Research Compliance

• Policy Statement
• Background
• Responsible Campus Officer
• Fundamental Research Exclusion
• Clauses that Destroy the Fundamental Research Exclusion
• Employment Exclusion
• Education Exclusion
• Penalties for Violating Export Controls

Policy Statement: In order to facilitate compliance with federal regulations regarding the control of exports, The Research Foundation of SUNY at Buffalo State College requires that all employees who are seeking external funding for sponsored programs, or who are seeking Research Foundation funding for travel or projects, must complete a web-based export controls evaluation and follow all applicable procedures. If the evaluation results indicate the possibility that an export control license may be required, the employee shall work with the Research Foundation Campus Export Controls Officer to complete the license review and, if needed, the licensing process.

Background: The United States federal government has enacted laws that regulate the distribution of specific technology, information and services to foreign persons and foreign countries for reasons of national security and foreign policy. These laws are applicable to U.S. citizens, and are relevant to the university community, especially in respect to travel and research conducted by individuals alone and/or in affiliation with the university. The laws apply to exports of “controlled” items and technologies, and to deemed exports. In recent years, penalties have been enhanced to impact not only individuals, but also institutions. Thus, universities have implemented export control programs to educate their employees and to facilitate the export control license application process when necessary and appropriate. In addition, many universities have adopted policies to assure that research conducted meets the criteria of “fundamental research,” to increase the chance that faculty research will not require an export controls license.

Responsible Campus Officer: The Associate Director of Finance and Grants Management is designated as the Research Foundation Export Controls Officer and will be responsible for maintaining the export controls compliance program. As such, s/he will work with pertinent staff in other offices such as Pre-Award, Human Resources, Purchasing, and Grants Management to assure that information regarding export controls compliance is disseminated to the campus community on a timely basis.

The Research Foundation Operations Manager will be responsible for determining if the institution will accept an externally-funded project that requires a license. The Operations Manager and Export Controls Officer will be responsible for assuring that the export controls compliance program is reviewed and updated on a periodic basis and will be responsible for determining if a license is needed.

The Operations Manager (and or his/her designees) will be responsible for determining if the institution will provide on-campus funding for travel or a project that requires an export controls license.

Fundamental Research Exclusion: No license is required to disclose to foreign persons information that is published and which is generally accessible or available and shared broadly in the research community.

Clauses or restrictions that might destroy the fundamental research exclusion: Fundamental Research exclusion is destroyed if the employee or university accepts any clause that:

• forbids the participation of foreign persons;
• gives the sponsor a right to approve publications resulting from research;
• restricts participation in research
• restricts access to and disclosure of research results
• accepts “side deals” between a principal investigator and sponsor that may violate openness in research

Employment Exclusion*: In most cases, a license is not required to share controlled technical information with a foreign person who is a bona fide State University of New York employee with a permanent address in the United States while employed provided that person is 1) not a national of certain countries and 2) is advised in writing not to share controlled information with other foreign persons.

Education Exclusion*: In most cases, a license is not required to share with foreign persons “information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.”

Per Research Foundation policy, foreign students enrolled in SUNY may participate in research or research-related programs conducted by SUNY personnel at state-operated campuses or on SUNY controlled premises.

Penalties for Violating Export Controls: Violations of export controls is both personal and institutional and may take the form of administrative penalties, monetary fines and jail time. These penalties vary based upon the applicable regulations that have been violated.

NOTES:

1) This policy applies only to Export Controls for foreign travel using Research Foundation Funds.
2) *The exclusions above refer to the sharing of information NOT the transporting/shipment of equipment.