Export Controls

Resources: Tools and Checklists

Stanford provides a range of informational and web-based resources on both general and specialized topics related to export controls.

GENERAL TOOLS AND CHECKLISTS

The following are important resources in the general area of export controls. They will help to introduce the topic, as well as provide the information needed in specific situations.

• Stanford University Export Control Roadmap (FAQs)
  This simple, easy-to-use tool provides answers to six of the most frequently asked questions about Stanford-specific procedures to demonstrate export control compliance at the departmental level.
• Stanford University Export Control Decision Tree
  This site is both a general tutorial on export control analysis, as well as a tool for determining in any particular case whether export controls are applicable or not.
  
• Electronic Export Control Forms and Certifications
  The documentation of our understanding of, and compliance with, export control regulations in any particular case requires communication with Stanford's Export Control Officer. These web-based forms will facilitate that communication.
  
• Restricted Party Screen
  

  Certain organizations and individuals are subject to financial and trade restrictions under U.S. law. These restrictions apply to both domestic and foreign transactions. The screening tool available here will permit you to quickly check and document whether a person or organization is a restricted party.

• Openness in Research Checklist
  A reminder of what to look for whenever program solicitations or awards, MTAs, Licensing Agreeements, NDAs or any other documents include clauses that pertain to confidentiality, publication restrictions, or limits on foreign national participation in the conduct of research.

SPECIALIZED TOPICS

The following topics all have particular ramifications related to export controls. Individuals working at Stanford in these areas need to review the guidance provided on these pages.

• Encryption export controls
• Confidentiality and Non-Disclosure Agreements
• Dual-Use Export Controlled Pathogens
• Shipments of Hazardous Materials (EH&S site)
  • Hazardous Materials Shipping Decision Tree (EH&S site)

"TANGIBLE" (PHYSICAL) EXPORTS

Although Stanford-generated information is covered by the "fundamental research exclusion," its tangible products (hardware, software on media, equipment, components etc.) are not. For this reason, international tangible exports must always be reviewed for export control. These tangible shipments must also be documented so that Stanford may demonstrate its export control due dilligence.

The links below can help in situations when a tangible item is being sent, or is being hand-carried, outside of U.S. borders.

• Stanford University Export Control Decision Tree
• Handling Temporary Exports FAQ (information about documenting shipments or hand-carries of tangible items that are to return to the US within 12 months, including laptops).
• Property Checklist for Temporary Exports
• FedEx @ Stanford (see "International Commodity Shippping Instructions" section)

See also the Stanford Forms and Certifications export control page to identify the documentation that is appropriate to your shipment.

SAMPLE LETTERS AND CLAUSES

The downloadable letters and agreement language below can be used by faculty, students and staff at Stanford in situations where correspondence is needed to document Stanford's exclusion from, or adherence to, US export control regulations.

• Fundamental Research Letter
  For Stanford foreign national researchers on international travel, this letter asserts that research performed at Stanford is categorized as "fundamental research"and that the work being done by the Stanford researcher is not subject to export controls.
• Disposal or Loan of Stanford Property Already Outside of the US
  For Stanford PIs with foreign research collaborators, this letter can be used when tangible property under Stanford ownership or custodianship, and already resident abroad, is to be loaned or disposed of (sold, transferred or donated).
• Suggested language for contracts and grants
  

OTHER STANFORD EXPORT CONTROL PARTNERS

• Office of Sponsored Research
• Industrial Contracts Office
• Procurement (also Stanford Import/Customs Point-of-Contact)
• Property Management
• International Travel (For Stanford Researchers)
• Environmental Health and Safety
• Bechtel International Center (For Stanford Students)

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