Export Controls

Annual and One-Time Temporary Export (TMP) Certifications
Stanford-Owned or Controlled Equipment and Software

Frequently Asked Questions

1. What's the difference between the Annual TMP Certification and the One-Time Certification?
2. How do you define "equipment" and "software"?
3. Is it true that ANYBODY traveling overseas with a laptop, PDA, cell phone or digital storage device has to complete the Annual TMP Certification before they travel?
4. This certification is applicable to Stanford PIs and researchers only. How do you define "Researcher"?
5. To whom should the completed Annual and One-Time Certifications be sent?
6. I am a Stanford Researcher with a Stanford-owned laptop and I need to travel overseas. Is my only responsibility to sign the Annual TMP Certification?
7. What useful purpose does this "laptop" certification serve and why should I complete it?
8. How long do I need to maintain the property and shipping documents associated with my one-time TMP shipment?
9. Is the filing of the Annual and One-Time TMP Certifications a Federal requirement or a Stanford requirement?
10. I travel frequently. Do I need to fill one of these out every time I leave the US?
11. In order to use these Certifications, we have to keep the laptops, PDAs and other equipment taken overseas with us under our "effective control." What do you mean by "effective control"?
12. Why do we have to file a certification for Stanford-owned or controlled laptops but not for our own personally-owned laptops or PDAs, even if we are traveling abroad?
13. Are laptops, PDAs, cell phones or digital storage devices purchased through Fellowship funds considered personally-owned equipment?
14. I'm just taking my Stanford-owned or controlled laptop, PDA, cell phone or flash drive with me overseas for a couple of days. I'm not exporting anything. Why do I need to complete this Certification?
15. I'm taking my Stanford-owned or controlled laptop and/or equipment to more than one foreign country while I'm overseas. Do I have to complete a separate Annual or One-Time TMP Certification for each country?
16. I am a Stanford Researcher with a Stanford-owned laptop. Do I have to carry the Annual TMP Certification with me when I travel?
17. We have a single PI in our research group who is the designated property custodian for a large number of Stanford-owned or controlled laptops that all of us use interchangeably. Can the PI sign a "blanket" Annual TMP Certification for all these laptops, as well as for Stanford-owned or controlled PDAs, cell phones and digital storage devicess in our group?
18. I've recently acquired a new laptop/PDA/cell phone/digital device, but I've already completed an Annual TMP form within the past year. Do I have to sign a new form? 

1. What's the difference between the Annual TMP Certification and the One-Time Certification?

The Annual TMP Certification is for qualifying short-term (< 1 yr.) international travel with Stanford-owned or controlled (i.e. sponsor owned) LAPTOPS, PDAs, CELL PHONES AND DIGITAL STORAGE DEVICES (i.e. flash drives) ONLY. The Annual TMP Certification is to be completed by PIs and researchers every 12 months or earlier after the PI or researcher has determined that export qualifies for the Annual TMP Certification.

Qualification is determined by completing the TMP checklist. Once TMP eligibility has been confirmed, the Annual TMP Certification must be completed prior to travel. It is the University Export Control Officer's responsibility to notify PIs and researchers of their Certification's expiration and need for recertification at least 30 days in advance of the anniversary date.

The One-Time TMP Certification is for a qualifying single short-term (<1 yr.) shipment or hand-carry of ALL OTHER STANFORD-OWNED OR CONTROLLED EQUIPMENT outside the US. Qualification is determined by completing the TMP checklist. Once TMP eligibility has been confirmed, the One-Time TMP Certification is must be completed prior to each shipment or hand-carry.

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2. How do you define "equipment" and "software"?

"Equipment" for the purposes of this FAQ is any Stanford-owned or controlled tangible item. Examples include, but are not limited to, laptops, PDAs, cell phones and digital storage devices. Tangible property also includes hardware components and research materials such as biological reagents or advanced carbon fiber.

"Software" is defined here as a computer program in either source code (programming statements) or object code such as that found on application program CDs like Microsoft Word or Visio.

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3. Is it true that ANYBODY traveling overseas with a laptop, PDA, cell phone or digital storage device has to complete the Annual TMP Certification before they travel?

Not true. The Annual TMP Certification for laptops, PDAs, cell phones and digital storage devices is only required for STANFORD PIs and RESEARCHERS traveling abroad, and it is only required for those PIs and researchers traveling abroad with STANFORD-OWNED OR CONTROLLED laptops, PDAs, or cell phones or digital storage devices. The Annual TMP Certification is NOT to be completed by Stanford administrative personnel or by PIs and researchers traveling abroad with personally-owned laptops, PDAs, cell phones or digital storage devices.

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4. This certification is applicable to Stanford PIs and researchers only. How do you define "Researcher"?

This certification requirement applies to anyone who is engaged in any funded research inquiry, including departmentally-funded research, university research or sponsored research. It is NOT applicable to those whose university responsibilities are characterized solely as education/teaching or administration.

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5. To whom should the completed Annual and One-Time Certifications be sent?

The completed Annual TMP Certification should be sent, preferably in PDF, to the University Export Control Officer at steve.eisner@stanford.edu. Signed hard copies can be sent via ID mail to Steve Eisner at MC 2064.

The completed One-Time TMP Certification should be sent, preferably in PDF, to both the University Export Control Officer at steve.eisner@stanford.edu and the Property Management Office at sandram@stanford.edu. Signed hard copies should be sent via ID mail to both Steve Eisner at MC 2064 and to Sandy Passetti at MC 6025.

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6. I am a Stanford Researcher with a Stanford-owned laptop and I need to travel overseas. Is my only responsibility to sign the Annual TMP Certification?

No. You need to determine whether your travel will allow you to meet the terms and conditions set forth on the Annual TMP Certification for items 1 through 6, since by signing the form you are becoming personally accountable for complying with those terms and conditions. If your travel will not allow you to meet the Annual TMP Certification's terms and conditions, you should consult the Stanford Export Control Decision Tree to determine if your travel qualifies for "No License Required" (NLR) status or contact the University Export Control Officer at 4-7072 for further guidance.

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7. What useful purpose does this "laptop" certification serve and why should I complete it?

There are three primary reasons:

1. To protect Stanford personnel from unintended violations of regulations concerning travel abroad with laptops, PDAs, cell phones and digital storage devices that might contain proprietary or restricted information or strong encryption code not in the public domain to certain countries like Iran, Cuba and other comprehensively embargoed destinations. This Certification serves as an important checkpoint as it is not just the device but what is on the device that is the issue for these countries;
2. To act as a check on travel with laptops, PDAs, cell phones and digital storage devices used in satellite research or other space-based research that contain 3rd party proprietary or restricted software or information. Such software and information are regulated as defense articles under the International Traffic in Arms Regulations (ITAR) and almost always require an export license; and
3. To help educate the Stanford community about these restrictions and thus reduce the compliance risk to both the University and the traveler as both institutional and personal penalties can apply.

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8. How long do I need to maintain the property and shipping documents associated with my one-time TMP shipment?

The export regulations require that property and shipping documents related to an export be retained and made available for a minimum of five years.

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9. Is the filing of the Annual and One-Time TMP Certifications a Federal requirement or a Stanford requirement?

The TMP Certifications on their own are Stanford requirements. However, each of the relevant Federal export control regulations require that exporters account for their shipments, transfers or hand-carries of tangible items and information that are subject to export control regulations. Stanford export Certifications serve to document the University's commitment to, and compliance with, export control regulations while demonstrating accountability for our export transactions during Federal audits.

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10. I travel frequently. Do I need to fill one of these out every time I leave the US?

No. You may complete the Annual TMP Certification once each year to say that you understand the requirements and will follow them whenever you travel overseas.

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11. In order to use these Certifications, we have to keep the laptops, PDAs and other equipment taken overseas with us under our "effective control." What do you mean by "effective control"?

"Effective Control" is defined by the regulations as "retaining physical possession of an item or maintaining it in a secure environment such as a hotel safe or a locked or guarded facility."

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12. Why do we have to file a certification for Stanford-owned or controlled laptops but not for our own personally-owned laptops or PDAs, even if we are traveling abroad?

Stanford is only requiring completion of the Annual TMP Certifications for Stanford-owned or controlled laptops, PDAs , cell phones and digital storage devices used in conducting Stanford business because the TMP license exception only applies to equipment owned or controlled by the "exporter." An exporter is defined as "The person in the United States who has the authority of a principal party in interest to determine and control the sending of items out of the United States." Stanford University is thus the exporter (principal party in interest) of the laptops, PDAs, cell phones and digital storage devices under its ownership or custodianship. Furthermore, the University has a direct responsibility to monitor the disposition and use of such equipment.

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13. Are laptops, PDAs, cell phones or digital storage devices purchased through Fellowship funds considered personally-owned equipment?

Yes, unless otherwise defined in the terms of the Fellowship. They do not require completion of an Annual TMP Certification for the same reasons cited in the answer to the question above.

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14. I'm just taking my Stanford-owned or controlled laptop, PDA, cell phone or flash drive with me overseas for a couple of days. I'm not exporting anything. Why do I need to complete this Certification?

Because your activity qualifies as an export. The Export Administration Regulations (EAR) defines an export as "an actual shipment or transmission of items subject to the EAR outside of the US." Tangible items such as laptops, PDAs, cell phones and digital storage devices are always subject to the EAR. Furthermore, a shipment is not only cargo carried by a freight forwarder such as FedEx or the US Postal Service, but cargo in the form of a hand-carry as well. This FAQ uses "shipment" and "hand-carry" as distinct terms for simplicity.

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15. I'm taking my Stanford-owned or controlled laptop and/or equipment to more than one foreign country while I'm overseas. Do I have to complete a separate Annual or One-Time TMP Certification for each country?

No. Each Certification covers "reexports" - namely equipment that is taken from one foreign country to another on the same trip - as long as the terms of the Certifications are adhered to. For example, equipment can be taken from Germany to the Czech Republic for testing or repair under TMP Certifications, but it cannot be taken from Germany to China for testing or repair.

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16. I am a Stanford Researcher with a Stanford-owned laptop. Do I have to carry the Annual TMP Certification with me when I travel?

No. The Annual TMP Certification is a Stanford recordkeeping document, a copy of which has to be filed with the University Export Control Officer in the Dean of Research Office. It is not a travel document and will carry no authority with US Customs and Border Protection (CPB) agents upon departure or arrival.

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17. We have a single PI in our research group who is the designated property custodian for a large number of Stanford-owned or controlled laptops that all of us use interchangeably. Can the PI sign a "blanket" Annual TMP Certification for all these laptops, as well as for Stanford-owned or controlled PDAs, cell phones and digital storage devicess in our group?

Yes. The PI should do the following for a "blanket" Annual TMP Certification:

• Create an attachment to the Certification that lists each item's SU Barcode Tag number (if any)/Brand/Model/Serial Number and the names of the research group members that are authorized to use the identified items for overseas travel;
• Sign the Annual TMP Certification; and
• Notify each authorized member of the research group of their responsibilities to abide by the terms of the Certification by distributing a copy of the signed Certification and attachment to them via email, with a cc: to the University Export Control Officer.

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18. I've recently acquired a new laptop/PDA/cell phone/digital device, but I've already completed an Annual TMP form within the past year. Do I have to sign a new form?

Yes, you must complete a separate Annual TMP form for the newly-acquired equipment. Each piece of equipment must be certified with identifying information if available (barcode, serial number, etc.). The good news is that the 12-month clock begins anew at the time of submission. Note that previously TMP-certified equipment continues to be covered until the anniversary date of the original submission.

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