Embargo Programs guidance and contact ORS before engaging in activities involving sanctioned destinations when requirements are uncertain.
What is a Technology Control Plan?
A Technology Control Plan (TCP) is a project-specific plan used to establish administrative, physical, and technical safeguards for export-controlled equipment, materials, software, technology, technical information, or other controlled research assets.
A TCP may address matters such as authorized personnel, physical access, information access, storage, cybersecurity, visitor controls, international access, and handling or transfer requirements.
ORS determines when a TCP is required and develops the plan in coordination with the researcher and appropriate University offices.
What should I do if I believe an export control violation may have occurred?
Contact the Office of Research Security promptly.
Potential export control concerns may involve unauthorized shipments, transfers, access, disclosures, transactions, services, or other activities.
ORS will review the circumstances, determine the appropriate next steps, and coordinate any required institutional or government response.
Researchers should not attempt to resolve or report a potential export control violation to a government agency independently on behalf of the University.
What is SUNY's Openness in Research Policy?
SUNY policy supports openness in University research and generally prohibits acceptance of sponsored research awards that restrict publication or dissemination of research results or restrict participation based on citizenship.
These principles support the open conduct of University research and are also important to preserving the fundamental research status of qualifying research activities.
Sponsor or agreement terms that may restrict publication, dissemination, or participation should be identified and reviewed before the University accepts the applicable research agreement.
Can exceptions to SUNY's Openness in Research requirements be considered?
Exceptions may be considered in limited circumstances in accordance with applicable SUNY requirements and University procedures.
Researchers should not accept restrictions on publication, dissemination, or participation without appropriate University review and approval.
Contact ORS if a proposed research activity or agreement contains restrictions that may affect the open conduct of University research. ORS will coordinate with the appropriate University offices to determine applicable requirements and next steps.
Still Have Questions?
Export control requirements depend on the specific research activity and circumstances. If you are uncertain whether export controls apply, contact the Office of Research Security before proceeding with the activity.
ORS can assist with export control classifications, international shipments and transfers, foreign-person access, Restricted Entity Screening, sanctions requirements, Technology Control Plans, licensing questions, and other export control matters.