International Shipments and Hand-carrying Equipment or Materials Abroad

Cuba, Iran, North Korea, Russian, and Crimea Region of Ukraine face strict export license requirements due to comprehensive sanctions and embargoes. If you plan to send to or receive items from one of these countries, contact the Export Control Office regarding license requirements. Anticipate a licensing timeframe of up to a year.

The U.S. government maintains various lists of individuals and entities. UCSD may face collaboration or shipping prohibitions or require and export license. UCSD uses VisualCompliance.com to conduct basic due diligence with Restricted Party Screening (RPS). All UCSD employees may sign up for an account at VisualCompliance.com.

Note: Contact the Export Control for assistance evaluating potential matches.

U.S. export regulations could require an export license or license exception based on:

• The item (including technical data, technology, software, biologics, and vaccines)
• Shipping destination
• Value
• End user

Automated Export System (AES) filing for shipments valued over $2500 or those that require an export license are required under the Foreign Trade Regulations.

Export Control can review and advise on next steps and available license exceptions.

• ECCN (Export Control Classification Number - alphanumeric code) 
  • or
• ITAR Category (Roman numeral, place a number or letter)

These are determined based on technical listings in the Commerce Control List (CCL) and the U.S. Munitions List (USML). Based on the export classification, an export license or license exception may be required based on receiving entity, end user, or country destination.

10-digit statistical classification number used in the United States for exporting goods

Improper classification can lead to duties (taxes) or fines. Browse or search the complete list of Schedule B codes  in the Schedule B Search Engine.

To provide the most accurate classification an adequate description or part number is required. The Schedule B codes and export classification can also be requested from the manufacturer.

Minimum declared value

The World Trade Organization and Customs in each country require accurate valuation of the goods. No country accepts a zero-dollar value. The minimum value that can be declared is $1.

If the item is not being sold the invoice should indicate:

• "Value is for Customs purposes only; Item not for sale"
  • or
• "For research purposes only"

Determining value

• Purchased goods: The value declared should = the PO price or quote
• In-house developed item, i.e. test equipment: The value declared should = the cost of goods + labor
• Prototypes provided free of charge: The value declared should = the price of the item if it were to be sold (supplier should provide this price)

Importance of valuation declaration

The Value determines if there are special government filings required in the U.S. prior to the export of the goods (AES/EEI). Declared invoice value is the basis for any applicable duty or taxes/fees that are due in the ship-to country.

Keep in mind, U.S. Customs generally knows what the typical value is for goods; a low value can be a red flag. If there are any import or export penalties, the penalties are assessed against the value of the goods.

Registering your items at a local U.S. Customs and Border Protection (CBP) office prior to travel prevent applications of duties to items that were obtained in the U.S. prior to departure and returned with the owner. Duties may be levied for repairs or alterations made outside of the country, regardless of CBP registration. Such repairs or alterations must be declared upon reentry to the U.S., regardless of cost or no cost.

For more information visit: CBP Form 4457 for personal articles or CBP Form 4455 for UCSD owned articles.

A pro forma invoice is required for all exports. You may also see this referred to as a commercial invoice (CI).

An online expediter system (such as FedEx or UPS) may automatically generate a pro forma invoice.

Information required (all items in the shipment must be declared on the pro forma invoice):

• The date that the invoice is created
• A unique invoice number
• The complete name and address (including country) of the ship from and ship to party/ company. These are also known as the Exporter of Record / Shipper and the Importer of Record / Consignee
• A complete and concise description of the goods shipping
  • Example: do not indicate “Cells;” you need to indicate what kind of cells
    • Incorrect: "Cells"
    • Correct: "Human liver cells"
• The country of origin (manufacture) of the item
• Quantity: Accurate number of each shipped item
• Weight listed in kilograms
• Value of product
• The total invoice amount

The pro forma invoice also needs to include the diversion statement "These items are controlled by the U.S. Government and authorized for export only to the country of ultimate destination for use by the ultimate consignee or end-user(s) herein identified. They may not be resold, transferred, or otherwise disposed of, to any other country or to any person other than the authorized ultimate consignee or end-user(s), either in their original form or after being incorporated into other items, without first obtaining approval from the U.S. government or as otherwise authorized by U.S. law and regulations."

If your items are being exported under an ITAR export license, consult with the Export Control Office prior to shipment or transport.

When no Electronic Export Information (EEI) is required, note the following statement on the invoice: “No EEI required - no individual Schedule B number valued over $2,500."

Automated Export System (AES) Electronic Export Information (EEI) must be filed for exports valued over $2500 (per Schedule B code) or if an export license is required. This requirement applies to items that are shipped and items that are hand carried.

If an EEI is required, the AES ITN (proof of filing transaction number) must be listed on the airway bill. The export declaration EEI can be filed through a UC authorized freight forwarder or Export Control.

To qualify for the “tool of trade” exception, the export must:

• Be for less than one year.
• Be a piece of equipment that people in the traveler’s discipline would generally recognize as a “tool of trade.”
• Be under the traveler’s effective control. This means that the item must be kept in the traveler’s physical possession at all times, or secured in a hotel safe, a bonded warehouse, or a locked conference facility.
• Not be to a sanctioned country (Cuba, Iran, North Korea, Russia and certain regions of Ukraine).

Travelers should not take ANY of the following without first obtaining specific advice: 

• Data or information received under an obligation of confidentiality.
• Devices, systems, or software specifically designed or modified for military (ITAR) or space applications (even if these items are used in an academic research setting)
• Devices, equipment, or computer software received
  • with restrictions on export to foreign nationals
  • or
  • with restrictions on access by non-U.S. persons (U.S. citizens, permanent residents, or asylees).

Contact the Export Control Office for assistance determining applicability of this exception.

US goods returning

Affidavit of Manufacture – when shipping US made goods abroad temporarily, prepare an Affidavit of Manufacture (PDF) for the customs broker to submit to customs at the time of re-entry into the U.S. This document certifies the items as U.S. origin. Preparing this document at the time of export reduces risk of delay at customs re-entry or rejection due to missing documentation.

Addressing duties on temporary exports

• Certificate of Registration – for higher valued shipments returning to the U.S., registering the goods with customs prior to exporting may help avoid duties or delays with re-entry into the U.S. Complete CBP Form 4455, then take the goods to customs for inspection and signature.
• Carnet – The Carnet is a standardized mechanism accepted in most countries to facilitate duty-free import and export for temporary shipments. All items covered on a Carnet must return unaltered within one year from the date of export. The Carnet includes a bond for the anticipated duties value, which can be claimed by customs if the items are not returned within this timeframe. American Cargo Service (ACS) can apply for Carnets in support of UCSD business and research.
• Temporary In-bond (TIB) – used for duty-free entry in lieu of a Carnet; the rules and fees for TIBs vary from location to location.
• Always inquire with the local agent about the best way to import your temporary shipments duty-free.

Import documentation

• Formal Clearance with one of UCSD’s Freight Forwarders is required for shipments valued $2,000 or more, or when using an export license. Other special conditions may require use of a customs broker for your import. In order to avoid delays, it’s best to plan ahead and consult a Freight Forwarder before the item you’re importing is shipped.

Canada and Mexico

For shipments between the U.S. and Canada or Mexico, be sure to review the United States-Mexico-Canada Agreement (USMCA)carefully when determining whether USMCA applies to your goods.

You are required to maintain all shipping records for a period of 5 years from the date of the export. This includes pro forma invoices, airway bills, export filings, and associated communications.

Request a copy of relevant documents from your shipper or print them when using an online application. Your shipper (such as DHL, FedEx, or UPS) will not keep copies of shipping records for you.

Exporters are advised to contact their collaborator to inquire regarding the import requirements for the destination country. Imports may be stopped by Customs officials in the importing country if the proper import licenses are not included in the paperwork. Import requirements vary greatly by country.

The University of California has an agreement American Cargo Service (ACS) to clear import and export shipments through U.S. Customs and provide freight-forwarding services.

American Cargo Service, Inc. (ACS)
Local: (858) 565-4125
Toll free: (800) 508-4888 
Email: UC@acssan.com

In addition to the regulations and procedures listed above, your import or export may be subject to the following where applicable:

Related UCSD Procedures

• Material Transfer Agreements
•  Shipping Hazardous Materials
•  Transit insurance on all University business shipments

Other Federal Agencies - For guidance contact EH&S

•  Center for Disease Control (CDC)
• Conservation in International Trade in Endangered Species (CITES)
• Environmental Protection Agency (EPA) for TCSA regulated chemicals
• Fish & Wildlife Services (FWS)
•  United States Department of Agriculture (USDA)

Controlled Substances - For guidace contact EH&S

• Drug Enforcement Agency (DEA)
• UCSD Controlled Substances

Nuclear Related Exports

• NNSA part 810 Exports
• Nuclear Regulatory Commission (NRC)
• UCSD Radiation Safety