International Transfers: Shipments, Hand-Carry and Electronic Transmissions
Stony Brook University (SBU) faculty, staff, and students may internationally ship
or hand-carry items and/or electronically send information/software (Transfers).
Transfers can be either permanent or temporary and may be for the travelers own benefit
or for the benefit of an international person/entity.
SBU faculty, staff, or students that will Transfer any item or information are required
to complete a Restricted Party Screening.
Exception to the Restricted Party Screening in situations where the hand-carry is
for their own use or the shipment is to return equipment for repair or refund to a
vendor.
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.
Items/information received from a third party’s may require prior approval to transfer
the items/information. Before transfer of these items/information make sure to review
the terms of any agreement (e.g., contract, grant, material transfer agreement, non-disclosure
agreement).
Classification Requirement
Classification of the item/information is required regardless of the type of Transfer
(i.e., shipment, hand-carry, or electronic transmission). This includes campus created
item, non-public information, and software. The classification will detemrine the
body of export control regulations that item/information falls under and any license
requirements for the Transfer.
Temporarily send an item overseas for repair/calibration/etc
Temporarily send an item to a foreign country for field work by a researcher (myself
or someone else)
Permanently send an item to a foreign collaborator.
Return an item to a foreign collaborator who loaned it to SBU
Permanently send an item to a foreign party who has requested the item (via a Material
Transfer Agreement) or donation
Hand-carry an item into the field for research (by myself or someone else)
Send technical data to a collaborator over email
Discuss export technology over the phone
Option 1 - Self Assessment of International Transfer
Export Control Review for Shipments, Hand-Carry, or Electronic Transmissions to a
non-SBU Party
For use when either SBU faculty, staff, or student will not maintain control over
the item being shipped/hand-carried or for use with electronic transmissions to a
non-SBU party.
Steps
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 destination is an embargoed or sanctioned country 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.
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.
Depending on the factors involved, a license exemption may be available. Contact
the Export Control Compliance team for further analysis.
As a general rule, any items valued over $2,500 leaving the U.S. permanently will
require a filing known as an EEI/AES. Common carriers such as FedEx or UPS can arrange
for this to be filed on your behalf when you ship through them. Contact the Export
Control Compliance team if you are hand-carrying and you think this requirement applies
to you.
Export Control Review for Hand-Carry for Own Use or Transfer to a SBU Person Abroad
For use when either SBU faculty, staff, or student will maintain control over the
item being shipped/hand-carried.
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).
This will depend on various factors. Contact the Export Control Compliance team for
assistance.
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).
See guidance on Tools of the Trade below.
Tools of the Trade - License Exception under the Export Administration Regulations
This does not apply to items and technical data controlled under the International
Traffic in Arms Regulations. A license is always required for these items and technical
data.
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.
