Export Controls

Forms Related to Export Controls

In most cases, forms related to export controls can be filed electronically using the links below.

Departments or programs MUST keep soft or hard copies of all export documentation, including financial records and shipping documentation (i.e., FedEx Air Waybills, Purchase Orders, Commercial Invoices, etc. ) and Stanford Certifications in their research project files for a period of five years from the date of export, reexport or transfer of a tangible item abroad or of controlled information to a foreign national outside of or within the US (a "deemed export").

Before using these forms, please review Stanford's Export Controls Decision Tree in order to determine whether or not an export control license is applicable to any particular situation, or contact Stanford's Export Control Officer for further assistance:

Steven Eisner, Export Control Officer
Office of the Dean of Research
Building 60, Main Quad, Mail Code: 2064
steve.eisner@stanford.edu

These forms relate to the controls of the US Commerce Department Export Administration Regulations (EAR)

Temporary Export/Reexport (TMP) shipments - EAR

• Property Checklist for Temporary Exports summarizing requirements related to temporary international shipments of dual use export control-listed items
• Annual Stanford Researcher TMP Certification for international travel by Stanford researchers with Stanford-owned laptops, PDAs, cell phones and digital storage devices
       See related article from the New York Times, Oct 24, 2006
       "At U.S. Borders, Laptops Have No Right to Privacy"
• Annual SLAC Researcher TMP Certification for international travel by SLAC researchers with Department of Energy-owned laptops, PDAs, cell phones and digital storage devices
• One-Time TMP Certification for a single international shipment or hand-carry of an export control-listed tangible item or items returning to the US within 12 months
• Frequently Asked Questions about Temporary Exports
  

No License Required (NLR) shipments - EAR

• Annual Certification for frequent international shipments of the same tangible item(s) to the same individual or organization for which an export license is not required.
• One-Time Certification for a single international shipment of a tangible item or items to an individual or organization for which an export license is not required.

Limited Value (LVS) Shipment - EAR

• Limited Value Shipment Certification for a one-time export or reexport of a tangible item of limited value that otherwise would require an export license to its intended destination. If you have concluded after consulting the Decision Tree that your tangible item requires an export license, you MUST contact the University Export Control Officer for a determination of LVS eligibility for your shipment.

  NOTE: LVS may only be used for shipments to an EAR Group B Country.

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These forms relate to the controls of the US State Department International Traffic in Arms Regulations (ITAR)

University Exemption Certifications - ITAR

• University Exemption - Tangible Items for shipment of spacecraft including satellites, satellite subsystems, and related equipment to selected countries
• University Exemption - Information for either:
  • disclosing information on the assembly or integration of spacecraft including satellites, satellite subsystems and related equipment to selected foreign nationals;
  • shipping information related to spacecraft including satellites and their subsystems to selected countries; or
  • sharing such information with selected foreign nationals.

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These forms can relate to the either the EAR or the ITAR.

Related to Non-Disclosure Agreements (NDAs) - EAR or ITAR

• Certification on the Handling and Use of Third-Party Export Control-Listed Information or Software to be used in the event that the third-party information or software being shared, generally under a Confidentiality or Non-Disclosure Agreement (NDA), is identified as or known to be on the Commerce Control List (EAR) or US Munitions List (ITAR).
  
  For additional information, see Stanford's page on Handling Non-Disclosure or Confidentiality Agreements
  
  
• Principal Investigator (PI) Exemption Certification for Use of Bona Fide and Full-Time Regular Employee. This form is to be completed by a US person PI when ITAR-controlled information or software must be shared with someone other than a US person. The recipient must be eligible to receive such information by virtue of working for the University, full time, on an H1B visa or in Adjustment of Status (AOS). Graduate student Research Assistants (RAs) and researchers in J-1 status are not considered to be bona fide and full-time regular employees of the University for the purposes of this exemption. They are therefore not eligible to receive ITAR-controlled information or software regardless of whether they are employed full-time by the university.
  
  
• Foreign Person Bona-Fide and Full Time Regular Employee Exemption Certification and Agreement Not to Further Disclose to be used when third-party ITAR-controlled information or software must be shared with the certifying foreign person recipient who is a bona fide and full-time university employee. The foreign person must hold an H-1B visa or be in Adjustment of Status (AOS).
  

Stanford Property to be Exported or Reexported Under Loan or Disposal

• Export Control Notification - Stanford Property to be Shipped Internationally or Retransferred While Abroad Through Loan or Disposal (MS Word document)
  
  This document is to be sent via email by Stanford PIs to foreign recipients when tangible property or material under Stanford ownership or custodianship is to be loaned or disposed of (sold, transferred or donated) outside the US.. The University Export Control Officer (steve.eisner@stanford.edu) is to be copied on the email transmission to the foreign recipient .
  

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