Export/Import Documentation

There are a variety of documents required for international trade. Depending on the product(s) and the country of destination, requirements may vary. Below is a list of document types with explanations on when they might be necessary.

Pre-Sale Documents

• Letter of Intent (LOI)

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• Request for Quotation (RFQ)

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• Price Quotation

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• Proforma Invoice

  The Proforma invoice is used to initiate negotiations. It advises the buyer of:

  • Product description
  • Quantity
  • Value
  • Specifications (size, weight, etc.)
  • Purpose (contractual details)

Sales Documents

• Contractual Agreement (Agent, Distributor, IP Licensing, Joint Venture)

  Formal relationship that establishes roles and responsibilities of each party subject to legal oversight. Not required for commerce, but good practice.

• Purchase Order

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Shipping Documents – The “Commercial Set”

• Commercial Invoice

  Detailed transaction information (items and terms of sale)

• Packing List

  Detailed contents, dimensions and weight, of each package/container shipped.

• Ocean Bill of Lading or Airway Bill

  The “ticket” for the cargo to board the ship, issued by a NVOCC or a shipping line. Carrier’s receipt to the shipper and a collection document. A negotiable document when an ocean bill of lading but not so if an airway bill.

• Electronic Export Information

  File through AES Direct; Required by the U.S. Census Bureau for U.S. exports that contain a single commodity’s value exceeding US$2,500.00

  • Automated Export System (AES) Direct, U.S. Census Bureau
  • The electronic system for filing export information
  • USPPI or authorized agent can file
  • Replaced the SED (Shippers Export Declaration)
  • Criminal / Civil Penalties for non-compliance

• Entry Documents

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• Delivery Order

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Financial Documents

• Letter of Credit

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• Bank Draft

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Import Documents

• Apostille

  Issued by the Secretary of State’s office, this document is sometimes required for products to clear entry by foreign customs. It is essentially a notary of a notary.

• Consular Certificate

  Used to ensure proper declaration of good’s value for accurate payment of foreign tariffs.

• Customs Certificate of Registration

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• Entry Document

  Customs document for entry and immediate delivery of goods.

• Import License

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Temporary Shipment Documents

• ATA Carnet

  A temporary export-shipment document.

Export Control Documents

• Export Licenses

  An export compliance document.

• Destination Control Statement

  An export compliance document.

Canada Specific Documents

• Canadian Customs Invoice

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• Transporting Goods by Truck to Canada

  A temporary export-shipment document.

Other Possible Documents

• Certificate of Marine Insurance

  Assures the consignee that insurance is in effect for all the goods in transit

• Certificate of Origin

  • Generic Certificate of Origin
  • Certificate of Origin for claiming benefits under Free Trade Agreements
  • Certificate of Origin for goods not manufactured in the United States
  • http://export.gov/logistics/eg_main_018121.asp

• Dock and Warehouse Receipt

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• Shipper’s Letter of Instruction

  Provided for the use of freight forwarder

Product Safety and Verification Documents 

It is possible that you will not need any of the documents below for an international trade transaction. Requirements on the following documents vary, depending on the country of import, the product specifications, and buyer requirements.

• Certificate of Analysis

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• Certificate of Free Sale

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• Dangerous Goods Certificate

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• Fisheries Certificate

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• Fumigation Certificate

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• Halal Certificate

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• Health Certificate

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• Ingredients Certificate

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• Inspection Certificate

  This is a pre-shipment inspection certificate from an independent third-party, often times they assume liability, for product integrity. This practice is not required by Customs, but is often required by the importer/buyer to ensure product standards are met per the agreement. It is advisable to use inspection certificates when doubt or lack of trust may exist with your supplier.

  For example, a buyer negotiated the purchase of human hair to be used in hair extensions and paid a premium for Virgin Remy hair. Upon arrival, they buyer realized the container was full of low-value synthetic hair and took a huge finical loss. The cost of legal recourse outweighed the landed cost and ended up becoming a hard lesson-learned. This could have been prevented with an inspection certificate which costs far less than the shipping and products costs.

• ISPM 15 Marking for Wood Packaging

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• Materials Safety Data Sheet — MSDS

  The MSDS is required when shipping chemical materials.

• Phytosanitary Certificate

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• Radiation Certificate

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• Weight Certificate

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