Type of documentation

Helpful information

Carnet

Purpose and use: A Carnet is an international document that simplifies customs procedures when temporarily exporting various types of goods to member countries. The document is recommended for sabbaticals, short-period joint research projects, and short-period individual research.

Requirements:

• Goods must return within one year of export date.
• A General List form must be carefully completed.
• Foreign countries must participate in the Carnet Program. For a list of participating countries:
• Call EHS at  (831) 459-2553,
  OR
• See ATA Carnet

How it works: The ATA Carnet is a simple customs document with two vouchers for each foreign country you wish to visit. Hand one voucher to the foreign customs agent when you enter the country and the other when you leave. There are also two vouchers for presentation to customs when leaving and returning to the United States. Goods and Carnet must travel together and can be sent by road, rail, air, sea, or postal system (with a few exceptions). The goods can enter and leave countries at different points. A single Carnet enables you to visit an unlimited number of countries during one year.

Typically covered: Aircraft, agricultural machinery, clothing, computers, crockery, dental equipment display material, films, furniture, heating and lighting equipment, “hi-fi”, audiovisual, or photographic apparatus, jewelry and precious stones, lasers, leather goods, machine tools, motor vehicles and accessories, musical instruments and records, office equipment, paintings and other “objects d’art”, perfume, racehorses, sporting goods, suitcases, surgical equipment, theatrical costumes and sets, transformers and electric generators, and umbrellas are items typically covered by a Carnet. Also, high dollar value items that may draw a high tax or duty in the foreign country.

Typically NOT covered: Consumable goods (food and agriculture products), disposable and hazardous items, or postal traffic are examples of goods not covered by a Carnet.

Processing time: After notifying EHS one week in advance of your Carnet request, it takes one to two weeks to process.

Note: A Carnet does not replace a Validated Export License if one is required.

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Certificate of Analysis

Purpose: A Certificate of Analysis is the analysis of an animal material specimen.

When required: This certificate is required anytime animal material, including but not limited to, excreta, blood and its components, tissue and tissue fluids is shipped.

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Certificate of Registration

Purpose, use, and when required: Because UCSC is not a manufacturer of exported commodities and cannot produce a manufacturer’s certification when goods are returned to the United States, U.S. Customs requires registration of all equipment prior to export.

The Certificate of Registration also shows U.S. Customs that you had items such as watches, cameras, laptop computers, and tape recorders with you before leaving the United States and all items listed will be allowed duty-free entry.

Four originals of the form are needed:

• Two copies for U.S. Customs
• One copy for UCSC EHS
• One copy for UCSC’s customs broker, Air Sea Forwarders, Inc.

Include the following information on the form:

• UCSC address
• Department name
• Name of UCSC’s customs broker, Air Sea Forwarders, Inc.

Use the Certificate of Registration as a cover sheet for the items listed for export on the Request to Import/Export Form and for all hand carried equipment. If you are shipping multiple packages, also complete an International Shipment Summary.

When not required: Registration is not required if goods will not return to the United States such as expendable personal effects, books, and papers.

Processing time:

• Small quantities of goods must be taken to U.S. Customs for an inspection and registration.
• For large quantities of goods, an appointment with U.S. Customs is made for on-site examination. This requires a minimum of three days.

Note: Inspections by U.S. Customs may require complete unpacking and verification of all model/ serial numbers listed on your itemized list of materials. If sensitive packaging is required, contact EHS at (831) 459-5772 to coordinate.

See a PDF sample of the Certificate of Registration

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Hand carried items

Procedure: If you plan to hand carry an item to a foreign country, contact EHS to:

• Verify that the country will allow the item.
• Obtain the required documentation.
• Complete a Request to Import/Export Form
• You will need to fill out all the additional forms needed to register the item with U.S. Customs.
• Complete a Shipper’s Export Declaration form
• Complete a Certificate of Registration if equipment is exported
• You will need to contact U.S. Customs prior to your departure date to register equipment or other technical goods

Note: You should contact EHS before the item is taken out of the United States so it can be insured by UCSC Risk Management, if necessary.

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North American Free Trade Agreement (NAFTA) Certificate of Origin

Purpose: Use the NAFTA Certificate of Origin to determine if goods exported into Canada or Mexico receive reduced or eliminated duty, as specified by the North American Free Trade Agreement.

When required: Shipments requiring a Shipper’s Export Declaration also require the NAFTA Certificate of Origin is shipment is going to Canada or Mexico.

Processing time: Bring your Request to Import/Export Form to EHS who will assist you in completing the form. To ensure that this is the only documentation needed for your shipment, contact EHS at (831) 459-2553.

See a PDF sample of the North American Free Trade Agreement Certificate of Origin

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Permits and Licenses

Purpose: A number of U.S. government agencies or departments require permits for the transport or for imports or exports of research materials.

When required: Depends on the research material, but may be required for imports/exports and domestic shipping.

Examples of Agencies requiring permits or licenses for import/export of research material:

• Centers for Disease Control (imports of infectious substances harmful to human health)

• U.S. Dept. of Agriculture Animal and Plant Health Inspection Service (USDA APHIS) (genetically modified organisms, nematodes and fruit flies)

• Dept. of Treasury (licenses in embargoed countries, e.g. Iran, Cuba)

• Dept. of Commerce Bureau of Industry and Security (BIS) (licenses for export of controlled items. See the section on Export License for more information)

• Dept. of State ITAR (licenses for the export of items listed on the U.S. munitions list)
  
  Processing time: The turnaround time for obtaining a permit or license depends on the particular agencies. It can take a few weeks to a few months depending on the research material or the government agency. The Export Compliance Manager can assist you in completing the necessary forms to obtain the proper permits. Contact EHS at (831) 459-2553 for more information.
  
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Shipper's Declaration of Dangerous Goods

and

Shipper's Declaration for Hazardous Ocean Shipments - Hazardous Declaration (IMDG)

Warning: An IATA-certified official must complete these documents. Failure to comply with IATA and federal transportation regulations can result in civil penalties of $27,500 per occurrence, $250 per mistake on these documents, and criminal penalties can include five years imprisonment.

An EHS IATA certified employee must process all hazardous material.

Purpose: These forms compile official U.S. export statistics, help enforce U.S. export control laws, and give vital information on the dangerous goods shipped. The forms accompany the shipment so all parties handling the goods are aware of the contents and handle the goods appropriately.

When required: A Shipper’s Declaration of Dangerous Goods form is required when you ship items deemed hazardous by the definitions in CFR Domestic 49 Title and in the IATA International DG Regulations. These references determine the acceptable quantity, acceptable mode of shipment, and the documentation required such as UN numbers, labels, packaging, and certification papers. Hazardous ocean shipments require Shipper's Declaration for Hazardous Ocean Shipments - Hazardous Declaration (IMDG).

Processing time: Prior notice of shipments containing hazardous material is required. It takes a minimum of  two days to process hazardous material forms and additional time to book the shipment. Contact EHS at (831) 459-2553.

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Shipper's Export Declaration (Commerce form 7525-V)

Purpose: The purpose of the Shipper's Export Declaration is to compile official U.S. Export Statistics and for export control purposes.

When required: This document is required for all shipments sent to foreign countries regardless of the method of transportation.

Exemptions: The document is not required for shipments consisting of personal effects of persons leaving the United States such as luggage and tools of their trade provided the:

• Goods include only articles owned by the person.
• Person is in possession of the goods at the time of departure.
• Goods will not be sold
• Tools of the trade will not move as cargo under a bill of lading.
• The value is under $2500 and an export license is not required

Processing time: Send your Request to Import/Export Form to EHS. To ensure that this is the only documentation needed for your shipment and to determine if the country you are shipping to is allowable, contact EHS at (831) 459-2553.

Shippers Letter of Instructions
When shipping through a freight forwarder/ customs broker such as Air Sea Forwarders, Inc., a Shipper’s Letter of Instruction is required. Air Sea Forwarders, Inc. has this form as a cover to the Shippers Export Declaration. When you fill out this form, the information is transposed onto the Shippers Export Document.

Note: This form must have correct information. The consequences for stating incorrect information on the Shippers Export Declaration form are severe and may result in a fine up to $10,000 and/ or imprisonment. EHS can provide detailed information about the law.

See a PDF sample of the Shipper's Export Declaration (Commerce form 7525-V

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U.S. Certificate of Origin

Purpose: The purpose of the Certificate of Origin is to authenticate the country of origin of certain shipped commodities.

When required: A Shipper’s Export Declaration is required to export a commodity. The Certificate of Origin may also be required based on the:

• Commodity and its origin
• Destination
• Established treaty arrangements
• Varying duty rates

Some nations restrict imports from certain countries and limit the quantity of exported goods. Since the forms and rules vary, contact EHS for advice.

Processing time: To ensure that this is the only documentation needed for your shipment, contact EHS at (831) 459-2553.

See a PDF sample of the U.S. Certificate of Origin

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Export License

Purpose and use: Export controls by the U.S. Department of Commerce under the Export Administration Act are used to:

• Protect the domestic economy from excessive drain of scarce materials.
• Reduce the serious inflationary impact of foreign demand.
• Significantly further the foreign policy of the United States and to fulfill its international responsibilities.
• Exercise vigilance over exports and their significance to the national security of the United States.

When required: Shipments on the commodity control list and requiring an Export License include technical equipment, computers, peripherals, research instruments, and related items. A validated license may be required on these items if the export is permanent or exported for more than one year.

Processing time: The processing time for a license application and supporting documents depends on where the exported material is going, but usually takes up to 3 months to complete.

Applications for countries listed on the U.S. Department of Commerce's Entities List require review by more agencies and a longer processing time.

If your shipment falls in this category, please allow sufficient time to process your application and contact EHS at (831) 459-2553 in advance. Delays of three to four months are not uncommon for obtaining licenses for countries on the Entity List.

Additional resources:

• Commerce Control List
• Denied Persons List

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