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 activities can be engagements with international persons,
labs, institutions, or other entity types. International research activities may
be performed in the U.S., outside of the U.S., or a combination.
International collaborations enriches SBU community’s intellectual and research endeavors,
international connections, and global perspectives. However, these collaborators may
be knowingly or unknowingly acting on behalf an entity of concern.
Researchers, as well as faculty and staff, engaging in international collaborations
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 Parties 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.
Researchers , as well as faculty and staff, engaging in international collaborations
have an obligation to be aware of export restrictions applicable to the conduct of
international collaborations.
The Department of Treasury, Office of Foreign Asset Controls places restrictions on
certain persons, entities, and countries.
If the collaboration 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 MUSTconsult with the Export Control Compliance team before conducting any activities.
Fundamental Research
Fundamental research means research in science, engineering or mathematics, the results
of which ordinarily are published and shared broadly within the research community,
and for which the researchers have not accepted restrictions for proprietary or national
security reasons.
Important: Fundamental Research is invalidated when restrictions on free dissemination
of research or research methods used during the research are are agreed to in a contract
or verbally with a sponsor.
Non-Fundamental Research
Proprietary research, industrial development, design, production and product utilization
the results of which are restricted, and
Government funded research that specifically restricts the outcome for national security
reasons are not considered fundamental research.
Important:
Non-fundamental research should not be conducted outside of the U.S. without a Research
Security Program review.
Non-fundamental research must be reviewed by the Export Control Compliance team to
evaluate for export control and IT compliance.
The export control regulations also place restrictions on specific activities of U.S.
persons that could harm national security, even if an export is not actually occurring
per se.
Generally speaking, providing support to foreign persons or entities in the following
areas are prohibited:
Nuclear explosive devices
Missiles, rocket systems, and unmanned aerial vehicles
Chemical or biological weapons (including plants for their production)
Military Intelligence
Note that “support” is very broadly defined and could include providing a foreign
entity or person with the results or findings of Fundamental Research if it is in
furtherance of one of these areas listed above.
If the collaboration includes the sharing of information that is notPublicly Available, in the Public Domain, or Published then that information is considered proprietary and needs to be reviewed for export
control determination.
If the collaboration 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.
Here are examples of collaborations that would require an export control compliance
review.
Due to comprehensive sanctions on Iran, this activity would need a specific license
from the Office of Foreign Asset Controls. A specific license must be obtained through
the Export Control Compliance team.
Plasmids, while not being harmful or infectious in of themselves, can be subject to
export restrictions and should always be reviewed by the Export Control Compliance
team before shipment.
The topic of the publication and any collaborative efforts towards the project must
be Fundamental Research.
In addition, there are other considerations if the colleague is from a university
listed on a Restricted Party List or is in an embargoed country. Interactions in these instances must be reviewed by the Export Control Compliance
team.
SBU faculty and staff are not permitted to complete (i.e., sign) any agreement with
a foreign entity. Review this chart for the appropriate agreement and office for your activity. International agreements
must be reviewed by the Export Control Compliance team for any export licensing requirements.
