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San Diego State University

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SDSU's Export Compliance Plan


Management Commitment

Both the SDSU Vice President for Research, Stephen C. Welter, and SDSURF Executive Director, Bob Wolfson, are committed to ensuring SDSU and SDSURF have the adequate resources for export compliance and are designated with the overall responsibility for their export compliance programs to ensure adherence to export control laws and regulations.

Please see the Management Commitment letter here.

 

Fundamental Research Approach

In general, the campus maintains an open, fundamental research environment, such that scientific data and results qualify as being in the public domain and are not subject to the EAR or ITAR under the provisions related to publicly available technology, published information and software, information resulting from fundamental research, and educational information.

By qualifying under these sections of EAR and ITAR, the University and SDSU Research Foundation can avoid the problems associated with "deemed exports" of technical data, and then secure any required export licenses for actual shipment of controlled items out of the United States. In this manner, SDSU can maintain its open research and education environment while also complying with the export regulations.

Technology Control Plans for Export Restricted Research, Technical Data or Equipment

In some instances, researchers will receive export restricted technical data under a NDA or equipment or work on export restricted projects, a technology control plan will be required to ensure the necessary physical and IT requirements and foreign national access restrictions are in place. Any required export licenses will need to be obtained from the US government for individual foreign nationals in the US or shipment or collaboration abroad prior to participation or access to export restricted projects, data or equipment. Researchers should work with Export Control to implement the required TCP in advance of any export restricted work.

A TCP template can be found here.

 

Physical Shipments and Technical Data Transfers Outside the United States

Physical shipments or data transfers to other countries will need to be reviewed on a case by case basis to determine export classification (ECCN or ITAR category), export licensing requirements or license exceptions and any required Automated Export System (AES) filing for shipments valued over $2500. Additionally all ship to parties and end users should be screened against the consolidated screening lists of restricted parties or entities requiring an export license for some or all exports (http://export.gov/ecr/eg_main_023148.asp). If the items to be transferred include any nuclear, chemical, biological weapons or military end use there may be a prohibition on shipment or specific export license requirements.

Export Control can review the item to be shipped or transferred and perform the restricted party screening to determine export license requirements and any additional international trade documents required for shipment.

Export Control Training

Export Control is available to provide specialized export control training on particular research areas on request like international shipping, engineering or export restricted biologicals. 

New CITI Training

Effective November 1, 2015, CITI export control training may me neccessary depending on research projects.

ACCESS CITI HERE 


Recordkeeping Requirements

Export regulations require that records be maintained for a period of 5 years from the date of export.

Violations

SDSU faculty and staff must take steps to assure that they do not violate the export regulations and become personally liable for substantial civil and criminal penalties. If you suspect a violation has occurred, contact zhovda@mail.sdsu.edu and a review will be completed and escalated if required.

The consequences of violating the EAR and ITAR regulations can be severe and can result in both civil and criminal penalties for the individual and for the institution.

State Department (ITAR)

  • Criminal: up to $1,000,000 per violation, up to 10 years imprisonment
  • Civil: seizure & forfeiture of the articles and any vessel, aircraft or vehicle involved in attempted violation, revocation of exporting privileges, fines of up to $500,000 per violation

Commerce Department (EAR)

  • Criminal: $50,000 to $1,000,000 or up to 5 X the value of the export, whichever is greater per violation (range depends on the applicable law), up to 20 years imprisonment
  • Civil: loss of export privileges, fines up to $250,000 per violation or up to twice the value of the export
  • Treasury Department (OFAC)

  • Criminal: up to $1,000,000 per violation, up to 10 years imprisonment
  • Civil: $55,000 to $250,000 fines (depending on applicable law) per violation
  • Penalties apply to each individual violation, which means that if a violation relates to more than one controlled material or item or occurs on more than one occasion, each item or incident may trigger a penalty.

    If you suspect a violation has occurred contact the SDSU Export Control at zhovda@mail.sdsu.edu.

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