Undue Foreign Influences and Export Control

The University at Albany has a longstanding tradition and policy of openness in education and research. This openness includes welcoming and encouraging the participation of international students, faculty and others entities in research and educational activities without regard to their nationality.

That said, rapid technological advances along with an increasingly complicated international political environment require that certain reasonable precautions be taken and safeguards put in place to ensure a safe and sustainable academic and research environment at UAlbany.

Please review the information below before engaging in activities with a foreign entity and before hosting foreign visitors at the University at Albany.

Export Control

There are several federal government regulations and entities that oversea exports. Please review these regulations carefully and familiarize yourself with the exemption from an export license requirement for the results of fundamental research.


Fundamental Research Exclusion

Fundamental research means "basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly in the scientific community." Fundamental research stands in contrast to proprietary research as well as industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary and national security reasons.

For the University to maintain a research environment that is open and inclusive, conducting fundamental research is essential. The fundamental research exclusion from export control requirements permits the University to allow foreign members of our community to participate in research project involving even export-controlled information on campus in the United States. However, the fundamental research exclusion applies only to the sharing of research data and information, not the transmission of material goods.

University research can fall into the fundamental research exemption category only if the University and researchers

  • do not accept restrictions on publication of scientific and technical information resulting from the project or activity
  • do not accept restrictions forbidding the participation of foreign nationals
  • do not otherwise operate to restrict participation in research and/or access to and disclosure of research results.

Important Federal Export Control Regulations

  • Export Administration Regulations (EAR) 15 C.F.R. §§730-774: The EAR regulates items, software, and technology that have a commercial or "dual" use (commercial and military/proliferation application). The Commodity Control List is the list of items, goods, and technology controlled under the EAR. The Bureau of Industry and Security, within the Department of Commerce, oversees the EAR.
  • International Traffic in Arms Regulations (ITAR) 22 C.F.R. §§120-130: The ITAR regulates items, software, and technical data that are military in purpose and/or those that can be used in a defense application/military operation. The United States Munitions List (USML) is the list of items, goods, and technical data controlled under the ITAR. The Directorate for Defense Trade Commission, within the Department of State, oversees the ITAR.
  • Office of Foreign Asset Controls (OFAC): Economic and trade sanctions based on U.S. foreign policy and national security goals are administered and enforced by OFAC, within the Department of Treasury.
  • Other Applicable Regulatory Agencies: additional regulations may also apply from the: Department of Energy, Nuclear Regulatory Commission, Environmental Protection Agency, Center for Disease Control, Food and Drug Administration, and Drug Enforcement Agency
Reporting of Foreign Gifts and Contracts

The University complies with section 117 of the 1965 higher education act  to file a disclosure report with the federal government when it receives a gift from or enters into a contract with a foreign source that is valued at $250,000 or more alone or when combined with other gifts and contracts from the same foreign source.

Contact Enterprise Risk Management at [email protected] with any questions.

Foreign Visitors

The federal government considers releasing of a controlled technology and/or source code to foreign persons in the United States "deemed" export to that person's country or countries of nationality. Therefore, export control restrictions can come into play with visitors and guests to the University's campuses. Please review the guidance on deemed export of the Bureau of Industry and Security before hosting foreign visitors.

In addition, University hosts of foreign visitors should use the federal government's consolidated restricted parties screening tool before making arrangements with any foreign visitors for a campus visit.

International Travel

International Travel Policy and Registry

Faculty, staff and students traveling internationally on University business, must follow the applicable University policy on international travel and register their trip with the University's International Travel Registry administered by the Center for International Education and Global Strategy.

Export Control

University-related business travel includes attending conferences and participating in international research collaborations and must comply with U.S. export control regulations. Please review in particular the Export Administration Regulations (EAR) which regulate the export of a very broad range of dual use items (items that have everyday/commercial use but could also have a military use).

Note that countries/regions currently under sanctions by the U.S. government may be under additional, more stringent export control regulations which are administered by the Office of Foreign Assets Control.

Information Security

Please also familiarize yourself with the University's Information Security policy and consider adjustments needed to keep your research data as well as your electronic items secure while overseas.

Foreign Corrupt Practices Act

The federal Foreign Corrupt Practices Act makes it illegal for U.S. persons to offer or pay anything of value to a foreign official for the purposes of obtaining, retaining, or furthering business activities. Paying regular fees for services is acceptable, but, for example, paying a foreign official an additional amount to procure faster/more reliable service would violate the FCPA.

Restricted Party Screening

You should consider using the federal government's restricted parties screening tool before agreeing to an international trip funded by a foreign source.

 

Data and Information Security

The exchange of information and ideas is a hallmark of higher education and a key factor to preserving the fundamental research exemptions to federal export control licensing requirements. Nevertheless, ensuring the security of research data and information must be a priority for all faculty, staff, and students.

The University's Information Security policy and attending protocols provide details on requirements for transmitting and storage of data. Further information is available on the University Library's data services.

Restricted Parties Screening

The federal government maintains a consolidated list of parties that are affected by U.S. government restrictions in regards to certain exports, reexports or transfers of items. UAlbany faculty and staff should use the available screening tool whenever engaging with a foreign entity and in particular when engaging in the below activities.

Sponsored Research: When accepting funding from an international entity or when working on an export-controlled research project.

Visitors to UAlbany: When planning to host visitors scholars, foreign sponsors or corporate partners.

International Travel: When accepting travel sponsorship from a foreign entity or when speaking or presenting abroad.

International Shipping: When sending equipment overseas for example for fieldwork or sending samples or data to international recipients.