International and U.S. Territory Shipping Guidance

An export review is required for shipments to international destinations or U.S. territories if any of the following apply:

• The destination is a comprehensively sanctioned country: Iran, Syria, Cuba, or North Korea
• The destination is a high-risk country: China, Russia, or Venezuela
• The shipment is valued at $2,500 or more
• The recipient is a government, military, or intelligence agency
• The shipment contains items that are:
• Military-related or developed for military use
• Related to firearms, ammunition, or warfare
• Associated with nuclear materials or reactors
• Radiation detection or radiation-hardened equipment
• Imaging or signal processing technologies
• Novel, proprietary, or engineered materials
• Infectious, hazardous, or biological (e.g., tissue, blood, cell lines, plasmids)
• Organic materials (e.g., plants, animals, minerals, insects, human remains)
• Chemical compounds or mixtures
• Prescription drugs, vaccines, or medical kits
• Devices with high-level encryption (e.g., laptops, phones, tablets)
• Software (excluding open-source/publicly available)
• Documents containing non-public technical data

Unless being shipped to a sanctioned country or a restricted party, the following items generally do not require export review or licensing:

• Basic lab or office supplies
• Personal items (e.g., clothing, toiletries)
• Household goods and textiles
• Promotional materials (e.g., pens, folders, apparel)
• Food products*
• Artwork and artifacts*
• Currency*
• Documents with publicly available technical or non-technical data

*Note: These items may still require import permits in the destination country.

If using University Mail Services:

• Review the shipping process and determine if an export review is needed.
• If required, complete the Shipping Review Request Form and obtain RSO approval before submitting the Mail Services Voucher.
• If not required, complete the Mail Services Voucher and include the export attestation.

If using external carriers (e.g., FedEx, UPS):

• Follow the same review process.
• If an export review is required, obtain RSO approval before initiating the shipment.
• If not required, complete the Shipment Attestation and retain a copy for five years.

The fastest and easiest way to request an International/U.S. Territory Shipping Export Review is to use our simple form. The form will help us complete the following basic export/shipping analysis:

1. Is the shipment bound for a Sanctioned Country?

   1. Comprehensively sanctioned countries currently include Cuba, Iran, Syria, and North Korea. Other countries may have  sanctions and/or embargoes based on the items shipped, receiving party, etc. Shipments to  Sanctioned Countries are generally prohibited unless a license exception or other authorization is available. Please contact the the Research Security Office as soon as possible if you need to ship something to a Sanctioned Country.

2. Is the shipment going to a Restricted Party?

   1. Prior to shipping, University personnel should determine whether the receiving party is a Restricted Party. The University uses Visual Compliance (VC) to perform Restricted Party Screening. If you or your department would like access to VC, please contact the Research Security Office . Shipments to Restricted Parties typically require an export license. Even where no license is required, specific documents must be filed and retained pertaining to that shipment. Please contact the Research Security Office as soon as possible if you need to ship something to a Restricted Party.

3. Is the shipment going to a Military End User in China, Russia, and/or Venezuela? 

   1. A “military end user” is any person or entity whose actions or functions are intended to support ‘military end uses’ (as defined in the regulations at 15 CFR 744.21), including the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations. (15 CFR 744.21(g)). 

   2. Under the recent changes, the definition of “ military end use” was broadened to include “ any item that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, “development,” or “production,” of military items described on the USML; or items classified under ECCNs ending in “A018”; or under “600 series” ECCNs.”  (15 CFR 744.21(f)).

   3. While the definition of “military end user” has not changed, there will likely be more individuals and/or entities based in these three countries who the U.S. Government defines as engaging in activities that now constitute a military end use.  Note than many individuals and entities from these countries, including research institutions, who are not defense identified per se, but perform work for or receive funding from the national military, may now fall under the military end user definition.

   4. When an individual or entity from China, Russia, and/or Venezuela is determined to be a military end user, or the individual/entity is engaging in a military end use, exports of the items and technical data  listed in EAR Supplement 2 to Part 744 require an export license from BIS. Currently, those license requests are under a presumption of denial, indicative of the scrutiny that BIS is applying to this category of transaction and the enforcement consequence of violating this new provision. 

   5. For shipments going to China, Russia, or Venezuela, the Export Office will assist shippers in determining whether the receiving party is a “military end user” pursuant to BIS regulations. Where a receiving party is a military end user, the Export Office will help the shipper determine appropriate next steps.

4. What is the governing jurisdiction (ITAR or EAR) and classification (USML or EAR) of the item(s), software, and/or non-public technical data that will be shipped?

   1. Classification determinations should be made by comparing the specifications and capabilities of an item (and in some cases its original design intent and origin) to the EAR’s  Commerce Control List (CCL) or ITAR’s Munitions List (USML) as applicable. In some cases, this exercise is straightforward; in other more complex cases, it requires further analysis that requires consultation with a vendor or item provider, licensor (in the case of licensed software) and/or the faculty or staff member using the item for research or contract service. Export Control performs all classification activities; if you do not know the classification of the things you would like to ship, please contact the Research Security Office for assistance. 

5. Does the shipment require an export license?

   1. Outbound shipments or transfer by any means (cargo shipment, courier, hand carried, electronic) of export controlled commodities (hardware, laboratory equipment, materials, research samples) or technical data (software, blue prints, schematics, manuals, information in any form) require analysis to determine whether export controls apply. This applies even where the purpose of exporting the item is to advance fundamental research abroad, for example, as part of field work to be conducted in another country or to facilitate an international collaboration. It is important to note that even where an item (commodity) is created in the University from commercially available components and data, or through technical know-how that is publicly available, the item itself may still require a license to export. Prior to shipment it is important to determine whether shipment is subject to export controls, and if so which jurisdiction (ITAR or EAR) and classification  (USML or ECCN) applies. If you do not know the ECCN or USML category of the items you intend to ship, please contact the Research Security Office for assistance. Export license requirements depend on the classification  of the items and the destination of the receiving party(s). When a shipment otherwise requires an export license, an license exclusion/ exemption may apply. The Research Security Office can provide assistance in determining whether a license is required, and if an exclusion/exemption is available.

   2.  Because a license can take at least 30 days to obtain, it is critical to address a potential export requirement as soon as possible to allow for sufficient processing time. The type of license, scope and duration will depend on which authorizing agency (ITAR- Department of State, or EAR- Department of Commerce) has jurisdiction  over the license application or authorization. Please contact us as early as possible, so that we can provide assistance in advance of your intended shipping date. 

       

6. Does the shipment require other authorizations or procedures?

   1. Specific items may require regulatory approval from more than one agency. For example, certain drugs may require approval from the FDA as well as the Department of Commerce. Soil and agricultural products may require permits from the USDA/ APHIS. The Research Security Office can assist university personnel in shipping items abroad. Please contact us as early as possible, so that we can provide assistance in advance of your intended shipping date.

   2. Shippers should also contact the Environmental Health and Safety department for shipments of Dangerous Goods, Hazardous Materials, and/or Controlled Biologics, which may require specific university approval and/or special procedures prior to shipment.

7. Does the shipment require an Electronic Export Information filing?

   1. Shipments of some items require an Electronic Export Information (EEI) statement prior to export. An EEI is the export clearance document that is submitted electronically (typically by the freight forwarder through the Automated Electronic Shipment system) and that is reviewed by Census, Customs and Commerce for export statistical purpose and license compliance.

   2. Filing an EEI is required in the following situations:

   3. For all exports of items that are destined to Cuba, Iran, North Korea, Sudan, or Syria, regardless of value;

   4. For all exports of items on the Commerce Control List to China, Russia, or Venezuela, regardless of value;

   5. For all exports to an individual or entity that is a prohibited, restricted, or unverified party, regardless of value;

   6. For all exports shipped under a Department of State (ITAR), Department of Commerce (EAR/BIS), and/or Department of Treasury (OFAC) issued license, or for shipments that require submission of a license application, regardless of value;

   7. For all exports of commodities and mass market software when the value is over $2,500;

   8. Certain exemptions from filing may be available pursuant to the EAR and/or the Federal Trade Regulations. The Export Office will assist with classification of items and application of license exemptions.

   9. EEI filing may be done by the Export Office through AES, through an individual carrier (such as FedEx or UPS), or through a freight forwarder. For assistance in filing an EEI statement, please contact the Research Security Office.

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