Research Activities and Export Control

Research Activities and Export Controls

Research at Stony Brook University (SBU)

Even though most research conducted at SBU is Fundamental Research (see discussion below) there are many situations where export controls apply to SBU research activities.

State University of New York (SUNY) Policy PROHIBIT the acceptance of any awards that:

Awards that want to accept restrictions must apply for a waiver through the Research Security Program.

What is Fundamental Research?

Fundamental Research is a term that has been defined by the U.S. government (in National Security Decision Directives 189 - NSDD-189) and then used within the export control regulations to carve out what is not subject to export control regulations.

Important: Acceptance of any restrictions (including verbal agreement of prior review and approval of publications) on dissemination invalidates the Fundamental Research carve out in the export control regulations. This means that these projects need to be evaluated to determine if they are (or could) creating any export controlled items or if export licenses are required for non-U.S. project personnel.

Fundamental Research Overview

Potential Areas of Export Control

Receipt of Third-Party Confidential Information
International Activities (both in the U.S. and abroad
- shipping, hand-carrying, collaborations, visitors, conferences
Export controlled materials, equipment or information
- foreign national access both in the U.S. and abroad
Research that is not Fundamental
- proprietary research or U.S. government funded research that has restrictions on dissemination/publication
Research (funded or unfunded) for the benefit of an international entity
Dual Use Research of Concern (DURC) in the Life Sciences

Additional Resources:

Are the Results/Outcomes of Research Export Controlled?

When conducting Fundamental Research the results (the information and in some instances software) is not subject to the export control regulations. However, tangible items remain subject to the export control regulations and may require an export license for some destinations/recipients.

- Information and software (except for certain encryption source code) resulting from Fundamental Research is excluded from the export control regulations.
- Information and software resulting from Proprietary Research is subject to the export control regulations.
Research is not Fundamental Research if:
- The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or
- The University or its researchers accept any foreign national participation restrictions, or
- The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable.
*The above applies to both verbal and written agreements.
Tangible outcomes (e.g., materials, prototypes, equipment) resulting from research need to be evaluated in accordance with the regulations to determine if they are export controlled.

Review the How to Determine Classification.
Software is dependent upon release and access. Encryption is dependent upon characteristics.
- Review Guidance for Stony Brook Developed Software (NetID and password required)
- Bureau of Industry and Security, Department of Commerce tools:
  - Information on Encryption including classification tools.
  - Cyber Tools Flow Chart and FAQs