Common Export Documents
Common Export Documents
When it comes to selling and shipping your products outside of the United States,there are standard documents usedfor exporting. To know which documentsare needed for an exportshipment,the best place to startis your foreign customer/importerora freight forwarder. By obtaining correct information, you are helping your customer efficiently clear the goods with customs in the target market.
Commonly Used Export Documents
Pro Forma Invoice
A pro forma invoice is an important document used as a negotiating tool between the seller and the buyer prior to an export shipment. This document should be used by the seller to quote at the beginning of an export transaction and it will eventually become the finalcommercial invoice used when goods are cleared through customs in the importing country. The documentcontains a description of goods [e.g., quantity, price, weight, kind and other specifications] andis a declaration by the seller to provide the products and services to the buyer at the specified date and price.
Commercial Invoice
The commercial invoice is a legal document between the exporter and the buyer [in this case, the foreign buyer] that clearly states the goodsbeing soldand the amount the customeris to pay. The commercial invoice is one of the main documents used by customs in determining customs duties. A commercial invoice is a bill for the goods from the seller to the buyer. These documents are often used by governments to determine the true value of goods when assessing customs duties. Governments that use the commercial invoice to control imports will often specify its form, content, number of copies, language to be used and other characteristics.
Packing List
Considerably more detailed and informative than a standard domestic packing list, an export packing list lists seller, buyer, shipper, invoice number, date of shipment, mode of transport, carrier, and itemizes quantity, description, the type of package, such as a box, crate, drum, or carton, the quantity of packages, total net and gross weight [in kilograms], package marks and dimensions, if appropriate. Both commercial stationers and freight forwarders carry packinglist forms. A packing list may serve as conforming document. It is not a substitute for a commercial invoice. In addition, U.S. and foreign customs officials may use the packing list to check the cargo so the commercial invoice should reflect the information shown on thepacking list.
Transportation Documents
AirWaybill
Air freight shipments require airway bills. Anairwaybill accompanies goods shipped by an international air carrier. The document provides detailed information about the shipment and allowsit to be tracked.Airwaybills are shipper-specific and are not negotiable documents [as opposed to order bills of lading used for vessel shipments].
Bill of Lading
A bill of lading is a contract between the owner of the goods and the carrier [as with domestic shipments]. Forocean shipments, there are twocommontypes: a straight bill of lading, which is non-negotiable, and a negotiable,or shippers order bill of lading. The latter can beused to buy, sellor trade the goodswhile in transit. The customer usually needs an original bill of lading as proof of ownership to take possession of the goods from the ocean carrier.
Export Compliance Documents
Electronic Export Information Filing [EEI] is the electronic export data as filed in the Automated Export System [AES]. This data is the electronic equivalent of the export data formerly collected as Shippers Export Declaration [SED] information.The EEI must be electronically filed via the Automated Export Systemonline, which is a free service from Census and Customs.It is requiredforanyshipmentswith items perSchedule B number exceeding $2,500* in value and for shipments of any value requiring anexport license.
A complete guide to filing electronic export information in the Automated Commerce Environment [AESDirect] is an excellent resource. SeeEEI andAESDirect.To sign up and log into the ACE system directly, visit the portal at U.S. Customs and Border Protection.
*Note: The EEI is required for shipments to Puerto Rico, the U.S. Virgin Islands and the former Pacific Trust Territories[unless each Schedule B item in the shipment is under $2,500]even though they are not considered exports.Shipments to Canada do not require an EEI except in cases where an export license is required. [Shipments to third countries passing through Canada do need an EEI.]
U.S. Principal Party in Interest [USPPI]
The USPPI, a required field in the EEIas defined in the Foreign Trade Regulations [FTR], is the person in the United States that receives the primary benefit, monetary or otherwise, of the export transaction. The attached article describes responsibilities ofthe USPPI, and offers a handy checklist to assure compliance with U.S. export regulations.
Export Licenses
An export licenseis a government document that authorizes the export of specific goods in specific quantities to a particular destinationfor a particular end-use. This document may be required for most or all exports to some countries or for other countries only under special circumstances. Examples of export-license certificates include those issued by the U.S.Department of CommercesBureau of Industry and Security[dual use articles], theState Departments Directorate of Defense Trade Controls[defense articles], theNuclear Regulatory Commission[nuclear materials], and theU.S. Drug Enforcement Administration[controlled substances and precursor chemicals].
Destination Control Statement
A Destination Control Statement[DCSfound in part758.6 of the BIS Export Administration Regulations, or EAR] is required for exports from the United States for items on the Commerce Control List that are outside of EAR99 [products for which no license is required] or controlled under the International Traffic in Arms Regulations [ITAR]. A DCS appears on the commercial invoice, ocean bill of lading, or airway bill to notify the carrier and all foreign parties that the item can be exported only to certain destinations. For more information, visit the Bureau of Industry and Security website.
Note:
Depending on the type of product, nature of transaction [i.e. standard or temporary shipment], and destination country, you may be required to submit additional export documentation. This could include ageneric or FTA certificate of origin, ATA Carnet, letter of credit, or other documentation. For more information, see Special Documents Used in Export Transactions.
Also, visit theCountry Commercial Guidesprepared by our in-country trade exports at U.S. embassies abroad. Each guide includes chapters onhow to do business with a particular country. Among the chapters are Selling U.S. Goods and Services, andCustoms Regulations and Standardssection which highlightsthe requirements and documentation for a particular country of interest. See an example forshipment to China.