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.
Export License Certification Reference Guide
A comprehensive summary of Stanford export control policies, position responsibilities, resources, best practices and documentation requirements associated with international shipments and hand carries of laptops, equipment and other items.
Export Controls "Quick Guide"
The lookup table found here provides easy-to-read export control steps and FAQ's associated with international travel, hiring, confidentiality agreements and shipping at Stanford.
Restricted Party Screen
Certain organizations and individuals are subject to financial and trade restrictions under US law. These restrictions apply to both domestic and foreign transactions. The screening tool available in the column to the right will permit you to quickly check and document whether a person or organization is a US Government restricted party.
Openness in Research Checklist
A reminder of what to look for whenever program solicitations or awards, MTAs, Licensing Agreements, NDAs, or any other documents include clauses that pertain to confidentiality, publication restrictions, or limits on foreign national participation in the conduct of research. This checklist can be found in the Related Items section below.
Export Control Basics Training
ORA-1130 is a brief, 30 minute introductory export control training course tailored to the Stanford community.
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 diligence.
The links below can help in situations when a tangible item is being sent, or is being hand-carried, outside of US borders.
DoR Export License Review and Certification Reference Guide for International Travel and Shipments
Stanford University Export Control Decision Tree
International Shipments of Hazardous Materials, Chemicals and Pathogens (Stanford EH&S Decision Tree w/Export Control Guidance)
Handling Temporary Exports (information about documenting shipments or hand-carries of tangible items including laptops that are to return to the US within 12 months of initial shipment).
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.
Sample Letters and Clauses for Faculty, Students, and Staff
Downloadable letters and agreement language can be found below in Related Items section and 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.
This letter will be of assistance for international travel by Stanford foreign national researchers from countries for which stringent visa export control reviews are required. The letter should be shown to US consular officers at the time of visa submission. The letter documents that research performed at Stanford is categorized as unrestricted "fundamental research" and thus outside the scope of U.S export controls.
To obtain a signed letter from Stanford's Export Control Officer, the international traveler's faculty advisor must email the Director of Export Compliance (firstname.lastname@example.org) and introduce the request in the body of the email. The email must also include as an attachment a completed fundamental research letter template. That template is available by clicking the "Fundamental Research Letter" heading above.
For Stanford PIs with foreign research collaborators, this letter must be used when tangible property under Stanford ownership or custodianship is to be loaned or disposed of (sold, transferred, or donated) abroad. The letter must also be used for Stanford property already resident abroad and not under Stanford's direct control that is to be transferred to a third country.
Wherever possible, proposals for contracts or subcontracts should include this paragraph. The clause not only advises the sponsor of our policies related to openness and nondiscrimination, but it also incorporates that information by reference in final contracts.
Export Controls Working Group (ECWG)
Stanford's Export Control Officer (ECO), Steve Eisner, formed the University Export Controls Working Group (ECWG) in August of 2017 with the goal to to provide a forum where Steve can provide educational outreach to ECWG school and unit representatives on export control policies, procedures, and practices. The representatives share real life experiences and/or issues that affect us all in our day to day jobs. The Group meets monthly and is represented by a staff member from the Dean of Research Office, GSB, H&S, the Independent Labs, SE3, SLAC, SoE, and GSE. In addition to discussing and addressing university export control policies and federal export control regulations, the Group:
- Provides education and guidance on how to navigate EC regulations and responsibilities
- Creates "Quick Takes" of information on export controls to keep everyone current
- Discusses and identifies solutions for specific EC issues that have been flagged by the ECO and school representatives
- Shares federal and Stanford-specific export control developments that could have a significant impact on our university activity
Members of the ECWG and their respective schools/units are:
- Steve Eisner, Director of Export Compliance, DoR (email@example.com, 724-7072)
- Csilla Csaplar, Director of Engineering Research Administration, SoE (firstname.lastname@example.org, 498-6877)
- Miguel Santino Hernandez, Managing Director, Ginzton Laboratory, Independent Labs (email@example.com, 723-0139)
- Sonia Barragan, Executive Director, Research Admininstration, H&S (firstname.lastname@example.org, 723-3569)
- Jen Kidwell, Director of Finance and Administration, Dept. Geosciences, Stanford Earth (email@example.com, 723-0891)
- Global Risk Manager, GSB (firstname.lastname@example.org, 723-9278)
- Irene Lam, Associate Director, Research Administration and Compliance, GSE (email@example.com, 723-0795)
- Martina de la Torre, Export Compliance Manager, SLAC (firstname.lastname@example.org, TBD)
Other DoR Export Control Office Partners
Other Stanford Export Control Partners:
- Office of Sponsored Research
- Industrial Contracts Office
- Office of International Affairs (For Stanford Researchers)
- Global Business Services (International Financial Compliance)
- Bechtel International Center (For Stanford Students)
- Procurement (also Stanford Import/Customs Point-of-Contact)
- Property Management
- Environmental Health and Safety