Export Controls

Background

Stanford's Openness in Research Policy expresses our institutional commitment to "the principle of freedom of access by all interested persons to the underlying data, to the processes, and to the final results of research." Preserving a culture of openness is a fundamental tenet of Stanford research. Stanford has codified its commitment to openness and non-discrimination, consistent with compliance with US export control laws and regulations, in several of its research policies:

• Export Controls policy (RPH 10.2)
• Openness in Research policy (RPH 2.6)
• Faculty Policy on Conflict of Interest (RPH 4.1), in particular Section 3, Free and Open Exchange of Research Results
• Nondiscrimination in Research Agreements (RPH 10.4).

Although export controls may impose access, dissemination, and participation restrictions on the conduct of Stanford research, they apply to all Stanford activities, not just sponsored research. Note that export control regulations are complex and constantly evolving. For example, they include technical terms of art; "exports" can include both the shipment of materials to another country AND/OR the disclosure of controlled information to foreign nationals who are here. For this reason, the Dean of Research Office has created a "Definitions" page introducing common export control terms and concepts, in easy-to-understand terms, to make export control regulations accessible to the Stanford community.

University awareness of export control laws and requirements are critical in a post-9/11 world: there are now significant civil and criminal penalties for violations of these regulations. Enforcement actions have recently been brought against several academic institutions, with resulting convictions. That said, the conduct and results of FUNDAMENTAL RESEARCH are generally EXCLUDED from federal "deemed export" controls - i.e., disclosure of information to foreign nationals on U.S. soil - in accordance with National Security Decision Directive 189.

The federal agencies responsible for administering export controls include the US State Department, Commerce Department and Treasury Department (See "Regulations").

Stanford relies on proper documentation in order to make use of exclusions and exemptions from licensing requirements. Recordkeeping is important if you are involved in research efforts where it may be necessary to:

1. ship research articles outside the U.S. or
2. share export-controlled information provided by third parties, such as vendors, subcontractors, or government collaborators

A Decision Tree is available to assist in determining the applicability of these regulations in the case of shipments outside US borders. Generally, the questions to ask when shipping something beyond US borders include:

• WHAT is being sent, and
• WHERE AND TO WHOM it is going.

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