Information and Resources
related to
EXPORT CONTROLS

|  Background information  |
|  Export Control Resources  |
|  Forms and Templates  |
|  Regulations  |
|  Have a question?  |

       Dual Use Export Controlled Pathogens

       Export Controlled Chemicals

       Encryption Export Controls
             Export control procedures for those developing encryption software

       Handling Non-Disclosure or Confidentiality Agreements
              Guidance concerning the acceptance of confidential, proprietary
              or restricted information, materials, software code or
              technology from a third party

     Export Controls Reminder from the Dean of Research
     Reiterates Stanford's commitment to applicable export control
     regulations and addresses procedures for PI acceptance of
     non-disclosure and other agreements that can expose the
     University to export control risk

     Export Controls Policy
     Updated policy and procedures on tangible exports and
     acceptance of 3rd party proprietary or restricted information

     Decision Tree
     To assist in determining the applicability of export controls

     Export Controls Forms and Templates
     Formats for correspondence and documentation
     related to various export-related situations

     Frequently Asked Questions about Temporary Exports
     Questions and answers about the temporary export of
     Stanford-owned or controlled equipment and software
     including laptops, cell phones, PDAs and digital storage
     devices.

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." Stanford has also codified its commitment to comply with all applicable export controls, as established by federal regulations, in its policy on Export Controls.

• Export Controls policy
• Openness in Research policy
• Faculty Policy on Conflict of Interest, in particular Section 3,
  Free and Open Exchange of Research Results.

Export controls may impose access, dissemination, and participation restrictions on information and tangible items; "exports" can include both the shipment of materials to another country AND/OR the disclosure of controlled information to foreign nationals who are here. Export controls may be promulgated by several federal agencies, including the US State Department, Commerce Department and Treasury Department (See "Regulations").

The conduct, products, 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 (AAU site).

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.

• Information related to FUNDAMENTAL RESEARCH
  
  
  • National Security Decision Directive 189
    (Establishes "fundamental research exclusion")
    September 1, 1985
    
    
  • Reaffirmation of NSDD 189 by Condoleezza Rice
    November 1, 2001
    
    
  • Letter template for Stanford foreign national researchers on international travel
    (Asserts that research performed at Stanford is categorized as "fundamental research")
  
  
• Stanford memos
  
  
  • Reminder to PIs: Export Controls and Non-Disclosure Agreements,
       March 9, 2007
    
    
• Articles and other publications
  
  
  • Chinese Grad Student's Work Leads to Criminal Case
       New York Sun, April 17, 2008
    
    
  • Space-Based Fundamental Research and the ITAR: A Study in Vagueness, Overbreadth, and Prior Restraint
       Rachel Claus, Santa Clara Journal of International Law, Vol. 2 [2003]
    
    
  • At U.S. Borders, Laptops Have No Right to Privacy
       New York Times, Oct 24, 2006
    
    
• A collection of forms and templates to assist in documenting various situations related to export controls
  
  
• Decision Tree to assist in determining the applicability of regulations to shipments
  
  
• Guidance for those developing encryption code at Stanford.
  
  
• Openness in Research checklist, to assist PIs in reviewing potential project solicitations, non-disclosure agreements, and other documents to assure that they do not require secrecy or impose unacceptable restrictions
  
  
• Stanford Property Management Office (PMO) policies and procedures concerning the administration of Stanford-owned or controlled tangible assets, including the shipment of tangible assets outside of the U.S.
  
  
• Information related to the shipments of biologicals, toxins or dangerous materials, including training requirements and licensing documentation
  
  
• Suggested language for inclusion in sponsored project proposals, particularly for contracts or subcontracts
  
  
• Downloadable Powerpoint briefings
  
  
  • Export Controls Senior Seminar (NCURA)
    Steve Eisner (Stanford) and Jilda Garton (Georgia Tech), November, 2007
    
    
  • Export Controls Workshop (NCURA)
    Steve Eisner, April, 2006
    
    
  • Export Controls and Fundamental Research
    Rachel Claus, June 4, 2004
    
    
• FEDERAL AGENCY Links
  
  
  • Bureau of Industry and Security, US Department of Commerce
    (see "Key Resources" list)
    
    
  • Directorate of Defense Trade Controls, US Department of State
    (for ITAR and defense-related shipments)
    
    
  • Office of Foreign Asset Controls, US Department of Treasury
    (economic and trade sanctions)
    
    
  • Export Control Reference Materials on the Internet
    (Defense Technical Information Center web site)
    
    
  • Bioterrorism Act of 2002
    (FDA site)
    
    

Federal export control regulations may be promulgated by:

• US State Department
     International Traffic in Arms Regulations (ITAR)
     governing "defense articles and services"
     (predominately military items and information,
     including satellites and spacecraft)
  
  
• US Commerce Department
     Export Administration Regulations (EAR)
     governing commodities, goods, and commercial information
     (primarily civilian)
  
  
• US Treasury Department
     Office of Foreign Assets Control (OFAC)
     administers and enforces trade embargos and sanctions
     See Lists of Sanctioned Countries and Specially Designated Individuals
  
  

Violations of these export control regulations can lead to significant civil and criminal penalties.

More questions?