Controlled items, export licenses, and EEI filing

The U.S. government controls the export of a wide variety of physical commodities (equipment, materials, systems) on several control lists.  Additionally, any technical data (technology)* which provides insight into the development, production, or use of a controlled physical commodity is also controlled as is certain software associated with the same items.  Controlled goods, technology, and software may require further authorization from the U.S. government in the form of a license or license exemption prior to export.  The Office of Export Controls will make the final determination on this for all Duke exporting activity.

Items developed or modified for military or space applications are controlled by the International Traffic in Arms Regulations (ITAR) and will likely need a license to be exported.  Controlled goods, technical data, and software subject to the ITAR are defined in the regulations as "Defense Articles" and are listed on the US Munitions List (USML).  Duke faculty, staff, or students that intend to acquire or manufacture defense articles are to contact export@duke.edu in advance; security safeguards and recordkeeping requirements will apply.

There is also a much larger list of commercial or "dual use" goods, technology, and software contained on the Commerce Control List (CCL) which is part of the Export Administration Regulations (EAR).  An Index to the CCL can be a helpful guide to indicate what types of goods and technology are controlled. Note: the index is provided as a reference and should never be used as a final determination for what is and isn't controlled.

The Office of Export Controls will assist the Duke community in determining the correct export commodity classification. Submit an export classification request.

See Export licenses and EEI filing section for additional information on pre-export compliance requirements.

*Although the term "technical data" denotes an ITAR-controlled item it is used interchangeably here with the term "technology" which denotes an EAR-controlled item. The term "item" can mean a physical good, technology/technical data, or software.

Examples of controlled goods, technology, and software (list is not all-inclusive)
  • Toxicological agents*
  • Nuclear materials and technology
  • Lasers and Sensors
  • Night vision equipment
  • Select agents (and other pathogens)*
  • Arms and ammunition
  • Explosives Detection Equipment
  • Chemical warfare precursors*
  • Semiconductors and microprocessors
  • Telecommunications and encryption software
  • Missile technology
  • Navigation and avionics
  • Marine vessels
  • GPS technology
  • Countermeasure technology for controlled goods
  • Endangered Species
  • Body armor and protective gear
  • Fingerprint and identification retrieval
  • Oscilloscopes
  • Gas centrifuges
  • Mass Spectrometers
  • High strength materials

*Contact OESO for additional assistance with shipping these hazardous materials

Note on Encryption Software:

  • Symmetric encryption software and technology with key lengths of 56-bits or higher may require a license for export.
  • Asymmetric Encryption software and technology with key lengths of 512-bits or more for RSA or D-H, or 112-bit or more for Elliptic Curve, may require a license for export.

Export Licenses

Prior to engaging in any controlled/licensable export activity (whether it involves physical shipments or release of technology), a valid export license from the U.S. government MUST be obtained.  All Duke University export license applications must be processed with the assistance of the Office of Export Controls.

Licenses are issued for specific goods to identified recipients.  The government will not issue a blanket export license.

It generally takes anywhere from one to six months to obtain an export license or be informed that the government has denied the request.  However, since the university normally deals with more complex issues than a simple Purchase Orders and Shipments, export licenses take longer to obtain.

Please be prepared to provide the following information for an export license application:

  • Full description of the commodity or technical data
  • Quantity
  • Value
  • Manufacturer
  • Foreign End User & Address
  • Foreign Consignee (if different) & Address
  • Selected freight forwarder for the shipment
  • Letter describing the purpose and intent of the export
  • Whether the export is a permanent export, temporary export, or the result of a temporary import

Note: Export license applications will only be made at the request of a Duke faculty member or administrator with appropriate authority to assume responsibility for the proposed export transaction.

Filing Electronic Export Information (EEI)

The US Census Bureau and Customs and Border Protection require that for certain exports, Electronic Export Information (EEI) be filed prior to export.  Filing is required 2 hours prior to departure or earlier (8 hours if ITAR-controlled).

The following types of exports require filing of EEI (also known as a Shipper’s Export Declaration)

  • Shipments wherein any one (1) type of product is valued at $2,500.00 or more
  • Shipments wherein any one (1) or more items require an export license
  • Shipments wherein any one (1) or more items are moving under a license exception

Various exemptions for EEI filing exist (temporary exports, shipments to Canada, etc.)

 

EEI is submitted to the Census Bureau through an online portal called ACE.  Most couriers or freight forwarders can file EEI on your behalf when processing your shipment (Save copies of the EEI filing for records).  To file you will need to provide the following information:

  • USPPI Address and Contact Information [“Duke University” + your campus address/contact info]
  • Duke’s Tax Id #  (EIN)  [560532129]
  • Name/Address of Foreign Consignee (recipient)
  • Country of Ultimate Destination (if different from recipient)
  • Origin of Goods (Domestic/Foreign)
  • Description, Schedule B# and Unit of Measure for Each Item Requiring EEI
  • Value of Each Item requiring EEI
  • Shipping Weight of each item requiring EEI
  • Total Quantity of Each Item Requiring EEI
    • Total qty will be in # of pieces, kilograms, or some other unit of measure as determined by the Schedule B #
  • Routed Transaction?  Yes/No  [“No” if Duke is choosing the courier/freight forwarder]
  • Hazardous Materials? Yes/No
  • Parties to Transaction Related? Yes/No [Generally this will be “no”]
  • Export License #, License Exemption Code, or Designation “NLR” (contact export@duke.edu)
  • The ECCN or Designation “EAR99”
  • Shipment Reference Number – [Generally assigned by courier]

Note:    EEI for hand-carried shipments and/or licensed exports should be filed through the Office of Export Controls (export@duke.edu).