NASA PROCEDURES FOR EXPORTS TO RUSSIA
HARDWARE AND TECHNICAL DATA (INCLUDING SOFTWARE)

Section A contains procedures that must be followed for ALL EXPORTS before any of the procedures explained in any of the subsequent sections are initiated.

Section B contains procedures specific for HARDWARE AND/OR EQUIPMENT.

Section C contains procedures specific for TECHNICAL DATA (INCLUDING SOFTWARE).

Section D contains procedures specific for HAND-CARRIED EXPORTS.

SECTION A: THE BELOW FOUR STEPS MUST BE FOLLOWED FOR ALL EXPORTS, WHETHER THEY ARE HARDWARE OR TECHNICAL DATA (INCLUDING SOFTWARE), AND WHETHER THEY ARE SHIPPED OR HAND-CARRIED:

Step 1: Ensure items to be exported are covered by an international agreement or contract

• All exports to Russia must be covered by an international agreement or contract.

• Please contact your Code I point-of-contact (or call 202/358-0400) if you are not certain whether an agreement or contract is in place.

Step 2: Determine regulatory authority of export

• Regulatory authorities include: International Traffic in Arms Regulations (ITAR), administered by the Department of State; and Export Administration Regulations (EAR), administered by the Department of Commerce.

• Explanation of the process for making this determination can be found in the NASA Export Control Program.

• For assistance with the policies, laws and regulations associated with "classifying" exports, contact your Center Export Administrator (Attachment 1). The NASA Export Administrator in the Headquarters Office of External Relations (Code I) can be reached at 202/358-0900.

Step 3: Obtain proper clearance for export

• Clearances include: ITAR or EAR individual validated license; ITAR exemption; EAR general license; and/or EAR Special Comprehensive License.

• Explanation of the process for obtaining clearance can be found in the NASA Export Control Program.

• For assistance with the policies, laws and regulations associated with determining the need for a license and/or applying for a license, contact your Center Export Administrator (Attachment 1). The NASA Export Administrator in the Headquarters Office of External Relations (Code I) can be reached at 202/358-0900.

Step 4: Mark export

• All exports to Russia which are determined to be export-controlled under the ITAR or EAR must be appropriately marked as provided for in the relevant international agreement or contract and must also comply with any marking requirements of the applicable export license.

• As a minimum, the following marking should be used for all exports to Russia which are determined to be export-controlled under the ITAR or EAR:

"These items licensed by the United States for ultimate destination Russia. Unless specifically authorized by the appropriate United States licensing authority, use for purposes other than intended by NASA, and diversion or re-transfer to other destinations, is contrary to U.S. law."

SECTION B: THE FOLLOWING PROCEDURES MUST BE FOLLOWED WHEN EXPORTING HARDWARE AND/OR EQUIPMENT TO RUSSIA:

TO BE FOLLOWED ONLY AFTER COMPLETING ALL REQUIREMENTS IN SECTION A

It is the responsibility of the Program/Project personnel initiating exports via NASA Center Transportation Offices to:

• Prepare and submit a completed Defense Department (DD) Form 1149 or equivalent Center shipping documentation (in both English and Russian) to the Center Transportation Office.

• Prepare and submit a Cargo Specification List (in both English and Russian languages) to the Center Transportation Office. The Cargo Specification List is not a form. It is simply a list of the following items: a listing of commodities; commodity description, including its use, part numbers, serial numbers, Federal Stock numbers, value, and weights/dimensions of each item; total sum value of shipment; applicable schedule B numbers*; applicable export license number; general license designator or license exemption; and all applicable Export Control Classification Numbers (ECCN).

* Schedule B numbers are found in the Statistical Classification of Domestic and Foreign Commodities Exported from the U.S. (15 CFR, part 30.7(l)) or in the Harmonized Tariff Schedule (HTS) of the United States (USITC Publication 2937).

• Provide copies of this documentation to personnel at the receiving Russian organization at least two weeks prior to the date of the shipment (not the time of required delivery at the destination) to allow sufficient time for processing of customs documentation. If complete information is not available two weeks prior to shipment, fax whatever is available at that time and then follow-up with balance of the information.

It is the responsibility of NASA Center Transportation Offices to:

• Notify the NASA Moscow Liaison Office by providing faxed copies of all shipping documents when a shipment is tendered to the carrier. This notification will enable the Liaison Office to respond to any problems that may arise. Documentation must include the following:

- Shipper's Export Declaration (SED), if applicable

- Air Waybill, if applicable

- Cargo Specification List (see above description)

- Government Bill-of-Lading, if applicable

- DD Form 1149 or equivalent shipping form

- Commercial invoice (in English and Russian)

- Packing list (if necessary)

- Hazardous materials form, if applicable

• Consign (send in the care of) equipment and hardware shipments to Russia through the U.S. Embassy Moscow as shown below. The shipment's "final destination" as shown on the shipping paperwork should be the final recipient.

	U.S. Embassy Moscow
	Attn: GSO/Shipping (NASA)
	Bolshoi Devyatinsky Per., 8
	121099 Moscow  Russia
	Fax:  PSCN Number: (205) 961-6335; or (011) 7-095-956-4265

Once the hardware has arrived in Russia, it generally takes 4-8 days to clear customs and reach final destination.

SECTION C: THE FOLLOWING PROCEDURES MUST BE FOLLOWED WHEN EXPORTING TECHNICAL DATA (INCLUDING SOFTWARE) TO RUSSIA:

TO BE FOLLOWED ONLY AFTER COMPLETING ALL REQUIREMENTS IN SECTION A

• Notify the NASA Moscow Liaison Office by providing copies (via fax, email, or overnight delivery service) of all shipping documents when a shipment is tendered to the carrier. This documentation will enable the Liaison Office to respond to any problems that may arise. If documents are sent via fax or overnight delivery service, provide email notification to the NASA Moscow Liaison Office point-of-contact (Attachment 2). Documentation must include the following:

- Shipper's Export Declaration

- Air Waybill

- Cargo Specification List (see above description)

- Government Bill-of-Lading

- DD Form 1149 or equivalent shipping form

- Commercial invoice (in English and Russian)

- Packing list (if necessary)

Additional requirement specific to NASA-developed software:

• Follow NASA procedures concerning the distribution of NASA-developed computer programs. These procedures are described in NMI 2210.2B; however, NMI 2210.2B is being replaced by a NASA Policy Directive (NPD). This new NPD concerning software release is expected to be issued by the summer of 1996.

- In the meantime, before any NASA-developed software is released, it must be reviewed by the appropriate Field Center Patent Counsel.

Once the above have been completed, the technical data and/or software may be sent by the following manner:

• If the addressee is located within Moscow, it is the responsibility of the Field Center Transportation Office to select a delivery service that can guarantee delivery to final destination (i.e., door-to-door delivery, not door-to-airport):

-- Please contact the NASA Moscow Liaison Office's Shipping Officer for an updated list of delivery services that have proven reliable in the shipment of freight to and from Russia.

• If there are no available delivery services which can guarantee delivery to final destination (i.e., outside of Moscow), it is the responsibility of the Field Center Transportation Office to:

-- Send the package addressed to the NASA Moscow Liaison Office, as shown below, which will arrange for pick-up by the Russian organization. The package must specify the final destination, as well as the name and phone number of the responsible individual at the receiving organization.

 NASA Moscow Liaison Office
 U.S. Embassy Moscow
 Bolshoi Devyatinsky Per., 8
 121099 Moscow   Russia

SECTION D: THE FOLLOWING PROCEDURES MUST BE FOLLOWED WHEN EXPORTING VIA HAND-CARRY TO RUSSIA:

TO BE FOLLOWED ONLY AFTER COMPLETING ALL REQUIREMENTS IN SECTION A

Note: Hand-carrying exports to Russia is to be done on an emergency basis only due to consistent problems with Russian Customs including delay and/or "arrest" of items entering Russia. Prior to initiating the specific procedures for hand-carrying listed below, all requirements set forth in Section A must first be completed. Finally, it is important to note that the Russian Customs Service requires the traveler who is hand-carrying items to fill out separate documents in addition to those documents required when shipping items.

If, under extreme circumstances, an item must be hand-carried, it is the responsibility of the traveler to:

• Notify the NASA Moscow Liaison Office, via fax or email, of plans to hand-carry at least a week-and-a-half in advance of travel. The notification must include the following information: Traveler's name, passport number, flight information (arrival time, flight number, etc.), and Cargo Specification List. If complete information is not available, fax or email whatever is available at that time and then follow-up with balance of information as soon as possible.

• For hardware and software only, prior to travel, prepare and submit to the Center Transportation Office:

- Completed DD Form 1149 or equivalent Center shipping document (in English and Russian)

-- the name and phone number of the appropriate point-of-contact in the receiving Russian organization should be included within the remarks block of the DD Form 1149

- Cargo Specification List (See Section B for details)

• Provide copies of the above documentation to personnel at the receiving Russian organization at least a week-and-a-half prior to the date of the shipment (not the time of required delivery at the destination) to allow sufficient time for processing of customs documentation. If complete information is not available, fax whatever is available at that time and then follow-up with balance of information as soon as possible.

• To allow sufficient time to register items through U.S. Customs, the traveler should determine, in advance, which U.S. Customs Service Office will be used; that is, traveler should verify, in advance, that at least one U.S. airport that will be traveled through has a Customs Service Office and that there will be sufficient time to register the item. Traveler can register hand-carried items either the same day as departure or the day prior to departure. If the traveler decides to register the items the same day of departure, the traveler should arrive at the U.S. Customs Service Office at least three hours in advance of flight.

• The traveler must provide or present the following items to the U.S. Customs Service Office:

- The hand-carried item(s)

- Copy of the Cargo Specification List

- Completed original Shipper's Export Declaration, if applicable. This document should be filled out by the Center Transportation Office (see "Responsibility of the NASA Center Transportation Office" in Section D).

{Procedures for HAND-CARRY continued on next page}

SECTION D (CONTINUED): PROCEDURES FOR EXPORTING VIA

HAND-CARRY TO RUSSIA

Traveler responsibility (cont.):

• The traveler must complete a U.S. Customs Service "certificate of registration" form and register the form and a copy of the listing of items with the U.S. Customs Service Office.

Note: A certificate of registration is not necessary if the item to be hand-carried is a permanent export. If there is uncertainty over whether the item will be a permanent or temporary export, then a certificate of registration should be filed.

• Retain a copy of each document ("certificate of registration," the Shipper's Export Document, the DD Form 1149 or equivalent Center shipping document, and the Cargo Specification List) and the original copy of the Validated License (if applicable) with the items being hand-carried to facilitate clearance through customs in both the U.S. and in Russia.

• In the event the item being hand-carried is a temporary export and will be returned to the U.S. using the same method, only the individual who signed the certificate of registration may return with the item, since "temporary exports" must continuously be under the effective control of the person carrying the item, or his/her agent. If the item will be shipped back, copies of all original paperwork, including the "certificate of registration" are required.

• Prior to returning to the U.S., provide a faxed copy of the "certificate of registration" to the Center Transportation Office.

It is the responsibility of the NASA Center Transportation Office to:

• Fax to the NASA Moscow Liaison Office prior to the "hand-carrying" traveler's departure:

- DD Form 1149, or equivalent shipping documents (In English and Russian)

- Cargo Specification List (In English and Russian) - See Section B for details

- Shipper's Export Declaration

It is the responsibility of the individual clearing the documentation through Russian Customs (i.e., receiving Russian institution or Liaison Office representative) to:

• Send representatives to meet the traveler at the airport to assist with clearing the item(s) through Russian customs.

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