SLAC’s UFVA Program and Export Controlled Third Party Information

Fundamental research may pro­ceed openly and be shared freely with foreign nationals in the United States without concern for deemed export restrictions.  Export-con­trolled items, software code or information provided by third party, however, may not be openly shared with certain foreign nationals, even though those individuals may be im­portant contributors to the perfor­mance of the fundamental research.

For example, in the course of their work, SLAC researchers may be asked to accept confidential, proprietary or restricted informa­tion, materials, software code, or technology from a sponsor or third party.  The sponsor or third party - a company or a government agency, for example - will require that the researcher sign a Non-Disclosure Agreement (NDA), sometimes also called a Confidential Disclosure Agreement (CDA) or Confidential­ity Agreement.  However, propri­etary or restricted information that is required for the development, production, or use of export-controlled equipment is itself export-controlled.  It carries with it export control requirements that must be honored by the researcher who agrees to be a recipient of such information.  Additional information on NDAs and CDAs, applicable to SLAC, can be located at http://export.stanford.edu/forms.html.

Before a SLAC researcher decides to accept such information, s/he must review the conditions of the University’s Openness in Research Policy.  If the receipt of such in­formation is in compliance with University policy, the researcher must complete a Certification on the Handling and Use of Third-Party Export Controlled Information found at: http://export.stanford.edu/forms.html. Should the researcher have a need to share export-con­trolled information with others, the researcher must then determine a proposed recipient’s eligibility un­der export control regulations.  This is done by notifying the SLAC’s Ex­port Compliance Officer at steve_eisner@stanford.edu or 650-724-7072 of the need to share the export-controlled information before it is shared in order to assure proper determination of export control
eligibility.  If the proposed recipi­ent is determined to be a foreign national and eligible to receive the export-controlled information, the primary researcher must document the available license exclusion or license exception.

SLAC’s UFVA Program and Export Control Violations

Sharing such export-controlled in­formation without proper US Gov­ernment authorization may con­stitute an export-control violation.  The civil and criminal penalties that are associated with export-control violations are severe.  Any export-control violation must be immedi­ately reported by SLAC personnel to the appropriate authorities. 

As the host of a foreign national, you are subject to DOE Order 142.3A and required to report any suspi­cious or illegal activity.  Should you observe any passage of potentially export-controlled information to the foreign national you are host­ing that you believe to be non­compliant, you are obligated to report it to the SLAC’s Ex­port Compliance Officer at steve_eisner@stanford.edu  or 650-724-7072.