International Transfers: Shipments, Hand-Carry and Electronic Transmissions

The U.S. government maintains lists of entities and persons who are restricted and/or denied certain transactions.  This includes the recent "1286 List" - Restricted Party Overview

All  foreign person and entities must be screened for inclusion on any of these lists prior to engaging in activities.  If they appear on one of these lists the Export Control Compliance team must be contacted prior to the transfer of any items/information. 

How to conduct a restricted party screening using Descartes Visual Compliance software

Conduct a Restricted Party Screening for both the person and their affiliated entity/institution.

If the recipient person or their affiliated entity/institution appears on one of these lists the Export Control Compliance team must be contacted prior to the transfer of any items/information. 

Exports in support of activities related to the following are (generally) prohibited without a license:   Nuclear Explosives, Power (reactors) or Propulsion or Rocket/Missile, Space Launch Vehicles, Unmanned Air Vehicles Activities, Chemical and Biological Weapons, Weapons of Mass Destruction, or Use on Foreign Vessels or Aircraft. 

If yes, the Export Control Compliance team must be contacted prior to the transfer of any items/information. 

If the transfer destination is one of these countries, a license will likely be required - even for consumer products that are widely available.  

If yes, the Export Control Compliance team must be contacted prior to the transfer of any items/information. 

See Classification of Items and Information Overview or contact the Export Control Compliance team for assistance with the classification.

Note:  Different items or pieces of information in a single transfer may be subject to different jurisdictions. 

Once a classification is determined, the next step is to determine if an export license is required. 

• All items and information subject to the International Traffic in Arms Regulations require an export license. 
• Licensing requirements for items and information subject to the Export Administration Regulations depend upon their classification and destination.   
• Licensing requirements for items and information subject to the nuclear regulations depend on the item/information and destination. 

The Export Control Compliance team can assist with licensing determinations.

In certain cases, you may need to know the value of items being exported as this can affect licensing.  The value can be the amount paid for the item, or, if the item was made at SBU the value can be the amount it would cost to recreate the item if lost in transit (estimates can be acceptable).

Note that exports via electronic transmission may have a nominal value (e.g. $1.00) you will need to assign a legitimate fair market value for any tangible items being shipped or hand-carried.

See Classification of Items and Information Overview or contact the Export Control Compliance team for assistance with the classification.

Note:  Different items or pieces of information in a single transfer may be subject to different jurisdictions. 

The country where any one particular voyage/trip ends is the destination country for a hand-carry export.  License determinations will be made based on where the items being hand-carried are ultimately destined.

For example, a flight from JFK/NYC airport to Paris, France that stops for a standard layover in London, U.K. has a destination of France, not the U.K.  However, if you have a stay in the U.K. that requires you to enter that country through local Customs before you proceed on to France, then you have two destinations in this export that need to be considered (U.K. and France).

The length of time the exported item remains outside the U.S. for can affect licensing.  Many times, an item being returned to the U.S. within 12 months will not need a license (other factors must be considered however to be certain).

In certain cases, you may need to know the value of items being exported as this can affect licensing.  The value can be the amount paid for the item, or, if the item was made at SBU the value can be the amount it would cost to recreate the item if lost in transit (estimates can be acceptable).

Export Administration Regulations § 740.9 TEMPORARY IMPORTS, EXPORTS, REEXPORTS, AND TRANSFERS (IN-COUNTRY) (TMP) - Subsection Tools of the Trade

Authorizes Exports, reexports, or transfers (in-country) of commodities and software as tools of trade for use by the exporter or employees of the exporter may be made only to destinations other than Country Group E:1.

Eligible Items

• Eligible items are usual and reasonable kinds and quantities of tools of trade for use in a lawful enterprise or undertaking of the exporter.
•  Tools of trade include, but are not limited to, commodities and software as is necessary to commission or service items, provided that the commodity or software is appropriate for this purpose and that all items to be commissioned or serviced are of foreign origin, or if subject to the EAR, have been lawfully exported, reexported, or transferred.

Effective Control

• The tools of trade must remain under the “effective control” of the exporter or the exporter's employee.
• Tools of trade may accompany the individual departing from the United States or may be shipped unaccompanied within one month before the individual’s departure from the United States, or at any time after departure.
• Software used as a tool of trade must be protected against unauthorized access (see examples below).

Security Precaution Examples

• Use of secure connections, such as Virtual Private Network connections, when accessing IT networks for activities that involve the transmission and use of the software authorized under this license exception;
• Use of password systems on electronic devices that store the software authorized under this license exception; and
• Use of personal firewalls on electronic devices that store the software authorized under this license exception.

In general, standard business and personal laptops, tablets and cell phones either don't require a license for the destination (e.g. Germany, England) or can be taken under a Tools of the Trade license exception to the Export Administration Regulations (EAR). This does not apply to Cuba, Iran, North Korea, Syria or other OFAC sanctioned countries.

However, this exception is NOT automatically allowed.

A license MAY be required when a device with export controlled data (research or proprietary) or encrypted/proprietary software is hand-carried or shipped abroad. This depends on several factors including: destination, availability of a license exception, reason for control.

A license is ALWAYS required when a device with data controlled under the International Traffic in Arms Regulations (research or proprietary) or encrypted/proprietary software is hand-carried or shipped abroad.

Example: A laptop being hand-carried to any country with research data on a genetically modified organism will currently require a license genetically modified organisms are controlled items for chemical, biological and anti-terrorism reasons and there are no applicable license exceptions.

Traveling outside the U.S. with your field equipment and/or shipping your field equipment to your research site may require an export license.

• A license will ALWAYS be required if the item/technical information is subject to ITAR regardless of destination.
• A license MAY be required if the item/technology is subject to EAR. The details of the export need to be reviewed to determine if there is an applicable license exception or if a license is required.

Contact the Export Control Compliance team for assistance in determining if Tools of Trade or other export license exception applies. 

ATA Carnet - International Trade Administration 

Carnets are used for temporary export-import and is recognized by many countries around the world.  When presented to customs at a country that accepts carnets, the item passes through duty-free and simplifies re-entry into the U.S. 

Certificate of Registration (CBP Form 4455) is used to register items that will be temporarily exported and then returned to the U.S.  This does  not allow for duty-free entry into the destination country.  

Certificate of Registration for Personal Effects Taken Abroad (CBP Form 4457) is used to register personal items being taken abroad to show that you had the items before leaving the U.S. and allows a duty-free re-entry into the U.S. 

Hand-carried items (including some personal items) may be prohibited from import, declarable, and/or subject to tariffs or other taxes by the destination country.  

Items obtained in the destinaiton country that a traveler intends to bring back to the U.S. are subject to the country's laws and regulations and some items may be restricted from export or require a permit from an agency/government of that country. 

The International Trade Administration maintains baseline information regarding Customs, Regulations, and Standards by country on their website. 

Import of items obtained during travel (including some personal items) may be prohibited from import, require a permit from a U.S. government agency, and/or subject to tariffs or other taxes.  

Visit the U.S. Customs and Border Control website