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If you have questions about the applicability of export control regulations
to a particular situation, or about any of the information presented on this
Export Control Officer
|Date:||April 20th, 2009|
|To:||Faculty and Research Administrators|
|From:||Ann Arvin ,
Vice Provost and Dean of Research
|Subject:||Documentation Requirements for Export Controls|
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" (reinforced in Section 3 of the Faculty Policy on Conflict of Commitment and Interest). Export controls, conversely, may impose access, dissemination, and participation restrictions on information and tangible items.
Note: "exports" can include both
This memo is a reminder about our Openness policy, and the need to document international shipments of tangible items and transfers of data or other technical information that is restricted and identified as export controlled..
Stanford conducts only fundamental research intended to be shared broadly with the interested public; that is, we perform basic and applied research in science and engineering that is not subject to access, dissemination, or participation restrictions. Federal export controls generally do not apply to the conduct or results of fundamental research. Consequently, the need for recordkeeping related to export controls is usually limited to:
Stanford must document its due dilligence in having conducted an export control review and to demonstrate its adherence to US export control and trade sanctions laws.
EXPORT LICENSE EXCEPTIONS AND EXEMPTIONS
A researcher may occasionally be required to obtain an export license from the relevant federal agency in order to ship tangible items outside the borders of the United States. A vast majority of tangible item shipments are likely to qualify for "No License Required" (NLR/EAR99) treatment under Export Administration Regulations (EAR) or a license exception or exemption under either the EAR or International Traffic in Arms Regulations (ITAR). Whether a license is required or not will depend on the the country of ultimate destination, the researcher's description of the item, its intended end-use and its end-user. For example, an electron microscope, for use in fundamental research involving some special microstructure determination, being sent to a collaborator in India who will insert a component and return the microscope to Stanford, is likely to be shipped NLR/EAR99 or under a license exception or exemption.
Export documentation is also stored both locally and centrally on campus. The PI, the Project Manager, or another person to whom this responsibility is delegated must locally maintain copies of the export control form submitted, and any confirming shipping documents (Air Waybill, Purchase Order, Commercial Invoice) with the project files. In addition, a copy of all export documentation must be provided to my office (see Demonstrating Compliance below).
Stanford is subject to periodic audits with regard to all its recordkeeping requirements, and those related to export controls are no exception. In fact, the U.S. Congress has mandated that the Inspectors General of the Departments of Commerce, State, Homeland Security, Treasury, Defense, and Energy undertake rolling audits related to export controls at universities and research facilities over this decade. In 2004, Stanford underwent such an audit by the General Accounting Office and the Commerce Department, and was found to be in compliance with all applicable regulations.
However, in order to enhance our ability to respond efficiently to a "data call" or to further audits, Stanford's Office of the Dean of Research has established an electronic export control forms submission process linked to a database containing all export control form submissions. Copies of these submissions also need to be kept locally in the research project files of Departments and Schools.
I have designated Steve Eisner to be the Point of Contact for the copies of these records. Starting March 20, 2009, electronic copies of the forms described in the previous sections must be summitted for ALL international shipments and disclosures of export controlled information to eiligible foreign persons.
Questions about the applicability of export control regulations to a particular set of facts should continue to be directed to Steve Eisner in the Office of Dean of Research, (650) 724-7072, email@example.com.