Export Controls

SLAC Legal Contacts

Kam-Oi Shew
Phone: (650) 926-3508
Fax: (650) 926-3366
E-mail: kshew@stanford.edu

Saurabh Anand
Phone: (650) 926-8708
Fax: (650) 926-3366
E-mail: sanand3@stanford.edu

Ritu Bhatnagar
Phone: (650) 926-3073
Fax: (650) 926-3366
E-mail: ritub@stanford.edu

Jane Mills
Phone: (650) 926-3531
Fax: (650) 926-3366
E-mail: jmmills@stanford.edu

Steve Porter (Retired)
Phone: (650) 926-4701
Fax: (650) 926-3366
E-mail: slporter@stanford.edu

If you have a general legal question unrelated to specific SLAC operations, contact the Director of Legal Services at the Stanford University Office of General Counsel at (650) 723-9751.

Background on U.S. Export Control Laws

The U.S. government manages its foreign policy objectives, economic competitiveness and risks to national security through U.S. export control regulations. At SLAC, we must be cognizant of export laws that regulate the transfer of technology (in various forms) and the provision of assistance (funds or services) to foreign entities/persons that may be based domestically or internationally. Consistent with Stanford University’s export control policies, SLAC is fully committed to complying with all export laws and regulations that pertain to applicable Lab activities.

Things or information that may be “export controlled” are identified on specific lists discussed below, but broadly could include:

  • Equipment, instruments, tools, prototypes, or “components” of the foregoing.
  • Materials: raw or finished, organic or inorganic.
  • Software, source and object code (does not include open-source)
  • Technology (i.e. Technical Data in any form)

The export of regulated items, information, or software, if listed on the specific lists below, may require approval from the U.S. Government in the form of an export license. An export license permits “controlled” tangible items or software to be sent outside of the U.S., or controlled technology or software code to be shared with foreign persons, either in the U.S. or abroad. Severe personal and institutional penalties (civil and criminal) are possible if export authorizations are not obtained.

The four main sets of export regulations and the corresponding managing federal agencies are listed below. Of the below, EAR will generally be most frequently applicable to SLAC activities.

Federal Agency Regulation Items Subject to Control
Department of Commerce EAR – Export Administration Regulations Technology with commercial, research, and/or potential military applications
Department of Energy 10 CFR Part 810 Nuclear technology and technical data
Department of State ITAR – International Traffic in Arms Regulation Military technology and services
Department of Treasury OFAC – Office of Foreign Assets Control U.S. sanctions and embargoes

 

Export Controls at SLAC

Introduction

All SLAC Lab activities are subject to export laws where they involve the exchange of technology or assistance with foreign entities or individuals in the U.S. or overseas. SLAC’s exposure to export controlled technology occurs predominantly when a SLAC sponsor or a third party – another DoE lab, subcontractor, or collaborator, for example – asks SLAC to accept equipment, technical information or software code marked or known to be export controlled. 

Third-party export controlled technology is generally shared under a Non-Disclosure Agreement (NDA) or is otherwise not intended for publication (background IP, USG “FOUO” information). A foreign national’s use of export controlled items or software generally does not require an export license unless a third party-supplied item or software is a military (ITAR) item, or if the item is marked as export controlled development, production, or use technology.

If you are exporting any information that is considered export or ITAR controlled, please ensure that you are fully complying with the requirements provided on this site, as well as with the shipping and hand-carry requirements consistent with SLAC’s procedures.

Fundamental Research Exclusion

Some limited exceptions include: the Fundamental Research Exclusion (FRE) and publicly available information. Although the FRE provides significant protection from export regulations for those conducting basic and applied fundamental research intended for publication, it is a narrow exclusion which only applies to research results in technical data form (e.g. software and reports). The FRE does not encompass confidential/proprietary information or tangible items required to perform the related research or outputs of that research. For more information on how SLAC manages the receipt of confidential information, and the considerations that might be applicable from an export control perspective, please visit SLAC Legal’s site on NDAs.

Deemed Exports

Another important export control consideration at SLAC is “deemed exports.” Deemed exports involve a release of export controlled technology or software source code to a foreign person within the U.S. and its territories. A regulated export is thereby “deemed” to take place to the foreign person’s home country or last country of citizenship when “released.” Export controlled technology is “released” for export either a) when it is made available to foreign persons for visual inspection, such as reading technical specifications, plans, blueprints, etc.; b) when technology is exchanged orally; and/or c) when technology is made available by practice or application under the guidance of persons with knowledge of the technology. 

A deemed export can also occur when technology is transferred to a foreign national by allowing use of controlled equipment that meets the “Use Technology ” threshold. “Use Technology” is information necessary for the operation, installation, maintenance, repair, overhaul, and refurbishing of equipment.

The ITAR may even consider information necessary for the simple “operation” of equipment to be “controlled technical data,” however, it would depend on the specific technology. The threshold for “Use Technology” under the EAR is much higher. To be considered controlled “Use Technology”, the technical data should contain substantially all of the following six elements for the use of the EAR controlled item:

  • Operate
  • Install
  • Maintain
  • Repair
  • Overhaul
  • Refurbish

In other words, a user manual that only provides instructions on “operation, installation, and maintenance” of an EAR controlled item would not be considered controlled technical data under EAR  because it was missing the other three elements of Use Technology (repair, overhaul, and refurbish).

Please note that while EAR “Use Technology” requires a threshold involving all six elements of use described above, “Development and Production Technology” for EAR controlled commodities has no such threshold.

Lab Activities Where Export Controls May Apply

Please consult Stanford’s export control site, as well as the sites linked below, for more information on each of the below activities.

  1. Receipt or generation of confidential, sensitive, or proprietary information that is export or ITAR controlled
  2. Research collaborations in the U.S. and overseas that involve or generate export or ITAR controlled information
  3. Research staff, new hires, and interns who are foreign nationals
  4. Publications, presentations, data or information, research results, and software releases that include, reference, or are export or ITAR controlled information
  5. Property management
  6. Foreign visitors
  7. International shipments
  8. Foreign travel

International Shipments

International shipments directly invoke export control regulations, as well as other issues, such as customs and liability.  All international shipments that SLAC personnel are proposing must relate to official DOE business and be SLAC’s responsibility to manage. In general, international shipments are coordinated through SLAC’s approved freight forwarder. 

In order to initiate the shipment process, an eShipper must be submitted through SLAC's eShipper online appliction (SLAC login required). All shipments reflected as “international shipments” on the eShipper form are routed to SLAC Export Controls automatically. To expedite the export control review process, an Info Sheet may be submitted via email to exportcontrols@slac.stanford.edu at the same time the eShipper is submitted. Download export control Info Sheet. Failure to follow the procedures below to obtain the necessary reviews may result in shipment delays, unanticipated duties or fines, or regulatory violations. 

For eShipper and info sheet forms to be deemed complete, they must:

  • Include Export Classification Number (ECCN). More information on ECCNs may be found at the Dept of Commerce's ECCN site and at LBL's Basic Export Terminology and Definitions site. The ECCN determines whether an export license is needed from the Department of Commerce.  It categorizes items based on the nature of the item and its respective technical parameters. 
  • Schedule B number (10 digit international export code for exporting goods out of the U.S.)  For more information on the Schedule B number visit the Schedule B Search Engine. This is administered by the U.S. Census Bureau to collect trade statistics. 
  • A declared value for each item intending to be shipped, for U.S. Customs. The Export Controls Office will need this information to prepare a Pro Forma invoice.  (Note: All shipments > $2,500 will need a Pro Forma invoice.)
  • If you are returning User or other third-party owned item(s), please make sure you have a Power of Attorney (POA).  (A POA grants you the right to make legally binding decisions for the person who grants you that authority.) In this case, a POA allows SLAC to take possession of the property to send the item(s) back to them.

Once the Export Controls Office has all of the pertinent information and have made the determination that no license is needed from the Department of Commerce, Shipping/Receiving will ship the item(s) out.

Foreign Travel With Export Controlled Materials

All foreign travel with potentially export controlled materials must be authorized by SLAC Export Controls as part of the pre-travel approval process. If you are travelling with certain, potentially export controlled items please refer to the Foreign Travel With Export Controlled Materials Guide.

FAQs

Visit Stanford's DoResearch site for Stanford University policies on export controls compliance, including a University online training you may take to learn more. Please also visit this LBL FAQ site for a thorough list of FAQs generally applicable to DOE Labs.

For further questions, please contact the SLAC Legal Department at: exportcontrols@slac.stanford.edu.

Export Control Resources and Links