Date:  June 23, 2006
     Downloadable file:  Word document

This template is appropriate in circumstances where a research activity involves shipment of tangible items to a foreign country, under the "EAR99 and/or No License Required" provision of the Export Administration Regulations.

Use the link above to download this memo. Please provide the information in [bracketed italics] to document the item's eligibility for export under EAR99 and/or NLR. Send a copy to the University's Export Documentation files

     Steve Eisner,    MC: 2064,    email: steve.eisner@stanford.edu
     and retain a copy in your departmental project files.

In addition to filing this one-time certification, departments must keep copies of the associated shipping documents in their project files, and make these available to the Dean of Research Office upon request.

STANFORD UNIVERSITY MEMORANDUM

One-Time Certification in Support of EAR 99 and/or
NO LICENSE REQUIRED (NLR)
To: Steve Eisner
Export Control Officer
From:

[name of PI/Department Chair/Lab or Center Director]
Date:

[Date]
Subject: Export License Review: EAR 99/NLR Status -
Tangible Items
cc: [Department project files ]

 

Stanford University observes a formal Openness in Research Policy, pursuant to which it does not accept any research that imposes access, dissemination, or participation restrictions on the conduct, products, or results of its research. It performs only unclassified, non-secret research, openly conducted. Thus it conforms to both 15 CFR 734.3(b) (EAR) and 22 CFR 120.11(8) (ITAR) requirements for public domain "fundamental research" excluded from those regulations.

The research and development being performed by [ name(s) ] in the [ Department/Center/Lab name ] at Stanford University falls within the parameters of the fundamental research exclusion for technology/technical data established by National Decision Security Directive 189, as implemented by the pertinent export control regulations. The export of tangible items, however, is subject to such export control regulations and associated documentation requirements. Therefore, a brief description of the tangible item required to be exported in support of this research activity follows:

The export of [ item ] to [ known end-user(s), if applicable ] at [ end-user organization ] in [ country of end-use ] is in support of fundamental research in [ description of research ].

 

By my signature, I certify that:

  1. The item to be shipped outside the borders of the United States does not include encryption source code or software;
  2. The item to be shipped will be used to carry out fundamental research in other than an embargoed, sanctioned, or prohibited country; *
  3. The shipments of any chemical or biological materials will conform to all applicable laws governing their handling; such materials relate to the conduct, products or results of fundamental research; and
  4. The University's Export Control Officer will be notified of the intended end-user(s) and end-use organizations(s) in advance of the filing of this document in order that he may conduct an end-user screen for specific persons or entities subject to export prohibitions.

Copies of relevant shipping documents, specifying the end use and the end user for each shipment, will be retained in this office by: [ Name, Position, Telephone, Email Address ].

Such records will be made available to the office of the Dean of Research upon request.

 

Signed: ___[ Name of PI/Department Chair/Lab or Center Director ]

Date:     _______

* Countries subject to U.S. trade embargoes are Iran, Cuba, North Korea, Syria and Sudan.
   See http://www.stanford.edu/dept/DoR/exp_controls/country.html

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