How to Ship a Controlled Commodity

Transfer of commodities and equipment is only controlled by the export regulations when the item is shipped out of the country. Licenses to ship an item outside the United States are required even when the item or equipment is used in or results from fundamental research.

• If a commodity is controlled under ITAR, then a license is always required before it can be shipped to any country outside the United States, except in limited circumstances such as shipment to a military base overseas. Licenses are also required to import such items. The University of California Office of the President handles such licenses.
• For commodities controlled under EAR, whether a license is required depends upon the country to which the item is being shipped. Begin by finding your item or research activity on the Alphabetical Index to the Commerce Control List (CCL) (pdf).
  • Determine the ECCN (Export Control Classification Number) for each item
    1. Determine the classification yourself using the follwing methods.
       • Review the Alphabetical Index to the Commerce Control List (CCL) (pdf)). The index will give an ECCN for each item listed. Look in the corresponding CCL category to determine if your item is described by that ECCN. You may need to review more than one ECCN description. Instructions for using the CCL are found in EAR Part 738 (pdf).
       • Go to the source. Ask the manufacturer, producer or developer of the item. If the item has been exported in the past, they may know the ECCN, what countries require a license, and whether a license exception may be used. Information on license exceptions can be found in EAR Part 740 (pdf).
       • Contact Louise Moore, Executive Director, Office of Research.
  • Using the appropriate category list, determine your ECCN controls (i.e. the ECCN 3A981 is found on the Category 3 - Electronics Design, Development and Production category list).
  • Cross reference the "reason(s) for control" with the Commerce Country Chart.
  • Determine if a license is required in the "reason for control" column for the country where your item is to be shipped.
• Even in cases where license approval from the Department of Commerce is not required to ship the item to the country, there are administrative requirements (see 15CFRPart 762) and records that must be maintained regarding shipments of EAR controlled items out of the United States.
• Louise Moore, Executive Director of Office of Research:
  • can assist you in determining whether a specific license is required
  • will secure a license when needed
  • can advise you on what records need to be maintained in cases where the item can be shipped without a license

UC faculty and staff must take these steps to assure that they do not violate the export regulations and become personally liable for the substantial civil and criminal penalties.