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Export Controls Policy

Policy Administrator: Provost and Vice President of Academic Affairs

Authority:

Effective Date: July 8, 2021

Updated: February 25, 2021

Index Cross-References: FS 20/21-104/FPC/EX

Policy File Number: ACA-172

Export Controls Policy


Policy Statement:

Sacramento State is committed to compliance with all U.S. government export control laws, guidance and regulations.  When faculty, staff, and/or students look to collaborate internationally or with foreign nationals within the US or abroad, individuals are dealing with the Export Control Regulations of the United States.


Why the Policy is necessary:

The University is expected to follow, abide by and observe all such regulations prescribed by the government. Therefore, Sacramento State has implemented an Export Management and Compliance Program to help prevent restricted items from being transferred in violation of U.S. export regulations, and to prevent foreign nationals from accessing restricted items unless a valid export license has been obtained or an exemption from licensing requirements applies.


Who the policy applies to:

This policy applies to all Sacramento State faculty, staff, students, University Enterprises, Inc. (UEI – DBA: Sacramento State Sponsored Research) personnel, visitors, volunteers, and guests, and it applies to certain software, hardware, technology, information, and other restricted items that are carried or sent outside of the United States by any means or released to foreign nationals in-country.

Responsibilities:

Offices of Research, Innovation and Economic Development (ORIED), Associate Vice President for ORIED, Research Integrity and Compliance Officer, Export Liaisons, college and department administrators, principal investigators,

ORIED Website: https://www.csus.edu/compliance/research-integrity-compliance/export-control.html

 

Approved by: Robert S. Nelsen

Date: July 8, 2021

 

Export Controls Policy


I. Definitions:

Export – The shipment or transfer, by whatever means, of controlled items, software, technology, or services out of the U.S.

Deemed Export – Release or transmission of information or technology subject to export control to any foreign national in the U.S., including students and training fellows. Such a release of information is considered to be an export to the foreign national’s home country.

Foreign National – Anyone who is (1) not a U.S. citizen, or (2) not a lawful permanent resident of the U.S., or who does not have refugee or asylum status in the U.S. Any foreign corporation, business association, partnership, trust, society, or any other foreign entity or group as well as international organizations and foreign governments are considered foreign national(s).

Fundamental Research – Fundamental research is basic or applied research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. The techniques used during the research are normally publicly available or are part of the published information.

Export Controls – Federal laws and regulations that regulate and restrict the release of critical materials and services to foreign nationals and foreign countries for reasons of national security, foreign policy, anti-terrorism or nonproliferation. Export control regulations apply to all activities – not just sponsored research.

Restricted Items – Certain software, hardware, technology, and other items identified in the U.S. Munitions List and Commerce Control List that control or limit what is carried or sent outside of the U.S. by any means or released to foreign nationals in-country.


II. Policy Statement:

Sacramento State is committed to compliance with all U.S. government export control laws, guidance and regulations. When faculty, staff, and/or students look to collaborate internationally or with foreign nationals within the US or abroad, individuals are dealing with the Export Control Regulations of the United States, as defined below.

The three main export regulations are (1) the International Traffic in Arms Regulations (ITAR) administered and enforced by the Department of Defense Trade Controls, (2) the Export Administration Regulations (EAR) administered and enforced by the Bureau of Industry and Security, and (3) the Office of Foreign Assets Control (OFAC). However, other federal agencies also regulate the export, re‐export or re‐transfer of certain items and technologies, including, but not limited to, the Nuclear Regulatory Commission (nuclear equipment and materials), the Department of Energy (nuclear technology, high‐energy lasers, etc.), the Food and Drug Administration (drugs and medical devices) and the Drug Enforcement Agency (drugs and certain chemicals). (All aforementioned regulations are collectively referred to herein as the “Export Control Regulations”).


III. Why the Policy is Necessary:

Export control regulations limit the export of certain restricted items for reasons of national security, foreign policy, competitive trade reasons and national defense. Sacramento State acknowledges that while international collaboration benefits the academic communities as a whole, the government has an interest in regulating certain transactions and working agreements. The University is expected to follow, abide by and observe all such regulations prescribed by the government. Accordingly, in some circumstances, Sacramento State may be required to obtain prior approval from the appropriate federal agency before allowing foreign nationals to participate in
research, collaborating with a foreign company, or sharing research with foreign nationals. Therefore, Sacramento State has implemented an Export Management and Compliance Program to help prevent restricted items from being transferred in violation of U.S. export regulations, and to prevent foreign nationals from accessing restricted items unless a valid export license has been obtained or an exemption from licensing requirements applies.


IV. Who the Policy applies to:

This policy applies to all Sacramento State faculty, staff, students, University Enterprises, Inc. (UEI – DBA: Sacramento State Sponsored Research) personnel, visitors, volunteers, and guests, and it applies to certain software, hardware, technology, information, and other restricted items that are carried or sent outside of the United States by any means or released to foreign nationals in-country.

Exclusions:

While all activities at Sacramento State require compliance with export controls, it should be noted that many research activities will be exempted from export control laws.

A. Fundamental Research

The Fundamental Research Exclusion covers scientific research that results in publications and open dissemination of research results, as is typically found in academic research. If the information to conduct research is in the public domain and the results of the research are publishable, the research is covered by the Fundamental Research Exclusion. However, all Sacramento State faculty, staff, students, UEI personnel, visitors, volunteers, and guests engaged in research and research administration involving contact with foreign nationals must be aware of the potential applicability of federal laws and regulations on export controls and recognize when an export license may be required. (EAR 15 C.F.R. 734.8(a), (b); ITAR 22 C.F.R. 120.11(a)(8))

B. Educational Information

Educational information may be exported or “deemed” exported without an export license during instruction in courses regularly offered by universities. This exemption includes instruction in science, math and engineering concepts taught in courses listed in the university’s catalogue and associated teaching laboratories, even if the information concerns export controlled commodities or items. (EAR 15 C.F.R. 734.3(b)(3)(iii), 734.9; ITAR 22 C.F.R. 120.10(5))

C. Public Domain

Information that is published and generally accessible or available to the public through sales at bookstores or newsstands, subscriptions, libraries, patents available at any patent office, conferences, meetings, seminars or trade shows, or through fundamental research. (EAR 15 C.F.R. 734.3(b)(3), 734.7-734.10; ITAR 22 C.F.R. 120.10(a)(5), 120.11, 125.1(b), 125.4)

There are also some special exceptions to the export license regulations. These include shipments of limited value, gifts, and humanitarian donations. (15 C.F.R. 740)


V. Roles and Responsibilities:

Sacramento State will assist its individuals with export control compliance, including pursuing licenses from U.S. Government agencies, where appropriate. However, the primary responsibility for export control regulatory compliance rests with the individual(s) involved in any given activity, as they are the most informed about the details of their respective activity(ies) and must consult with the Export Control Officer when necessary. Those roles listed below are trained in export compliance and may meet with the Offices of Research, Innovation, and Economic Development (ORIED) on a regular basis to promote the export compliance program at Sacramento State.

A. Offices of Research, Innovation, and Economic Development (ORIED)

1. Proposal Development Administrators and Technology Transfer Officer

ORIED provides assistance in export controls by working closely with the Research Integrity and Compliance Officer in identifying export control issues and providing support for their solution.
a. Reviews terms of proposed sponsored program grants and contracts, material transfer agreements, and other non-monetary research agreements to identify restrictions on publication and dissemination of research results and to negotiate out such restrictions;
b. Communicates identified potential export control issues to the PI and the Research Integrity and Compliance Officer;
c. Communicates with the Research Integrity and Compliance Officer about any changes in awards that necessitate another review of the project for export controls.

2. Empowered Official

The Associate Vice President for ORIED is the university’s Empowered Official for export control matters. In this capacity, the Empowered Official (or designee) has the authority to represent the university before the export control regulators in matters related to registration, licensing, commodity jurisdiction and classification requests, and voluntary or directed disclosures. While certain oversight functions may be delegated, only the Empowered Official may sign paperwork and bind the university in any proceeding before Department of Defense Trade Controls, Bureau of Industry and Security, Office of Foreign Assets Control, or any other government agency with export control responsibilities.

3. Research Integrity and Compliance Officer

The Research Integrity and Compliance Officer, together with the Export Liaisons and senior management:

a. Identifies areas at Sacramento State that are impacted by export control regulations;
b. Develops export control procedure guidance to assist the university in compliance with export control regulations;
c. Educates inventors, principal investigators, research centers, and academic units about export control regulations and procedures at Sacramento State;
d. Educates others at Sacramento State such as Administration and Business Affairs, Purchasing, Travel, and International Programs and Global Engagement about export control regulations and procedures at Sacramento State;
e. Monitors and interprets export control legislation;
f. Works with others such as the Export Liaisons to facilitate understanding and compliance with export controls;
g. Assists investigators, researchers, and offices at Sacramento State when research involves export-controlled equipment or information;
h. Seeks advice from the Office of General Counsel in analyzing and handling export control compliance issues;
i. Assists the PI in developing a technology control plan for research involving export-controlled items or information to ensure compliance with export control regulations;
j. Applies for export licenses, commodity jurisdiction and commodity classification requests;
k. Advises and assists with record keeping for export-controlled activities at Sacramento State;
l. Maintains the export controls website.

B. Other Entities

1. Export Liaisons

The export liaisons are individuals appointed from academic and business units across campus to assist ORIED in identifying training needs, identifying potential export control issues, and to serve as local points of contact for questions related to export controls. The export liaisons are trained and have access to software to perform restricted party screening.

2. Business Administrators

The school and department business administrators assist in ensuring compliance with export control regulations by identifying potential export issues in unit activities. Such issues may include reviewing invoices for statements that items may not be exported, ensuring that international shipping is compliant with export control laws, ensuring that payments do not go to, or contracts are not entered into with, anyone on the then-current Specially Designated Nationals (SDN) list, ensuring that international travel is compliant with applicable export control regulations, and ensuring that visa export certification information has been completed.

3. Principal Investigators

PIs should have expert knowledge of the type of information and technology involved in a research project or other university activity, such as presenting at conferences and discussing research findings with fellow researchers or collaborators. PIs must ensure that they do not disclose controlled information, such as information that has been provided to them under a corporate non-disclosure agreement or transfer controlled articles or services to a foreign national without prior authorization as required. Each PI must:
a. Understand his/her obligations under the export control laws;
b. Assist ORIED in correctly classifying technology and items that are subject to export control laws;
c. Assist in developing and maintaining the conditions of a technology control plan for any activity, data, or equipment where the need for such a plan is identified;
d. Ensure that research staff and students have been trained on the technology plan and on the export control regulations should any apply.


VI. Title VII Disclaimer:

Title VII of the Civil Rights Act of 1964 prohibits discrimination based on race, color, religion, sex, or national origin. Sacramento State does not condone discrimination of any sort, including discrimination based on national origin. The federal export laws that this policy aims to address only apply to non-citizens. Different restrictions apply to persons of different nationalities. Because of these restrictions, Sacramento State may be required to impose certain prohibitions upon, or request accommodations from, foreign nationals. These actions are based on federal law and citizenship status and are not discriminatory under Title VII.


VII. Federal Sanctions:

Penalties for noncompliance can be imposed on institutions and individuals. These may include partial or complete denial of export privileges, civil fines, or seizure of equipment. Criminal penalties for willful violations of U.S. export regulations may include fines of up to $1,000,000.00 and imprisonment for up to a period of 20 years.

Any Sacramento State faculty, staff, students, visitors, volunteers, and guests who becomes aware of a potential violation of this policy must immediately report the violation to ORIED, Research Integrity and Compliance.


VIII. Policy Violations:

ORIED reserves the right to investigate potential violations of this policy or reports of violations of this policy in accordance with the Sacramento State Export Management and Compliance Program Procedure.

ORIED Website:
https://www.csus.edu/compliance/research-integrity-compliance/export-control.html