Export Controls & Sanctions Compliance

International Shipping

All international shipments are exports. This includes items imported for temporary use in the U.S. that are returning to their country of origin. Many items and technologies are export-controlled, and a license may be required depending on factors such as the content and destination of a shipment.

 

What To Do If You’re Planning to Ship Internationally

  1. For a summary overview, review UK’s International Shipping Poster (pdf).

  2. Review the below resources for more information on when a license is required as far in advance as possible. The following links provide additional information as to whether a license is required for compliance with the EAR and OFAC requirements. Contact UK’s Office of Legal Counsel if you need additional guidance or have any questions.

  3. Determine whether Electronic Export Information (EEI) must be filed.

  4. Assess whether a Material Transfer Agreement (MTA) may be necessary.

  5. If you are shipping biological or hazardous materials, evaluate whether special shipping documents (including permits) are required.

  6. Apply for a license, if necessary.  For information on how to apply, visit the websites maintained by the U.S. Department of Commerce (regarding an EAR license) and OFAC (regarding an OFAC license), and the U.S. Department of State (regarding an ITAR license). Additional information regarding ITAR licenses is available here.

    In order to obtain an ITAR license, exporters and distributors of defense articles and related technical data must be registered with the Directorate of Defense Trade Controls (DDTC) to be compliant with the ITAR. Information is available on the website of the Directorate of Defense Trade Controls, part of the U.S. Department of State.

  7. For information about physical shipments, please contact the courier you plan to use. 

Is A License Required?

The following sections provide guidance on whether you are likely to need a license. 

 
What Are You Shipping?

Most items do not require a license. However, you may need a license if the item you are shipping appears on the EAR Commerce Control List (CCL) or the U.S. Department of State’s Munitions List (USML).

When determining whether an export license is needed, it is critical to properly classify the shipped item or technology by the correct Export Control Classification Number (ECCN) or ITAR USML category. 

Country-specific requirements under the EAR can be determined by comparing an item’s ECCN with the Commerce Country Chart. Note that, under most circumstances, items with the EAR99 export classification do not need a license. 

Where Is the Shipment Going?

A shipment’s final destination also plays a role in whether a license is required.  If you are shipping to a sanctioned or embargoed country, you may need a license, even if the shipped items are not on the CCL or USML lists. The following countries are comprehensively sanctioned or embargoed, such that almost all shipments are prohibited without a license/license exception:

  • Cuba
  • Iran
  • North Korea
  • Russia
  • Syria
  • Ukraine (certain regions)

Less comprehensive sanctions or embargoes exist for certain other countries. Current lists of sanctioned or embargoed countries are available at:
Who Is the End-User?

You must also consider a shipment’s end-user (i.e., the final recipient).  Be aware that the end-user is not always the party to whom a shipment is addressed due to intermediaries and international shipping and logistics practices. The federal government publishes several lists of individuals and entities that are prohibited from receiving certain types of goods. It is prohibited to do business with these people and entities without a license. 

You can verify whether an individual or entity is on one of the government’s restricted party lists by searching the screening lists available on trade.gov
What Is the End-User Doing with the Shipped Items?

The EAR prohibit certain end-uses. Any shipment whose end use has a military application, or a purpose that could be detrimental to national security, requires additional review and will likely be prohibited. (See EAR Part 744).
What Are Some Red Flags?

The U.S. Department of Commerce keeps a list of “Red Flag Indicators” in export transactions. 

Filing Electronic Export Information (EEI)

What Is EEI?

EEI is shipment data that must be filed with the federal government under certain circumstances.

When Is An EEI Filing Required?

EEI is required to be filed when the value of the shipment to a foreign location is over $2,500, or if a federal export license is required to export an item.

EEI filing is required 2 hours prior to departure or earlier (for example, 8 hours prior for ITAR-controlled exports). Most couriers or freight forwarders can file EEI on your behalf when processing your shipment. Be sure to save copies of the EEI filing for your records. 
How Do I File EEI?

If required, and if a courier or freight forwarder is not filing EEI on your behalf, you must file EEI using the U.S. Census Bureau’s Automated Export System (AES). Additional information is available at: https://www.census.gov/foreign-trade/aes/index.html. 

EEI can be submitted to AES through the Automated Commercial Environment (ACE) AESDrect Portal. 

Are There Exceptions to the Requirement to File EEI?

Yes, there are exceptions to the filing requirement. For example, EEI does not need to be filed for most temporary exports and shipments to Canada or U.S. possessions/territories (i.e. Guam, Northern Mariana Islands, Midway Island, Wake Island and American Samoa).

A full list of exceptions is available at 15 C.F.R. §§ 30.36-30.40. 

Material Transfer Agreements

Material transfer agreements (MTAs) are contracts governing the transfer of non-commercial, tangible biological and research materials. Examples of some materials commonly transferred under an MTA are biological tissues, molecules, plasmids, gene constructs, and transgenic mice. Additional guidance on MTAs has been published by UK Innovate's Technology Commercialization team.

Shipping Biological or Hazardous Materials

Additional shipping requirements apply if you are shipping biological or hazardous materials, including dry ice. Two UK departments have published guidance on the shipments of biological or hazardous materials. Please refer to these websites for additional information:

Quick links