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Guidelines for Researchers

What Must UC Researchers Do to Adhere to UC's Export Compliance Plan?

UC faculty and staff must take the following steps to assure that they do not violate the export regulations and become personally liable for substantial civil and criminal penalties.

Contact exportcontrol@research.ucsb.edu in the Office of Research if you encounter problems in any of the below areas for assistance in resolving the matter so that the research may proceed in a manner that avoids violation of the export regulations.

Shipping Items Out of the United States

See also Shipment of Controlled Commodities Out of the US

Technical Data Exchange, Deemed Exports, and Foreign Nationals:

See also Foreign Nationals and Deemed Exports

Travel

See also Travel Related Advisories

Software

Encryption Software: Special Rules

The Penalties for Violating Export Control

Violations can result in both civil and criminal penalties for the individual and for the institution. In addition to a civil penalty not to exceed $10,000 for each violation of the export regulation, there are criminal penalties that may be imposed, including a fine of up to $1 million against The Regents of University of California, and a fine of up to $250,000, or imprisonment of not more than 10 years, or both against the individual. Voluntary self-disclosures, if made appropriately, can mitigate the seriousness of the penalty. 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. Contact exportcontrol@research.ucsb.edu in the Office of Research immediately if you think you have made a mistake and violated export controls; he can help assess how best to remedy the situation.

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