☐UCSD Shipping
Memo (internal form used by BFS Shipping Department)
☐Commercial/Pro
Forma Invoice (includes list of items, similar to a Manifest)
Other documents, as applicable:
☐Export license
(EAR or ITAR)
☐Automated Export
System(AES) Electronic Export Information (EEI) filing
☐ Dangerous
Goods Declaration (DGD)
☐ Import permit
or declaration
☐ Material
Transfer Agreement- for University of California Intellectual Property
☐ Shipper’s
Letter of Instruction
☐ Carnet(s)
☐ Certificate of
Origin
☐Nuclear
Regulatory Commission (NRC) License
☐Fish and
Wildlife (FWS) Export Declaration
☐Conservation in
International Trade in Endangered Species (CITES) License
☐Drug
Enforcement Agency (DEA)
☐Food and Drug
Administration (FDA)
☐Environmental
Protection Agency (EPA)
Shipping Documentation Terms& Notes
A
commercial invoice or a pro-forma invoice is required for all exports. Unless the
item is personally owned, you will need a pro forma invoice. This is used for
export and import clearance, to determine duties and taxes, and for other
regulatory requirements.
If you're using the online system of an
expeditor such as FedEx or UPS, the information you provide to them will
automatically populate the fields of a pro forma invoice at the end of the
process.
If you're not using an expeditor's online
system, you will need to create your own proforma invoice.
Whether you're using the online system of
an expeditor or completing it manually, review the template to understand all
the data elements required prior to attempting to complete the invoice.
Pro
Forma Invoice Data Elements
Date
of Exportation: the date the invoice is created
Export
Reference Number: a unique number created by the shipper that will not be
duplicated to be used for export filing and record keeping requirements.
Shipper/Exporter: the complete name,
address, and phone number of the ship from party/company, including country.
Consignee
or Importer of Record: the complete name, address, and phone number of
the ship to party/company, including country.
Country
of Ultimate Destination: final destination country of goods being shipped
Waybill
Number: number
from a non-negotiable transport document also known as an Airway Bill for
shipments by air or a Bill of Lading for shipments using other modes of
transport like truck, train or sea. The
waybill is used along with various documents like the pro forma invoice,
packing list, etc. for the customs declaration of proof of the freight amount
billed for the goods carried.
The waybill will include Incoterms (terms of trade) which define
who will be paying for shipping, insurance, import duties and fees. The
incoterms should be determined at the time of preparing the proposal to ensure
all fees have been included in the budget or discussed with the collaborator in
advance of preparing the shipping documents. These terms will need to be listed
on either the way bill or the pro forma invoice. When the recipient will pay
the shipping and fees, the incoterms are exworks. When you, the sender, will pay the fees and
handle the paperwork, the incoterms are DDP. Sometimes, your shipper will ask
you to provide the specific terms; other times, the shipper will simply ask who
is paying for what.
Acquiring a Waybill:
If using the online system of your
expeditor, like UPS or FedEx the Waybill will be automatically populated.
If using the paper version for an
expeditor you will complete a paper copy Waybill and include the Waybill number
on your pro forma invoice.
If using a freight forwarder they will
provide the Waybill and a Waybill number for you to fill in on your pro forma
invoice.
Serial
Number: manufacturer’s
serial number
Number
of Packages: If you have multiple packages in 1 box you would only list 1
box since it is one item shipping. If there are multiple individual items in
their own packages list the number. A miscount on the number of packages may
trigger customs inspections.
Type
of Packaging/Dimensions: Indicate the package type for example: cardboard
box, aluminum case or plastic pallet and the dimensions for example 10x10x10.
Description
of Goods: provide
a concise and detailed description of the goods being shipped. For example, if
you are shipping human liver cells, do not just indicate "cells" on
the invoice. Instead, indicate the specific type of cells to be shipped “human
liver cells.”
Country
of Origin (COO): country where goods were manufactured, normally marked on
the item as “made in”.
Harmonized
System Tariff (HS) code: the internationally standardized system of names
and numbers for classifying traded products. It is a 6-10 digit number. The
USHTS is the US version of the Tariff Code. Improper classification can lead to
duties (taxes) or fines. Can be
requested from the manufacturer or your Export Control lead as part of their
export control licensing determination.
Export
Control Classification Number (ECCN): either an ECCN (Export Control
Classification Number alphanumeric code) or ITAR Category (Roman numeral).
These are US specific, determined based on technical listings in export
regulations. Can be requested from the manufacturer or your Export Control lead
as part of their export control licensing determination.
Quantity
(QTY): number
of each good being shipped
Weight:
must
be listed in kilograms (KG)
Unit
Value/Total Value: unit/total value of the product in US dollars.
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 the value is for Customs purposes only, item not for sale, for
research purposes only. The value of the
item being shipped, must match purchase orders, contracts, or grants they are
related to. Please retain records to
prove the value of goods in the event the University is audited by Customs.
The value determines if there are special
government filings required in the US prior to the export of the goods.
Declared invoice value is the basis for any applicable duty or taxes/fees that
are due in the ship-to country. Customs knows what the typical value is for
goods; a low value can be a red flag for mis-declaring value. If there are any
import or export penalties, the penalties are assessed against the value of the
goods.
If the item was purchased then the value
to be declared should be equal to the PO price or quote.
If an item was developed in-house, such
as test equipment, the value should equal the cost of goods + labor or the cost
of the item if it is sold.
If the item is a prototype provided free
of charge, the supplier should provide the price of the item if it were to be
sold.
Diversion
statement
“These commodities, technology, or software were exported from the United
States in accordance with the Export Administration Regulations. Diversion
contrary to U.S. law is prohibited.” If your items are being exported under an
ITAR export license a different diversion statement is required, so consult
with your Export Control lead.
Signature:
The
invoice must have a signature verifying the information is correct. Many
countries will not process the shipment without a signature. Additionally, many
countries require that this signature is original and in blue ink.
Other Shipping Documents:
Automated
Export System (AES) filing: The US
government tracks exports through the Automated Export System (AES). The Electronic
Export Information (EEI) must be filed through AES for exports valued over
$2500 (per HS or Schedule B code) or if an export license is required, whether
the items are shipped or hand carried. A schedule B number is a US specific
number that may be similar to the HS code and is used for AES filings. 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 through an expediter online system.
When no EEI is required, the following
low value exemption statement needs to be noted on the invoice: “30.37 (a) No
EEI required - no individual Schedule B or HS number valued over $2,500”
Shipper's
Letter of Instruction (SLI): used in the process of transporting goods that
have special handling requirements. It can be included as part of an Air
waybill or bill of lading.
Carnets: commonly known
as “Merchandise Passports”, are international customs documents that simplify
customs procedures for the temporary importation of various types of goods that
will return to the US within one year to countries that accept carnets. They
aid in eliminating payment of duties and value-added taxes (minimum 20% in
Europe, 27% in China).
Certificate
of Origin: is
a document used to declare where the items were produced, manufactured or
assembled. It is a legal requirement for certain items to qualify under Free
Trade Agreements (FTA) (e.g. NAFTA, US Israel FTA, etc.) It is completed by the
exporter. A local Chamber of Commerce
can certify certificates of origin when provided with a commercial invoice.
Record Keeping
All shipping records must be maintained
for a period of 5 years from the date of the export or 5 years from the date of
expiration of the export license, whichever is longer. The records include the commercial or
proforma invoice, waybill, export filings such as AES, restricted party
screening, any required licenses/license exceptions and associated
communications, and all documents created for the shipping transaction such as
items created by the University, freight forwarder, customs broker, supplier,
or international collaborator. Request a copy of these documents from your
shipper or print them when using an online application. Having copies of your
documentation is important, because it can take months to get documents from a
freight forwarder or expediter and your shipper may not keep copies of shipping
records.
If US Customs or other enforcement
agencies request shipping records you need to be able to produce documentation
within 24-48 hours.
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