Export Controls

Export controls carry institutional and individual liability.  

Government agencies each have their own sets of penalties and sanctions for violating export control regulations. Depending on the nature of the violation, fines could be as high as $1 million for each violation and 20 years of imprisonment for an individual.

Additional penalties and sanctions include the suspension or debarment from government contracts, the revocation of export privileges, the seizure or forfeiture of the article, and the loss of federal funds. 

Fundamental Research Exemptions (FREs) for Sponsored Awards 

Most research at the University is eligible to fall within the fundamental research exemption (FRE) and may be shared broadly without review for export compliance.

However, the FRE is not absolute. It only covers the results of research where results are anticipated to be published. Any restrictions on the publication of the results of research may take the activity outside the FRE.
 

Sponsored Awards that Require a Review for Export Controls 

If you anticipate engaging in any of the activities listed below, you must first contact ORRC at [email protected]. ORRC will work with you and the relevant offices to determine if the engagement may be undertaken. 

• The documentation related to a proposal specifically states that International Traffic in Arms Regulations (ITAR) 22 CFR §§ 120‐130, Export Administration Regulations (EAR) 15 CFR §§ 734‐774, or Office of Foreign Assets Control (OFAC) 31 CFR §§ 500-599 or other export laws/regulations will apply to the work or that the specific technology involved is export controlled.
• The sponsor has specifically stated that the “fundamental research exclusion” otherwise available to universities does not apply to the activity.
• The proposed project will utilize privately held information or data or there will be any prohibition on the release of information. For example, such instances can include but are not limited to:
  • a. Commercial Trade Secrets
  • b. Controlled Unclassified Information
  • c. Classified Information
• The activity involves the development, testing or research of encryption technology or encrypted software.
• The documentation related to a proposal contains publication restrictions or limitations. This can include the right of the sponsor to review all proposed publications beforehand.
• The project is funded by the Department of Defense, Department of Energy or  Department of Homeland Security for non-research purposes, such as a procurement contract.
• The proposal involves activities in the following countries: Cuba, Iran, North Korea, Syria, or the Crimean territory occupied by Russia.
• Proposals that will transfer items or information that is not the result of fundamental research to countries in Group D of the 15 CFR 740.
• The activity involves the shipment of new unapproved FDA-regulated drugs or devices outside the country.

A license for deemed export may be required when a foreign national will work on research involving information or source code that is not in the public domain.

Reviews should be conducted before the individual is given access to such information and when the work a foreign national is engaged in at UAlbany changes.

To request a determination, please submit a Deemed Export License Determination Request to [email protected].

If you have controlled items or information in your lab, the items or information may not be shared with a foreign national until the University either receives a license or determines that one is not needed.

Individuals looking to hire foreign nationals should work with the appropriate Human Resources office from the beginning of the hiring process:

• ORRC works with Research Foundation Human Resources (RFHR) and Sponsored Programs Administration (SPA) to review whether foreign nationals hired will require a license.
• The Office of General Counsel works with UAlbany Human Resources to review whether foreign nationals hired by New York State will require a license.

The University assesses foreign nationals and the work they will be involved in to determine if a license is needed to share controlled items or information with the individual.

One of the fundamental considerations for export controls is who a controlled item will be transferred to. While most controls cover countries there are myriad individuals for whom exports and other transfers are prohibited.

Regulators maintain various lists of sanctioned parties that UAlbany and other entities may not do business with, such as: 

• Specially Designated Nationals (SDN) List managed by the US Treasury

• Entity List enumerated in Supplement 4 of Part 744 of the EAR

Transactions with such parties may be prohibited or require a license even if they do not involve controlled goods or technologies.

If you anticipate engaging with an individual identified on either the SDN List, the Entity List, or identified by New York State’s Iranian Divestment Act you must first contact ORRC at [email protected]. ORRC will work with you and the Office of General Counsel to determine if the engagement may be undertaken.

To request a review of a shipment, please submit an Export Controls International Shipping Review Request Form to [email protected].

Requests for review must be made by a UAlbany faculty/staff member, or the Research Foundation. Students needing to ship items for UAlbany projects must work with their faculty advisor or project supervisor to submit requests.

Reviews currently take between one and two weeks. 

Individuals who will be traveling on University business (research or education) must submit requests according to these University policies:

• Faculty and Staff International Travel Policy

• Student International Travel Policy

The Export Administration Regulations (EAR) make an exception to licensing requirements for the temporary export (or re-export) of certain items, technology or software for professional use as long as several criteria are met — and you must certify that this is the case (see 15 CFR §740.9).

The exception does not apply to:  

• Any EAR-controlled satellite or space-related equipment, components or software, or to any technology associated with high-level encryption products
• Items, technology, data or software regulated by the International Traffic in Arms Regulations (ITAR)
• Exports to embargoed countries, to restricted parties or for prohibited end-uses 

If you plan to take UAlbany- or Research-Foundation-owned equipment (such as laptops) abroad, you must complete an Export License Exception (TMP) Traveler Certification identifying the equipment. This certification should be kept with you and the items as you travel through customs.

Items Eligible for Temporary Export (TMP) Exception

• UAlbany or RF-owned items
• Items necessary and related to the purpose of the travel, such as laptops, tablets, smartphones and other electronic storage media

Items Not Eligible for TMP Exception

• Items are subject to the ITAR
• Items not owned by UAlbany or the RF
• Items that will be kept abroad as a result of a sale, lease or rental agreement
• Items, technology, data, or software designed for military or dual-use purposes
• Satellite or space-related equipment, components or software, or any technology associated with high-level encryption products
• Exports to embargoed countries, to restricted parties or for prohibited end-uses

If you will be hand carrying UAlbany-owned items and your activities will not otherwise be within the scope of the exception, please submit an Export Controls International Shipping Review Request Form (accessible via the Shipping Items accordion above) to [email protected].

Providing, transferring or allowing the access of bulk sensitive personal data to countries of concern or covered persons is restricted by the Department of Justice.  

Bulk sensitive data is defined in regulation as any amount of sensitive personal data — whether the data is anonymized, pseudonymized, de-identified or encrypted —that exceeds certain thresholds in the aggregate over the preceding 12 months before proposed data sharing.

The rule establishes the following bulk thresholds:

• Human genomic data on over 100 U.S. persons, and the three other covered categories of human genomic data on over 1,000 U.S. persons
• Biometric identifiers on over 1,000 U.S. persons
• Precise geolocation data on over 1,000 U.S. devices
• Personal health data and personal financial data on over 10,000 U.S. persons
• Certain covered personal identifiers on over 100,000 U.S. persons
• Any combination of these data types that meets the lowest threshold for any category in the dataset

Covered Persons are:

• Foreign entities that are 50% or more owned by a country of concern (see 28 CFR §202.601 for a list of countries), organized under the laws of a country of concern or have their principal place of business in a country of concern
• Foreign entities that are 50% or more owned by a covered person
• Foreign employees or contractors of countries of concern or entities that are covered persons
• Foreign individuals primarily resident in countries of concern

Individuals who are nationals of a country of concern and are here at UAlbany as faculty, staff or students would not meet the definition of Covered Person as long as the individual is not also an employee or contractor of a Covered Person (as defined above).

Prior to any transfer or provision of access to bulk sensitive data individuals must consult the Office of Regulatory and Research Compliance to determine licensing requirements. Contact ORRC at [email protected].

For additional information, please refer to this resource: Fact Sheet: Justice Department Issues Final Rule to Address Urgent National Security Risks Posed by Access to U.S. Sensitive Personal and Government-Related Data from Countries of Concern and Covered Persons. 

If you are asked to participate in a foreign boycott, you must report it to the Office of Regulatory and Research Compliance at [email protected].

UAlbany and its agents are prohibited from taking certain actions in furtherance or support of a boycott maintained by a foreign country against a country friendly to the United States (unsanctioned foreign boycott).

U.S. companies must report to the Office of Antiboycott Compliance their receipt of certain boycott-related requests for information designed to verify compliance with an unsanctioned foreign boycott.