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.
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. Many items—such as materials, substances, equipment, technical data, and software—may require federal authorization depending on the item, its end use, the end user, and the destination.
eShip automatically routes certain shipments to the Export Controls & International Compliance (ECIC) Office for review when a potential license requirement is triggered under export control regulations.
If your shipment is flagged for review, you’ll receive a “Failed” message. This indicates that the ECIC Office will assess the shipment and determine whether a license is required before it can proceed.
What happens after I receive a "Failed" message?
Your shipment will be automatically routed to the ECIC Office for a licensing determination. You will receive an email from our team shortly after. Once the review is complete, it will be documented in eShip, and your shipment will be cleared to continue.
What does the "Failed" message in each section mean?
A “Failed” message in one or more eShip panels indicates why your shipment requires export compliance review. eShip checks for:
Export-controlled and embargoed countries. eShip Global triggers a review for certain high-risk countries for compliance based on export control and sanctions regulations that may apply.
Restricted 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.
Potentially Controlled Items:Exports of controlled items are regulated under the Export Administration Regulations (EAR) in the Commerce Control List (CCL). Items in any CCL category may be controlled and require a license for the destination, end use, or end user. In order to determine if a license is required, the ECIC office works with researchers to classify potentially controlled items.
These items include but are not limited to Electronic devices (example: laptop, advanced computing, quantum, integrated circuits, drones, microprocessors, semiconductors, optical items, cameras, scanners, protective equipment, encrypted devices, advanced manufacturing), Equipment (example: solar cells, silicon wafers, optical equipment, lasers), Components, Biological and Chemical materials, Hazardous, Infectious, Pathogenic Materials, Genetic Elements, Genetically Modified Organisms, items with a Defense or Space-related application or end use, media containing technical data or software.
Will I need an export compliance review every time I ship the same item?
Not necessarily. Reviews depend on the destination, end use, and end user. Regulations can change, and items previously exempt may now require a license.
If your shipment is identical to a previous one, please note this in the item description box. This helps expedite our review.
What about shipments of chemical, hazardous, and biological 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 consulting the Hazardous Materials Shipping page on the Research Safety website for chemical shipments. These shipments require the submission of an intent to ship form and 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. Consult the Hazardous Materials Shipping page on the Research Safety website for details and instructions on how to create an eShip label for these materials.
All international shipments of biological materials are reviewed by the ECIC Office the first time they are shipped through eShip. After the initial review, ECIC may classify them in the system to avoid future reviews. However, other export compliance triggers may still apply. If your shipment is identical to a previous one, include a note in the item description box to help speed up the process.
Make sure you have a licensing determination in writing from the Export Controls team before shipping chemical or biological samples internationally.
Do I need to contact the ECIC Office separately when starting an international shipment in eShip?
No. If your shipment meets the criteria for export compliance review, it will be automatically routed to our office. There’s no need to email us separately.
How long does an export compliance review take?
Review times vary based on the shipment details, applicable regulations, and how quickly we receive the necessary information. For shipments involving equipment, biological samples, or chemical samples, we recommend initiating the process at least 3–4 weeks before your target ship date.
What is an ECCN?
An Export Control Classification Number (ECCN) is a five-character alphanumeric code (e.g., 3A001) used to classify items—such as technology, software, and commodities—under the Export Administration Regulations (EAR). It indicates licensing requirements for those items.
Items listed on the Commerce Control List (CCL) are considered controlled. If an item is subject to the EAR but not specifically listed on the CCL, it is typically designated as EAR99, meaning it is low-controlled. However, EAR99 items may still require a license depending on the item's end use and end user.
For more details, refer to the BIS Website.
How do I find ECCN information for my item?
There are three ways to determine your ECCN:
- Contact the manufacturer or vendor. We recommend contacting your vendor ahead of time to request ECCN information for your item.
- Self-Classify – Our team can assist you.
- Request an official classification from BIS – We can help you submit a formal request if needed.
See BIS Guidance on how to determine an ECCN and BIS Interactive Commerce Control List (CCL) for more information.
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?
Under Foreign Trade Regulations (FTR), international shipments may require Electronic Export Information (EEI) filing in the Automated Export System (AES). Filing is required when:
- The value of the commodity classified under each individual Schedule B number is over $2,500
- A mandatory filing requirement applies.
For more details see guidance from the US Census Bureau and the Commerce Department .
Who can assist with AES filing?
If EEI filing is required, contact your carrier using the instructions in the AES Filing panel in eShip. Once filed, your carrier will provide an ITN#.
If your shipment is exempt, the ECIC Office will provide an FTSR Exemption Code. Only our office is authorized to make exemption determinations.
When is AES Filing required for shipments to 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 exemption applies. The ECIC Office will review these shipments and provide guidance.
Who can help with customs and shipping forms?
The ECIC office does not manage customs or shipping documentation for international shipments. For general inquiries, refer to Procurement and Payment Services Shipping Guide and Customs Information, as well as information on Northwestern's Preferred Customs Vendor.
Who can help with eShip Global?
For questions about eShip Global, contact their support team. Additional details and campus implementation information are 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 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.