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Export Controls

We encourage you to consult the Export Controls website directly to review the policies, the requirements, and the penalties associated with non-compliance.

https://doresearch.stanford.edu/category/export-controls

Introduction

Federal regulations require individuals and the department to retain easily accessible soft or hard copies of documentation for a period of five years that show that items shipped or hand-carried internationally either do not require an exported license (No-License Required or NLR) or if they do, that a license was appropriately received from the Export Control Office prior to shipment and/or travel.

The export control office requires the Department of Art & Art History to generate documentation for all applicable shipments and hand-carries (international travel), both retroactive and future (as of April 5, 2021).

Department Export Control Document Repository

For ease of long-term retention of this documentation across the department, the Department of Art & Art History maintains this webform (https://art.stanford.edu/forms/export) and requests that you submit copies of all required documentation for items under the following categories: No License Required (NLR), Annual Certification for Export License Exception (TMP), and Export License-Required.

https://art.stanford.edu/forms/export

Export Control Decisions Tree

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.

If anything is on this list here, it requires an export control form, and may require a license depending on the destination. The Export Control Office should be contacted. If it is not on the list, assume it is EAR99 and "No License Required" (NLR) and the NLR form would apply.

All exports to Iran, Syria, Cuba, North Korea, and Crimea must go through the Export Control Office, as a license will be required in almost all instances.

Export Control Documentation Required

NLRs or other applicable export control forms (as determined by the decision tree) and supporting documentation retention are required for:

  1. All Encrypted Stanford-owned faculty laptops and digital storage devices taken on international travel for research continuation purposes (research while traveling). Consult the TMP Property Checklist for laptop/digital storage device export form submission.
  2. All retroactive and future shipments of art with electronic components or electronic art making supplies regardless of the country the recipient are living in (electronic art making supplies typically consist of retail-level, introductory electronics boards and software)
  3. All retroactive and future digital equipment (cameras, hard drives, etc) shipped or hand-carried internationally, including those that do not require encryption or include 3rd party technology or technical data
  4. International shipments or transmissions of correspondence, document, publications, etc. that contain 3rd party confidential/proprietary information or software code related to an export-controlled item (unlikely).

Export Control Exceptions

As of April 5, 2021, export control documents will not be required for:

  1. All retroactive and all future shipments of non-electronic art making supplies to individuals living in non-sanctioned countries.
  2. All retroactive encrypted Stanford-owned faculty laptops and digital storage devices taken on international travel for research continuation purposes (research while traveling).
  3. All retroactive and all future correspondence, documents, publications shipped or hand carried internationally to non-sanctioned countries that do not include technology or technical data, nor include 3rd party confidential/proprietary information or software code related to an export-controlled item.

How This Affects You

  1. If you plan to travel internationally, you may register/certify your laptop and/or any other electronic devices (cameras, hard drives, etc.) for an Export License Exemption. This enables you to register the device once per year instead of before each trip.
    1. You may only register one item per form. If you have multiple items, you need to submit one form for each.
    2. You must include the brand/model names and the device’s serial number in the Export Control Office's Annual Certification Form.
    3. Please submit a copy of the completed form to the department’s Export Control Tracking Webform https://art.stanford.edu/forms/export to ease internal document retention.
  2. If you have shipped and/or traveled internationally with electronics within the last 5 years, you must submit retroactive NLR requests for each of these devices and trips.
  3. If you have shipped or plan to ship any electronic art making supplies to individuals within the last 5 years or in the future, you must submit an NLR request for each shipment.
  4. Stanford’s Export Control Officer must be contacted for review and approval of the following before any shipments or travel is conducted, or before any documentation is submitted for:
    1. All future shipments of any tangible item including but not limited to electronic devices and non-electronic art making supplies to personnel (including students) living in sanctioned countries.
    2. Any transactions or research collaboration with individuals or organizations from sanctioned countries such as Iran, Cuba, Syria, North Korea, and the Crimean Region of the Ukraine.

Department Export Control Document Repository Documentation Requirements

The department’s export control form (https://art.stanford.edu/forms/export) will ask for you to submit individual copies of documentation required for each of the categories of requests. Documentation that must be retained for each category is described below:

No License Required (NLR) (for Shipped and Hand Carried items)

Here is a link to the form: https://web.stanford.edu/group/export/forms/NLR.html

  1. Proof of purchase for retail-level items. For art with electronic components, please provide a description of the artwork including the function of all microprocessors, networking/bluetooth components and digital storage devices (including flash drives).
  2. Shipping receipts and labels, or flight itineraries
  3. A copy of the “no-match” search results from the Visual Compliance RPS Screening Tool. The assistant manager or finance associate may assist with this step. If a search match or partial search match is found, escalation to the School of Humanities & Sciences’ Export Control Division Manager is required prior to arranging the shipment or trip.
  4. A PDF copy of the NLR request responses submitted to the Export Control office.  You will receive an automatic email from the Export Control Office with a copy of your responses to be included in the department form.

Annual Certification for Export License Exception (TMP)

Here is a link to the form: https://web.stanford.edu/group/export/forms/TMP-annual.html

  1. A PDF copy of the TMP request responses submitted to the Export Control office.  You will receive an automatic email from the Export Control Office with a copy of your responses to be included in the department form.

Export License Required

  1. Copies of all export documentation provided to you by the Export Control office.