University activities involving the use of third-party, export-controlled information, items or technology received from outside the University are not protected under the Fundamental Research Exclusion. All research involving the use of export-restricted technology is subject to all export controls.
Contact Brown’s Export Control team (exportcontrol@brown.edu) as early as possible when engaging in any of these activities to ensure full compliance with Brown policy and U.S. export regulations.
The release of controlled technology and technical data to a foreign national in the U.S. is considered a deemed export. Brown screens foreign scholars and visitors to ensure compliance with export control laws and sanctions regulations and provides guidance and education to hosting departments and visitors on applicable export control and sanctions regulations.
Specifically, screening is required for the following groups:
The screening process is primarily used to determine if a foreign scholar or visitor is a restricted national or is affiliated with a restricted country, group, entity or organization. If the former, Brown cannot host/sponsor the individual; if the latter, Research Integrity will provide specific guidance to the hosting department on regulatory restrictions related to hosting and interacting with the foreign visitor who is affiliated with a restricted party. Research Integrity will also provide guidance to the visitor to ensure that they do not accidentally violate any U.S. export control or sanctions laws while being here.
The screening process is also used to determine if government licenses and authorizations are needed prior to sharing technology and technical data with the visiting scholar. In the case of H-1B and O-1 visa applicants, this process is also used to make a deemed export attestation, which is a federal requirement.
The screening is conducted by Brown’s Export Control team using the web-based screening tool Visual Compliance. Hosting departments/faculty must provide certain information to the export control compliance group via the Foreign Scholar and Visitor Screening export control review form.
Foreign Scholar and Visitor Screening Form [PDF]
The form must be completed and signed by the hosting principal investigator (PI) or department. Send completed and signed forms to exportcontrol@brown.edu for review and signature.
The Export Control team will send a signed copy back to the hosting department, as well as to Brown's Office of International Student and Scholar Services, if Brown provides visa sponsorship.
Screening and certification forms for visa holders working at Brown-affiliated hospitals can be sent directly to the hospital's export control officer.
International students who apply for visas to study in the STEM fields, including electrical engineering, computer science, biology, chemistry and chemical and nuclear physics, may be asked to submit additional documents to the visa processing consulate. This may include a research and study plan and an advisor letter/questionnaire to be answered by the hosting PI at Brown. The questionnaire may include questions related to funding sources, access to export-controlled technology and information, as well as a description of other projects that the applicant may have access to.
Statements provided to the applicant should be complete and accurate. PIs who require assistance with the questionnaire and, in particular, with export control-related questions, may contact exportcontrol@brown.edu.
In general, collaborations between University personnel and scholars at foreign institutions or organizations do not require export licenses unless they involve export controlled or restricted research or involve scholars in sanctioned countries or at sanctioned entities.
Research in export-restricted science and engineering areas — such as military or defense articles and services, high-performance computing, select agents and toxins, encryption technology, space technology and satellites — can trigger export controls and require review by Export Control. In many instances, dual-use technologies — that is, technologies with both a military and commercial application — can also fall in the “export-restricted” research category, and similarly require review.
Before you engage in an international collaboration, the University needs to determine if export licenses are required and to verify that the foreign individual or organization is not a blocked or sanctioned entity (i.e., a restricted party). Note that some universities are restricted parties.
If you are presenting or discussing research with foreign collaborators, only provide information that is either already published, in the public domain, or has no restrictions on publication.
If you are consulting in a restricted technology area (e.g., on dual-use technologies or select agent work), you may need an export license depending on where you are going, what information you are providing, to whom you are providing it and what they intend to do with it. If the destination or end-user is a foreign national of a sanctioned country (especially Iran, Syria, Cuba, Sudan or North Korea), then in most cases any consulting activities would be prohibited regardless of the subject matter.
If you are providing instruction or training, be sure that the information you are sharing is not controlled for export and that providing a service to the foreign group or the country of destination is allowable. Note that providing training or instruction to foreign military personnel, may be considered a “defense service” requiring a license from the U.S. Department of State.
Be aware that everything you export is considered an import to the destination country. Check that country’s import regulations well in advance of your trip.
OFAC regulates instruction delivered online, including via massive open online courses, to individuals who are residents in, or ordinarily resident to, comprehensively sanctioned and embargoed countries in instances when such instruction is considered a “service.” You must coordinate with Export Control before launching any such course. This includes providing online instruction to graduate students in any field or undergraduate students in engineering, math or other STEM fields or a field related to defense technology, including weapons and space systems. Such course instruction may require authorization or a license.
Research projects for which any part of the research will take place outside the U.S. (e.g., fieldwork outside the U.S.) may not qualify under the Fundamental Research Exclusion and may be subject to export controls and/or sanctions regulations.
Research taking place in, and/or involving collaborators in, sanctioned countries, as well as research involving sanctioned groups or individuals requires export control/sanctions review. Most activities, including research activities and survey collections, in comprehensively embargoed countries are not allowed unless authorized (via a license) by the U.S. government.
The federal government also prohibits certain activities and transactions with sanctioned groups or individuals, which includes, but is not limited to individuals associated with terrorist organizations, narcotics traffickers, militia groups, criminal groups and individuals associated with current or former totalitarian regimes. If you are planning to work with or conduct research on individuals or groups that may fall into this category, you must contact the Export Control team.
You must also contact Export Control for a review if you are planning to work with or train members of a foreign military, police or law enforcement. Certain training activities (not limited to combat training) with foreign military, police or law enforcement can be considered a defense service under International Traffic in Arms Regulations (ITAR) and may require a license.
If you are planning to take or ship research equipment to your international fieldwork site, you must also review and comply with all export control laws and regulations. Note that certain countries (China, Russia, Venezuela, Hong Kong, Burma and Cambodia) require additional documentation when exporting (permanently or temporarily) certain items, including laptops.
University activities that involve the international payment of funds to non-U.S. persons abroad need to be verified to ensure that the University is not inadvertently providing financial assistance to a blocked or sanctioned entity. Examples include providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries. Contact exportcontrol@brown.edu if your activity involves payment to persons or organizations outside the U.S.
University activities that involve the transfer of project information, equipment, materials or technology out of the U.S. by whatever means are subject to export controls and may require an export license depending on the item, destination, recipient and end-use. In many instances you may need to provide the correct export classification number or license exception code to the international shipper. Please note that providing incorrect information on international shipping documentation can lead to your shipment being held up or delayed. It can also result in heavy fines and criminal penalties.
Any item that is either listed in the U.S. Munitions List (USML) or has an export control classification number (ECCN) other than EAR99 may require an export license. While many items that are used on a daily basis fall within the EAR99 classification, a number of items that are frequently used in academic research do not. In many instances an export license exception can be used to take these items abroad but it is advisable to involve the University’s Export Control team in determining whether an exception applies.
While you may use any international shipping company, Brown recommends using FedEx or UPS for shipments weighing less than 250 pounds and AIT Worldwide Logistics for shipments over 250 pounds.
When shipping internationally, you may be asked to complete other documentation that includes some or all of the following information.
Provide the complete name, address (including country) and phone number of the party or company to which you are shipping items.
Provide the final destination country of the goods being shipped.
The waybill number is found on a nonnegotiable transport document also known as an airway bill, for shipments by air, or a bill of lading, for shipments using other modes of transport, such as truck, train or sea. The waybill is used along with various documents such as the pro forma invoice, packing list, etc. for the U.S. Customs declaration of proof of the freight amount billed for the goods carried.
The waybill includes International Terms of Trade, or Incoterms, that define who will be paying for shipping, insurance, import duties and fees. The Incoterms should be determined at the time you prepare your proposal to ensure all fees are included in the budget or discussed with the collaborator in advance of preparing the shipping documents. These terms will need to be listed on either the waybill or the pro forma invoice.
When the recipient pays the shipping and fees, the Incoterms are Ex Works. When you, the sender, pays the fees and handles the paperwork, the Incoterms are Delivered Duty Paid (DDP). Sometimes your shipper asks you to provide the specific terms; other times, the shipper simply asks who is paying for what.
How to Acquire a Waybill
Provide the manufacturer’s serial number.
If you have multiple packages in one box, you only list one box because it is one item being shipped. If there are multiple individual items in their own packages, you must list the total number of packages. A miscount on the number of packages may trigger Customs inspections.
Indicate the package type (e.g., cardboard box, aluminum case or plastic pallet) and the dimensions (e.g., 10x10x10).
Provide a concise and detailed description of the goods being shipped.
Provide the name of the country where the goods were manufactured, normally marked on the item as “made in.”
The Harmonized System is the internationally standardized system of names and numbers for classifying traded products. The code is a six- to 10-digit number. Improper classification can lead to duties (taxes) or fines. The HS can be requested from the manufacturer.
You will need to provide either an ECCN (alphanumeric code) or ITAR Category (Roman numeral). These are U.S.-specific, determined based on technical listings in export regulations, and can be requested from the manufacturer or Brown Export Control as part of the export control licensing determination.
Provide the unit/total value of the product in U.S. dollars. No country accepts a zero dollar value. The minimum value that can be declared is $1. If the item is not being sold, the invoice should indicate the value is for U.S. Customs purposes only (“item not for sale, for research purposes only”). The value of the item being shipped must match purchase orders, contracts or grants it relates to. Please retain records to prove the value of goods in the event the University is audited by Customs.
The value determines if there are special government filings required in the U.S. prior to the export of the goods. Declared invoice value is the basis for any applicable duty or taxes/fees that are due in the ship-to country. Customs knows what the typical value is for goods; a low value can be a red flag for mis-declaring value.
Some additional guidance regarding value:
Generally, you should include the following diversion statement: “These commodities, technology or software were exported from the U.S. in accordance with the Export Administration Regulations. Diversion contrary to U.S. law is prohibited.”
If your items are being exported under an ITAR export license, a different diversion statement is required; contact Export Control for more information.
The U.S. government tracks exports through the Automated Export System (AES). The Electronic Export Information (EEI) must be filed through AES for exports valued over $2,500 (per Harmonized System or Schedule B code) or if an export license is required, whether the items are shipped or hand-carried. A schedule B number is a U.S.-specific number that may be similar to the Harmonized System code and is used for AES filings.
If an EEI is required, the AES International Transaction Number (ITN) must be listed on the airway bill. The export declaration EEI can be filed through a Brown-authorized freight forwarder or through an expediter online system. Confirm with your shipper if they will complete the AES filing, if required, on your behalf.
If hand-carrying an item, please contact Export Control at least 72 hours prior to departure.
When no EEI is required, the following low value exemption statement needs to be noted on the invoice: “30.37 (a) No EEI required — no individual Schedule B or HS number valued over $2,500.”
The SLI is used in the process of transporting goods that have special handling requirements. It can be included as part of an airway bill or bill of lading.
Commonly known as Merchandise Passports, Carnets are international customs documents that simplify customs procedures for the temporary importation of various types of goods that will return to the U.S. within one year to countries that accept Carnets. They aid in eliminating payment of duties and value-added taxes (minimum 20% in Europe, 27% in China).
The Certificate of Origin is a document used to declare where the items were produced, manufactured or assembled. It is a legal requirement for certain items to qualify under Free Trade Agreements (e.g., NAFTA, U.S. Israel FTA, etc.). It is completed by the exporter. A local chamber of commerce can certify certificates of origin when provided with a commercial invoice.
Travel to most countries is not a problem. However, when traveling abroad — especially to a country with higher health and security risks — it is always a good idea to check the U.S. Department of State’s travel advisories and tips for travelers to high-risk areas.
You are required to review and abide by Brown's travel policies, which includes registering University-related travel overseas in Brown’s global travel registry, TravelSafe. The University also has contracted with International SOS to provide Brown travelers with medical and travel assistance, including emergency support. Additionally, you should follow Office of Information Technology (OIT) guidelines for preparing technology (laptops, smart phones, etc.) for international travel.
Please note that the issuance of an export control license by a relevant regulatory agency does not supersede Brown’s institutional policy related to international travel.
Traveling with certain types of high-tech equipment or with controlled, proprietary or unpublished data in any format may require an export license depending on your travel destination.
Traveling with laptop computers, web-enabled cell phones and other electronics containing encryption hardware or software and/or proprietary software may require an export license to certain destinations. In general, an export license will be required to take any items to or through any U.S.-sanctioned country (e.g., Iran, Syria, Cuba, Sudan and North Korea).
Most commercially available basic software (such as Microsoft Office) is classified as EAR99 and can be exported either individually or on your device without a license. However, proprietary software, software that includes encryption and other complex software may require an export license and should be reviewed by Export Control.
Below is a list of ECCNs for equipment most commonly taken abroad; no license is required for these items if you are traveling to a nonsanctioned country. If you are planning to take equipment that is not listed in the chart below, or you are traveling to a sanctioned country or region, reach out to Export Control for assistance.
| Item | Export Control Classification Number (ECCN) |
|---|---|
| Dell laptop (no encryption) | 4A994 |
| Mac laptop | 5A992 |
| iPhones and iPads | 5A992 |
| jump/flash drive (most types) | 3A991 |
| Android cell phone or tablet | 5A992 |
| Garmin GPS | 7A994 |
| BitLocker encryption technology | 5D992 |
| GoPro camera | EAR99 |
Export Control has worked with Strategic Procurement and Contracts to provide a list of items, materials and software that may be subject to ITAR and thus highly export controlled. If you are purchasing or receiving any product that falls within one of the product groups listed below, you must ascertain export control classification information from the vendor prior to purchasing and receiving the product. If the vendor confirms that the product is listed on the USML and subject to ITAR, you cannot purchase or receive the product unless you have received approval from the Vice President for Research. To initiate the approval process, please contact Export Control.
If you are taking research equipment abroad, you may want to consider registering your items prior to traveling. For personal items, use Customs and Border Protection (CBP) Form 4457; for commercial or professional items use CBP Form 4455. Both forms are used to register the items prior to the temporary export. The purpose of the forms is to demonstrate, upon re-entering the U.S., that you had the items before leaving the U.S. and ensure duty-free re-entry back to the U.S.
CBP Forms 4457 and 4455 are not acceptable temporary import documents to avoid import duty and tax into foreign countries. If you are traveling with special research equipment and want to avoid potential import duty and tax payments when entering the foreign country and when re-entering the U.S., you may want to consider using a Carnet.
A Carnet is an international customs document that facilitates temporary (up to one year) imports into foreign countries. There are some 87 countries that participate in the Carnet program. When presenting the Carnet to foreign customs, you will not be charged duties or import taxes. The Carnet also serves as a registration of goods in the U.S., which further facilitates the re-importation into the U.S. without having to pay import duties.
Brown offers additional guidance and oversight for research agreements with the U.S. Department of Defense (DOD) and other military agencies because these research activities often intersect with export control laws, particularly the International Traffic in Arms Regulations (ITAR).