International Shipping

International shipments are subject to numerous export and import regulations. You cannot ship anything to a restricted party without prior federal authorization. The U.S. government maintains lists of restricted individuals and organizations, which are frequently updated. Shipping to a restricted party without federal approval is a violation of federal law and University policy. In addition, many items (i.e., materials, substances, equipment, technical data, software) require federal government authorization (e.g., export control license) before shipping.

What can you do to avoid an export violation?
Contact the Export Controls & International Compliance (Export Controls) team to conduct Restricted Party Screenings for international shipments. This is critical for shipments to high-risk countries (i.e., heavily OFAC sanctioned countries or other countries subject to special controls such as Belarus, Cuba, Iran, Iraq, North Korea, Russia, Syria and certain regions of Ukraine) and military end use countries (Burma, Cambodia, China, Nicaragua, Venezuela).

What items need an export control license?
It depends on the item, the intended recipient, and country. The Export Controls team can assist you in making a licensing determination and apply for the license. Email the Export Controls team in advance of your shipment. Doing so may save your shipment from being returned or destroyed.

What if I am shipping biologics or chemicals?
Start by contacting Research Safety once you have determined what needs to be shipped. Hazardous material (e.g., biologicals, chemicals, and radiological materials) shipping is regulated by the Department of Transportation. There are a range or government agency requirements. Research Safety coordinates with the Export Controls team to see if an export control license is needed. Make sure you have a licensing determination in writing from the Export Controls team before shipping internationally.

What is a Material Transfer Agreement?
An MTA is a written contract that governs the transfer of research material between organizations. You may also need a Material Transfer Agreement to share, receive and protect materials. All MTAs should be submitted to Sponsored Research for review and signature.

Learn more about MTAs or email the MTA team.

What happens if I ship an item to a Restricted Party or country without the proper license?
University personnel who engage in international shipping are responsible for complying with U.S. export control laws and regulations. Not following regulations may result in lost items or criminal or civil penalties. However, if we voluntarily report the potential violation, the government may consider the disclosure as a mitigating factor when making penalty decisions. For that reason, you should always contact the Export Controls team for assistance if you think there may be an export control violation.

If I have already shipped to an individual, university, or vendor before, do I need to request another Restricted Party Screening?
Yes, the restricted party lists change quickly and frequently, so it is critical to request a screening for each new shipment.

Who can assist me?

Export Controls & International Compliance team conducts Restricted Party Screenings and helps determine if you need an export control license.
Procurement and Payment Services offers general shipping guidance and links to Northwestern’s preferred Customs Broker for more complex shipments.
Research Safety provides assistance and training to help members of the University community comply with shipping regulations for biological, chemical or radiological materials.