Export Controls: Tools and Checklists

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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 Screening Tool

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 here, along with FAQs on how to use the tool, 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 here.

Export Control Basics Training

DOR-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.

Export Controls Working Group (ECWG)

The University Export Controls Working Group (ECWG) was formed in August of 2017 with the goal to to provide a forum where educational outreach to ECWG School representatives on export control policies, procedures, and practices could be provided. 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, SDSS, 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:

  • Cindy Kiel, Associate Vice Provost for Research Policy and Integrity, VPDOR (cindkiel@stanford.edu, (530) 304-9834)
  • Kathleen Thompson, Executive Director, Research Management Group, SoM (klt@stanford.edu, 725-0661)
  • Alicia Middleton, Manager, Engineering Research Administration, SoE  (amiddlet@stanford.edu, 723-5137)
  • Martina de la Torre, Export Compliance Manager, SLAC (mdlt@slac.stanford.edu, 926-4021)
  • Kathie Kern, Managing Director, VPDOR, Independent Labs and Institutes (kakern@stanford.edu, 510-520-307​3)
  • Derek Brown, Conflict of Interest/Conflict of Commitment and Export Control Manager, Research Administration, H&S (brownd@stanford.edu, 723-569)
  • Rachel Knowles, Senior Analyst, Graduate School of Education (rknowles@stanford.edu, 723-6865)
  • Glennia Campbell, Director, Industrial Contracts Office (glennia@stanford.edu, 725-9388)
  • Nancy Heafey, Chief Compliance Officer, Graduate School of Business (nheafey@stanford.edu, 497-4407)
  • Carey DeRafael, Director of Finance and Administration, Precourt Institute, School of Sustainability, (carey.derafael@stanford.edu, 725-3226)

Other DoR Export Control Office Partners

Other Stanford Export Control Partners: