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.

EShip Global Frequently Asked Questions

Northwestern University is implementing a program to facilitate all outbound domestic and international shipments. EShip Global, an outbound web-based shipping service portal, is intended to replace the use of traditional FedEx.com, UPS.com, DHL, and USPS websites to arrange for the shipping of a package.

Please note the Export Controls & International Compliance office does not handle general shipping export/import logistics or carrier information. Users can reach the eShipGlobal support contacts with any questions regarding their shipments. Additional contact information and details about implementation of eShip Global on campus is available on the Shipping Express Services - eShip Global Webpage.

Why am I receiving a 'Failed’ message for my shipment?

International shipments are subject to export control regulations and many items (materials, substances, equipment, technical data, software) require federal government authorization depending on the item, end use, end user, and the destination.

eShip will automatically route certain shipments for export compliance review by our office when the shipment triggers a potential license requirement under export control regulations depending on the item, the end use, end user, and the destination.

If your shipment triggers an export compliance review you will receive a ‘Failed’ message. This means the ECIC Office will review and make a licensing determination before shipping.

What are the next steps after receiving a 'Failed’ message for my shipment?

The system will automatically route your shipment to the ECIC office for a licensing determination, and you can expect to hear from us via email soon after. Once we complete our review, we will document it and clear the shipment on eShip. You will then be able to continue with your shipment on the platform.

What does the ‘Failed’ message in each section mean?

The ‘Failed’ message for one or more of eShip panels indicates the reasons why your shipment requires an export compliance review. eShip will check for export-controlled and embargoed countries, restricted party screenings (individual recipients and companies), and potentially controlled items. This requires a licensing determination from the ECIC Office before the shipment can move forward.

Will I have to go through an export compliance review every time I ship the same item?

This depends on the destination, the end use, and the end user. Export control regulations change over time and items that did not require a license before may require it now. Therefore, the ECIC office must review these shipments. If your shipment is identical to a previous shipment, leave a note indicating so in the item description box. This will help expedite our review.

What about shipments of biological materials?

All international shipments of biological materials will be reviewed by the ECIC office the first time they are shipped through eShip. The ECIC office will then determine if they can be automatically classified in the system to avoid subsequent export compliance reviews. However, your shipment may still need to be reviewed based on other export compliance triggers. If your shipment is identical to a previous shipment, leave a note indicating so in the item description box. This will help expedite our review.

If I start an international shipment on eShip, do I also need to contact the ECIC Office via email?

You do not need to contact the ECIC office separately. If your shipment meets the criteria for an export compliance review, it will get routed to our office automatically.

How long does a shipping review take?

The time to complete an export control review will vary depending on the shipment, applicable export regulations requirements, and how quickly our team receives the information required to classify the item and make a licensing determination. If you are shipping equipment, biological material samples, or chemical samples we recommend initiating the shipment process at least 3-4 weeks in advance of your target date for shipment to allow sufficient time for review.

What is an ECCN?

The ‘Export Control Classification Number’ or ECCN, is a five-character alphanumeric code, e.g. 3A001, based on categories and product groups that is used to describe items (technology, software, commodities) subject to Export Administration Regulations (EAR), and indicate licensing requirements for those items.

Controlled items are listed in the Commerce Control List (CCL). If an item is subject to the EAR but not specifically described on the CCL, it is likely designated “EAR99” (low controlled). Find more details in this BIS training video.

How do I find ECCN information for my item?

There are three ways to determine your export control classification number or ECCN: 1) Contact the manufacturer or vendor; 2) Self-Classify – Our team can work with you to classify your item. The Bureau of Industry and Security (BIS) offers tools to assist with self-classification of an item on their website, including an Interactive Commerce Control List (CCL); 3) Request an official classification from BIS – Our team can work with you to submit a request if needed. See also this BIS Guidance on how to determine an ECCN.

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 is AES Filing?

International shipments are subject to Foreign Trade Regulations (FTR). These regulations require filing of Electronic Export Information (EEI) in the Automated Export System (AES), when the value of the commodity classified under each individual Schedule B number is over $2,500, or if there exists a mandatory filing requirement. For more details see guidance by the US Census Bureau and by the Commerce Department .

Who can assist with AES filing?

If EEI filing is required for your international shipment, please reach out to your carrier by following the instructions in the AES Filing panel for your shipment. Once your filing is completed, your carrier will provide the ITN# for your shipment. If your shipment is exempt from this filing, our office will provide an FTSR Exemption Code. Note that only the Export Controls & International Compliance office is authorized to make an exempt determination and provide an exemption code.

When is AES Filing required for China, Russia, or Venezuela?

Shipments of items on the Commerce Control List to China, Russia, or Venezuela, require EEI filing regardless of value, unless an export exemption applies. Our office will review your shipment to these countries and provide guidance.

Who can provide assistance with shipments of biological, chemical and hazardous materials?

For questions on shipping chemical and biological samples please contact Research Safety. See also the following guide: Creating a Shipment of Biological Materials in eShip Global - Coming soon.

Who can provide assistance with customs and shipping forms?

The ECIC office does not manage the customs and shipping portions of international shipments. For general inquiries, Procurement and Payment Services offers a Shipping Guide and Customs Information, as well as information on Northwestern's Preferred Customs Vendor.

Who can provide assistance with eShip Global?

Users can reach the eShipGlobal support contacts with any questions regarding their shipments. Additional contact information and details about implementation of eShip Global on campus is available on the Shipping Express Services - eShip Global Webpage.

Shipping Frequently Asked Questions

What can you do to avoid an export violation?

Contact the Export Controls & International Compliance (ECIC) team to conduct Restricted Party Screenings and a licensing determination for international shipments. This is critical for shipments of controlled items and in the scenarios described below, including to high-risk countries.

What triggers an export compliance review?

The ECIC office reviews international shipments when they involve:

High Risk Parties: eShip Global runs Restricted Party Screenings (RPSs) on all international shipment recipients (both individuals and institutions). If there is a match on the RPS for the recipient of your shipment, the shipment will be sent to our office for review. Keep in mind that this match may be a fuzzy match and does not necessarily mean your recipient is on a restricted party list. However, our team still needs to conduct a review before we can clear the shipment.

High Risk Countries: These countries change over time. Note: Other countries may be flagged on eShip Global as part of their automated compliance module based on updates or changes of export control and sanctions regulations that may apply.

Biological, chemical, or hazardous materials and accompanying technical data, regardless of country.

Sensitive Equipment: This includes equipment related to a critical technology area, regardless of country. Example: quantum computing, integrated circuits, artificial intelligence capabilities, additive manufacturing, semiconductor materials, semiconductor manufacturing equipment, chip design software, electronic devices, biotech equipment, etc.

Defense and Space-Related: Any items with military or space applications and any shipments to a military end user or for a military end use must be reviewed by our office. Northwestern is not registered with the State Department DDTC, to handle/store/work with ITAR projects.

What is a licensing determination?

A licensing determination is the process by which our office determines if an export license is required for your shipment and applies for an export license if needed. This process generally involves 1) conducting restricted party screenings to make sure the intended recipient is not on a U.S. restricted list; 2) working with the researcher to classify the item i.e. identifying the ECCN for your item; and 3) checking for end use and end user restrictions.

The ECIC will usually request the following initial information to conduct a review:

Which group/department intends to send this shipment?
What are you sending? Including all details (scientific name, lay person description, CAS number, amount or size, if it's pathogenic or hazardous)
What is the purpose of the shipment (what will the recipient be doing with the items)?
Where was the sample obtained from? If the material was purchased, provide vendor information and a link to the material on the vendor's website.
Is there any known or expected military end use?
What is your target date for the shipment?
Will the item(s) come back to the U.S.? If yes, when?
What is the estimated value of the shipment?
Is this project federally funded? If so, who is the sponsor?

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 a license if needed. Email the Export Controls team in advance of your shipment. Doing so may save your shipment from being returned or destroyed.

The equipment and technologies covered by the regulations are extensive, from software, computers, cameras, centrifuges, autoclaves, accelerators, radiation detectors, etc., to various chemicals, biological agents, and toxins. Each item has detailed specifications (e.g., not all cameras are subject to export controls). The export control regulations classify each item for country-specific restrictions. For example, some items require a license to share with specific countries; others may be shipped only to Canada without a license, while other items are allowable to most but not all countries.

What if I am shipping biological or chemical materials?

Hazardous material shipping is regulated by the Department of Transportation and there are a range of government agency requirements.

For chemical materials shipments, start by contacting the Research Safety office following the process described on their website for chemical shipments. These shipments must be prepared by Research Safety staff. They will package, mark, and label each container and certify that each container is in compliance with applicable regulations. Research Safety also coordinates with the Export Controls team to perform an export compliance review.

For biological materials shipments, only certified hazardous materials shippers may ship biological materials from the University. Research Safety does NOT ship biological materials, but they do advise laboratory workers who have been trained. Contact the Research Safety office to learn more.

Make sure you have a licensing determination in writing from the Export Controls team before shipping chemical or biological samples internationally.

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.

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.