Education Activities and Export Control

Education Activities and Export Controls

Education at Stony Brook University (SBU)

Even though most courses offered at SBU qualify for exclusions from export control regulations (courses commonly taught at universities and part of the course catalog), there are situations where export controls apply to SBU educational activities.

What is Education Information?

Education information is a term that is is used in the export control regulations to carve out what is not subject to the export controls.

It is important to understand that teaching activities outside of what is defined below would need to be evaluated to determine if any export licenses are required for activity.

Information and "software" that "are released by instruction in a catalog course or associated teaching laboratory of an academic institution" are not subject to the regulations.
- Where - academic institution
- How - while conducting the instruction of a course or the course's associated lab class
- What - appears in a course catalogs
Note: This does not cover encrypted software

15 CFR § 734.3(b)(3)
"Information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities" is not considered technical data under the ITAR and is therefore not controlled.
- Where - academic institution
- How - implied - while conducting the instruction of a course or the course's associated lab class
- What - focuses on subject matter (implied - appears in course catalog)
Note: This does not cover software

22 CFR §120.10

Potential Areas of Export Control

Senior design and independent study classes
Teaching abroad
Online courses
Use of Export Controlled Software
Teaching of non-SBU students
Teaching of non-SBU catalog classes

Further discussions

Classes where students are designing their own projects are subject to the export control regulations. Contact the Export Control Compliance team if the student project:
- Uses proprietary information
- Uses export controlled technical data or technology
- Requires a non-disclosure agreement (for the faculty member and/or student)
- Has any restrictions on foreign national participation
- Has any restrictions on publication and/or dissemination
- Has a primary military or national security application
.
Considerations
- Are there students from OFAC sanctioned countries or terrorist states? (Iran, Sudan, Cuba, Iraq, Syria, North Korea, Crimea, etc.) You cannot teach them without a license.
- Are any of the students on the Restricted Parties list? You may not teach them. To find out their status, their names must be run through a screening program.
- Is the course material transferring knowledge on "principles not commonly taught"?
- Is there sensitive nuclear technology being taught?
- If you are teaching abroad you must ensure you are not providing a "Defense Service" or export controlled information.
General Guidance

Below are some guidelines but every scenario is unique. If you are planning any of these activities contact the Export Control Compliance team before you are committed.
- Material released in catalog courses is considered publicly available, and therefore excluded from US export controls, by delivery in instruction at universities in the U.S. or abroad, except for:
  - Encryption (EAR)
    
    Principles not commonly taught (ITAR)
    
    Sensitive nuclear technology (DoE)
- Courses with no export control connection: many courses in business, media studies, economics, foreign languages, history, literature, management, music and theater arts, political science, writing and humanistic studies, and some courses in other departments and programs have subject matter that is not within the scope of the export controls.
- Courses with content within the scope of EAR(possibly in engineering, chemistry, etc.): educational information is not subject to the EAR if it is released by instruction in catalog courses and associated teaching laboratories of academic institutions. “Academic institutions” here applies both outside and inside the U.S. (EAR §734.3, 734.9).
  - Note: Encryption software controlled under 5D002 for EI reasons and mass market encryption software with symmetric key length >64 bits controlled under 5D992 remain subject to the EAR
- Courses with content within the scope of ITAR (possibly in aero/astrophysics, nuclear science): “information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities“ is excluded from the definition of ITAR-controlled “technical data” and is not subject to ITAR controls §120.10(a)(5). Courses with unusual content should be evaluated for consistency with this criterion.
  - Note: Even though the course material is excluded from export controls, follow-on discussion or active selection, collection, and transfer of the uncontrolled course material can meet the definition of “defense service” (§120.9(a)(1)), which is subject to control.
- Courses with content within the scope of Department of Energy (DoE)(including some courses in Nuclear Science and Engineering and Physics): furnishing public information, including information “in university courses”, is generally authorized, provided no sensitive nuclear technology is transferred.
  - “Sensitive nuclear technology” means information (including tangible items and services) not available to the public which is important to the design, construction, fabrication, operation, or maintenance of a uranium enrichment or nuclear fuel reprocessing facility or a facility for the production of heavy water. 10 CFR §810.3, 810.7.
    
    DoE has pointed out that follow-on-questions and discussion can go beyond the public information and into practical implementation, which requires specific authorization. Some of the above is based on verbal discussion with DoE, and cannot be readily identified in the current regulations.

Online Courses

The provision of online course(s) to an individual physically located* within a country subject to comprehensive sanctions administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) constitutes an export of a regulated service. Authorization for the provision of the regulated service must be granted via either by a general or specific license. In addition to the provision of services for offering the course, the export of items other than general software utilized to host the course would require review. The export of any commodities and items related to the course should be reviewed to determine any applicable licensing requirements.

Below is a detailed review of the related citations for each country.

Country	Citation	Course Level/Description	Allowable/Unallowable	Notes
Cuba
Cuba	31 CFR 515.565 (a)(2)(x)	Undergraduate or below online Internet-based courses	Allowable via general license
Cuba	31 CFR 515.201(a)	Graduate internet-based courses	Unallowable	Unless specifically authorized by OFAC through license
Cuba	31 CFR 515.565 Note 2 to paragraph (a). 15 CFR 740.21	Online Course Software	Requires EAR licensing determination	Allowable for ECCNs: EAR99 and 5D992.c
North Korea
North Korea	31 CFR 510.201 (a)(3)(ii)(B)	All online, internet-based course	Unallowable	Unless specifically authorized by OFAC through license
Syria
Syria	31 CFR 542.207	Graduate and Undergraduate online internet-based courses	Unallowable	Unless specifically authorized by OFAC through license
Crimea Region
Crimea Region of the Ukraine	Pursuant to E.O. 13685, dated 12/19/2014	Online Internet-based courses graduate and undergraduate	Unallowable	Unless specifically authorized by OFAC through license
Iran
Iran	31 C.F.R. 560. General License G, (b)(1)(iii)	Online courses (including Massive Open Online Courses, coursework not part of a degree seeking program, and fee-based courses) in the humanities, social sciences, law, or business provided that the courses are the equivalent of courses ordinarily required for the completion of undergraduate degree programs in the humanities, social sciences, law, or business	Allowable via general license	Does not cover individuals in degree seeking programs in science or engineering.
Iran	31 C.F.R. 560. General License G, (b)(1)(iii)	Introductory undergraduate level science, technology, engineering, or math courses ordinarily required for the completion of undergraduate degree programs in the humanities, social sciences, law or business.	Allowable via general license	Does not cover individuals in degree seeking programs in science or engineering.
Iran	31 C.F.R. 560. General License G, (b)(1)(iii)	Introductory undergraduate level courses ordinarily required for the completion of undergraduate degree programs in engineering, science, or math.	Unallowable	Unless specifically authorized by OFAC through license
Iran	31 CFR 560.204, 31 CFR 560.410(a)	Online Internet-based Graduate level courses**	Unallowable	Unless specifically authorized by OFAC through license
Iran	31 CFR 560. General License G, (c)(1)	Online Course Software	Allowable	Must be EAR99 or Educational Information not subject to the EAR. (See 15 CFR 734.9).

SBU would like to thank the Association of University Export Control Officers (AUECO) for the informational material regarding Sanction Implications and Online Courses.

*This includes individuals physically in country and those ordinarily resident in country.

**General License M-1, dated 8/24/21 replaces General License M and grants to a specific programmatic subset of Iranian graduate students who have been granted a non-immigrant visa by the U.S. State Department, but are not physically present in the U.S. due to the COVID-19 pandemic a general license for specified online courses through 9/1/22. You must confer with the SBU Export Compliance Officer before delivering any services under any general licenses.

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