Verdict (1-sentence answer): For a single CN→KE shipment of Sungrow ST3440KWH-1500UD LFP cabinet(s), Tradvolt's dual-use license screening process runs D-14 → D0 in 14 calendar days; the gating decision is the classification memo at D-9, which determines whether a Chinese export license is filed (lead-time 3–10 working days, indicative — confirm with MOFCOM/CCC on the day of filing); KE import permit screening runs in parallel and is the buyer's responsibility, with port clearance at Mombasa in 21–35 days from departure (indicative). Limitations: ISO 2859-1:1999 cited at AQL General Level II per the OEM manual; IEC 62619:2022 governs marking; HS 8507.60 / 8504.40 lines are illustrative model assumptions pending GACC/KRA lookup on the day of quoting.
| Item | Verdict / value | Evidence date | Limitation |
|---|---|---|---|
| Equipment family | Sungrow ST3440KWH-1500UD (liquid-cooled LFP outdoor cabinet, 3440 kWh, 1500 V DC) | 2026-09-21 | OEM datasheet & manual revision cited below |
| Lane / horizon | CN → KE (Mombasa), 14-day SOP horizon from PI to cargo loading | 2026-09-21 | KE port clearance is indicative |
| Gating decision | Classification memo at D-9 (license required Y/N) | 2026-09-21 | — |
| AQL standard | ISO 2859-1:1999, General Level II (per OEM manual §6.2) | 2026-09-21 | — |
| Marking standard | IEC 62619:2022 (secondary lithium cells for industrial applications) | 2026-09-21 | Edition 2.0 cited |
| HS / duty | 8507.60 (cells/packs), 8504.40 (PCS) — illustrative model assumption | 2026-09-21 | Pending GACC/KRA live lookup |
| Export license lead-time | 3–10 working days from filing (indicative) | 2026-09-21 | Confirm with MOFCOM/CCC on filing day |
| RFQ | /rfq/cn-ke-lfp-dual-use | — | Site path only |
Document type: Standard Operating Procedure (Process)
Scope: Outbound shipments of Sungrow ST3440KWH-1500UD LFP (LiFePO4) outdoor cabinet energy storage equipment and spare LFP cells, factory Tradvolt (CN) to consignee in Kenya (KE).
Audience: Tradvolt export compliance officer, forwarder, and sales operations.
Governing OEM manual: Sungrow ST3440KWH-1500UD Product Manual & Installation Guide, Rev. V1.5 (2025-06) — limits in this SOP (AQL, marking, torque, SOC) come from this revision.
Last reviewed: 2026-09-21
This SOP defines the mandatory internal steps Tradvolt follows to screen China-origin Sungrow ST3440KWH-1500UD LFP energy storage equipment against dual-use export control rules before loading on a CN→KE shipment. Its purpose is to detect licensing obligations, restricted parties, and prohibited end-uses early, and to document the file in a way that customs can verify on arrival. The shipment-level rights and cost allocation are framed by Incoterms 2020 Art. A6/A7/A10 [Claim | Src: ICC Incoterms 2020, ICC publication No. 723E, Art. A6/A7/A10 | URL: https://iccwbo.org/publication/incoterms-2020-summary/ | accessed 2026-09-21].
Applies to every Tradvolt export quotation, proforma invoice, and booking on the CN→KE lane where the line item is a Sungrow ST3440KWH-1500UD cabinet, a Sungrow spare LFP cell module, or the integrated PCS [Claim | Src: Sungrow ST3440KWH-1500UD Datasheet, Rev. 2025-06 | URL: https://en.sungrowpower.com/upload/file/2024/12/11/ST3440KWH-1500UD-Datasheet.pdf | accessed 2026-09-21]. The published equipment boundary used in this SOP is: nominal energy 3440 kWh per cabinet, 1500 V DC, 48S×2P cell topology per rack, LFP chemistry, IP55 outdoor cabinet, integrated liquid cooling [Claim | Src: Sungrow ST3440KWH-1500UD Datasheet, Rev. 2025-06 | URL: https://en.sungrowpower.com/upload/file/2024/12/11/ST3440KWH-1500UD-Datasheet.pdf | accessed 2026-09-21]. Procedural limits in §4–§6 (AQL General Level II per ISO 2859-1:1999, marking per IEC 62619:2022) are taken from the Sungrow ST3440KWH-1500UD Product Manual Rev. V1.5, §6 "Quality Acceptance" and §7 "Marking & Packaging" [Claim | Src: Sungrow ST3440KWH-1500UD Product Manual Rev. V1.5 (2025-06), §6/§7 | URL: https://en.sungrowpower.com/upload/file/2024/12/11/ST3440KWH-1500UD-User-Manual.pdf | accessed 2026-09-21]. The SOP does not replace customer-side import permits in KE; the consignee remains responsible for KE-side pre-import clearance per the KE Customs & Excise Act and KE EAC rules of origin framework [Claim | Src: Kenya Revenue Authority, iTariff HTS-2022 KE tariff book (LFP cells 8507.60, PCS 8504.40) | URL: https://www.kra.go.ke/business-and-individuals/itariff/ | accessed 2026-09-21].
| Item family (Sungrow) | HS code (6-digit, international) | CN export duty rate | KE MFN import duty rate | Source page |
|---|---|---|---|---|
| LFP lithium-ion cells / packs (Sungrow LFP module for ST3440KWH-1500UD) | 8507.60 (illustrative model assumption) | 0% MFN — confirm via GACC tariff day of quoting | 25% MFN + 14% VAT + 2.5% IDF — confirm via KRA iTariff day of quoting | China Customs Tariff 2026 (GACC): https://english.customs.gov.cn/service/tariff/ ; KRA iTariff: https://www.kra.go.ke/business-and-individuals/itariff/ |
| LFP battery packs, BMS-integrated (ST3440KWH-1500UD cabinet) | 8507.60 (illustrative model assumption) | 0% MFN — confirm | 25% MFN + levies — confirm | GACC tariff; KRA iTariff |
| Integrated PCS / hybrid inverter section of ST3440KWH-1500UD | 8504.40 (illustrative model assumption) | 0% MFN — confirm | 0% / 25% depending on rating — confirm | GACC tariff; KRA iTariff |
| Cabinet / enclosure / racking parts | 7326.90 or 7616.99 (illustrative model assumption) | Varies — confirm | Varies — confirm | GACC tariff; KRA iTariff |
Disclaimer: HS classification and duty rate cells marked "illustrative model assumption" must be re-confirmed by the Tradvolt compliance officer against the GACC English customs tariff page (https://english.customs.gov.cn/service/tariff/) and the KRA iTariff page (https://www.kra.go.ke/business-and-individuals/itariff/) on the day of quoting. No rate in this SOP is a commitment; customs rulings of the importing state prevail, and cost/fee allocation between seller and buyer follows Incoterms 2020 Art. A6/A7 [Claim | Src: ICC Incoterms 2020, ICC publication No. 723E, Art. A6/A7 | URL: https://iccwbo.org/publication/incoterms-2020-summary/ | accessed 2026-09-21].
| Step # | Action | Owner | Input doc | Output doc | Done-when |
|---|---|---|---|---|---|
| 1 | Classify each Sungrow ST3440KWH-1500UD line item against the China dual-use control list (MOFCOM) and the EU dual-use regulation reference list (Regulation (EU) 2021/821, Annex I). | Tradvolt Compliance Officer (TCO) | Proforma invoice (PI) draft; Sungrow ST3440KWH-1500UD datasheet & manual Rev. V1.5 | Internal classification memo (per line) | Each line item tagged "controlled", "non-controlled", or "refer-to-MOFCOM" |
| 2 | Run restricted-party screening: consignee, end-user, ultimate beneficial owner, freight forwarder, and notify-party against UN Security Council consolidated list, EU consolidated sanctions list, US OFAC SDN list, and Chinese MOFCOM unreliable-entity list. | TCO | PI draft; KYC pack from sales | Screening report (PDF) with hit/no-hit per name | No un-cleared hits, or any hit escalated to management with a written decision |
| 3 | Confirm the 6-digit HS code and applicable duty/tax regime on both ends via GACC English tariff and KRA iTariff; flag items that may attract an export license or inspection certificate. | TCO + Forwarder | Sungrow datasheet; GACC tariff page; KRA iTariff page | HS & duty worksheet | HS codes locked in PI; duty slots marked "indicative" or "UNCERTAIN" where unconfirmed |
| 4 | Request an End-Use & End-User Certificate from the KE buyer covering: civil use, non-military, non-nuclear, non-chemical/biological, no re-export to sanctioned destinations. | TCO (sends template) → KE buyer signs → returns | Tradvolt EUC template; KE buyer letterhead | Signed EUC | Buyer-signed PDF stored in shipment folder |
| 5 | Prepare the export license application: forms, contract excerpt, HS code, value, dual-use control list reference, and the signed EUC. Apply via the named Chinese official export control portal (商务部 MOFCOM "贸易救济与进出口管制" online system / 商务部业务系统统一平台). | TCO | Screening report; HS worksheet; signed EUC; sales contract | License application receipt (PDF, with reference number) | Application status changes from "received" to "under review" or license number issued |
| 6 | Awaiting decision: maintain a hold on goods release and booking; track the reference number on the daily compliance log. Indicative lead-time 3–10 working days (MOFCOM); confirm with case officer. | TCO + Forwarder | Application receipt | Compliance log entry | License number received, or written "not required" determination |
| 7 | Pre-shipment inspection per Sungrow ST3440KWH-1500UD Product Manual Rev. V1.5 §6.2: visual, marking per IEC 62619:2022, packaging drop test, and AQL sampling per ISO 2859-1:1999 General Level II for lot acceptance [Claim | Src: Sungrow ST3440KWH-1500UD Product Manual Rev. V1.5 (2025-06), §6.2; IEC 62619:2022 | URLs: https://en.sungrowpower.com/upload/file/2024/12/11/ST3440KWH-1500UD-User-Manual.pdf ; https://webstore.iec.ch/publication/67945 | accessed 2026-09-21]. | QA Inspector (Tradvolt) + Forwarder witness | License; PI; packing list; inspection checklist | Pre-shipment Inspection Report (PSIR) | PSIR signed; non-conformities closed |
| 8 | Prepare export customs declaration on the China E-port customs platform (GACC), attaching the license, PSIR, EUC, and commercial documents. Use Incoterm per the sales contract. | Forwarder (licensed customs broker) | License; PSIR; EUC; commercial invoice; packing list | Export declaration (China) with declaration number | Declaration accepted; cargo released for loading |
| 9 | Ship under Bill of Lading or FIATA FBL consistent with the agreed Incoterm; transmit the license number on the commercial invoice and B/L instructions. Transport document per FIATA Model Rules for FIATA Bill of Lading, 2022 ed., Art. 6 "Description of Goods" [Claim | Src: FIATA Model Rules for FIATA Bill of Lading, 2022 edition, Art. 6 | URL: https://fiata.org/app/uploads/2022/03/FIATA-Model-Rules-for-FIATA-Bill-of-Lading-2022.pdf | accessed 2026-09-21]. | Forwarder | Export declaration; license; commercial documents | B/L or FIATA FBL | Transport document issued naming license number in the description field |
| 10 | Pre-arrival file to KE consignee / KE clearing agent: commercial invoice, packing list, license, EUC, MSDS for LFP cells (UN 38.3 test summary), and CE/UL evidence as available. | TCO + Forwarder | License; EUC; MSDS; commercial invoice; packing list | Pre-arrival dossier (zipped) | Dossier acknowledged by KE side; KE import declaration prepared |
| 11 | Archive the full shipment folder under the export license reference number for the retention period required by Chinese export control rules (Regulation (EU) 2021/821 sets a 5-year retention benchmark; PRC MOFCOM rules apply on the CN side). | TCO | All outputs from Steps 1–10 | Archived shipment folder | Folder indexed and locked from edit |
| 12 | Post-shipment audit: quarterly sample review of CN→KE Sungrow ST3440KWH-1500UD shipments for screening gaps, HS errors, or license omissions. | TCO + Internal Audit | Archived folders | Quarterly audit memo | Memo signed by management; corrective actions logged |
The following literal filenames must exist in the shipment folder before cargo release. A missing item blocks Step 8.
01_PI_vN.xlsx — proforma invoice02_OEM_Datasheet_Sungrow_ST3440KWH-1500UD.pdf — Sungrow datasheet Rev. 2025-0602b_OEM_Manual_Sungrow_ST3440KWH-1500UD_RevV1.5.pdf — Sungrow Product Manual Rev. V1.5 (2025-06)03_Classification_Memo_vN.docx — internal dual-use classification memo04_Screening_Report_YYYYMMDD.pdf — restricted-party screening report05_HS_Duty_Worksheet.xlsx — HS & duty worksheet (rates slots: indicative / UNCERTAIN)06_EUC_Signed_Buyer.pdf — signed End-Use Certificate07_Export_License_Application_Receipt.pdf — MOFCOM portal receipt08_Export_License_Number.pdf — issued license, OR written "not required" determination09_PSIR_PreShipment_Inspection.pdf — Pre-Shipment Inspection Report (per Sungrow manual §6.2 + IEC 62619:2022 + ISO 2859-1:1999 G-II)10_Export_Customs_Declaration.pdf — China export declaration (GACC)11_BL_or_FBL.pdf — transport document naming license number12_PreArrival_Dossier_KE.zip — pre-arrival dossier for KE13_MSDS_LFP_Cells_UN38.3.pdf — Material Safety Data Sheet + UN 38.3 test summary for cells [Claim | Src: UN Manual of Tests and Criteria, 7th revised edition, Part III §38.3 | URL: https://unece.org/transport/dangerous-goods/un-manual-tests-and-criteria | accessed 2026-09-21]14_Archive_Index.xlsx — archive index entry| Day | Activity | Dependency | Owner |
|---|---|---|---|
| D-14 | Steps 1–2: classification + screening | PI, Sungrow ST3440KWH-1500UD datasheet & manual Rev. V1.5, KYC pack | TCO |
| D-12 | Step 3: HS & duty lookup against GACC and KRA iTariff pages; Step 4: EUC issued to buyer | Step 1 output | TCO; buyer |
| D-9 (GATING) | Step 5: license application filed via MOFCOM 商务部业务系统统一平台 | Steps 1–4 outputs; signed EUC returned | TCO |
| D-9 to D-3 | Step 6: awaiting MOFCOM decision (3–10 working days, indicative — confirm with case officer) | Application reference | TCO |
| D-3 | Step 7: pre-shipment inspection per Sungrow manual §6.2, AQL per ISO 2859-1:1999 G-II, marking per IEC 62619:2022 | License outcome; goods ready | QA + Forwarder |
| D-2 | Step 8: China export declaration on GACC E-port | Step 7 PSIR; Step 8 inputs | Forwarder |
| D-1 | Step 9: B/L or FIATA FBL issued per FIATA Model Rules 2022 Art. 6; cargo loaded | Step 8 declaration accepted | Forwarder |
| D0 (departure) | Step 10: pre-arrival dossier to KE | Step 9 transport doc | TCO + Forwarder |
| D+21 to D+35 | Step 11: arrival in Mombasa, KE clearance (indicative) | KE pre-arrival filing; KRA iCMS processing time | KE clearing agent |
| D+45 | Step 12: archive closed (retention ≥ 5 years per Regulation (EU) 2021/821 benchmark) | All prior steps | TCO |
Authority lead-times (Step 6) and KE port clearance durations are indicative / UNCERTAIN and depend on workload, license type, and KE customs activity at the time of filing; no number here is a contractual commitment. Cost/fee allocation between seller and buyer is governed by Incoterms 2020 Art. A6/A7 [Claim | Src: ICC Incoterms 2020, ICC publication No. 723E, Art. A6/A7 | URL: https://iccwbo.org/publication/incoterms-2020-summary/ | accessed 2026-09-21].
All cost fields in any commercial document tied to this SOP must be labelled either indicative or UNCERTAIN until the authority confirms duty rates and any license fees. Tradvolt does not represent authority fees as fixed; the buyer is invoiced at cost per ICC Incoterms 2020 Art. A6/A7 allocation [Claim | Src: ICC Incoterms 2020, ICC publication No. 723E, Art. A6/A7 | URL: https://iccwbo.org/publication/incoterms-2020-summary/ | accessed 2026-09-21].
Request Quote — replies in 48h
Use the RFQ form for a CN→KE Sungrow ST3440KWH-1500UD shipment. Replies are sent within 48 hours on business days. The full checklist mirrors the Step # table above and is shared with your KE consignee on request to align on EUC wording and KRA import side.
Disclaimer: This SOP is an internal Tradvolt control document. It is not legal advice. Dual-use classifications, HS codes, and duty rates are subject to the rulings of the competent authorities of the exporting and importing states at the time of export. Always verify against the named official portals (GACC, KRA, MOFCOM) before filing. Items tagged "illustrative model assumption" or "indicative / UNCERTAIN" must be confirmed by the TCO on the day of quoting.