To know which documents are needed for an exportshipment,the best place to start is 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. Below is a list of Common Export Documents. Some products/shipments may require special export documents. Read the article on Special Export Documents.
Common 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 final commercial invoice used when goods are cleared through customs in the importing country. The document contains a description of goods (e.g., quantity, price, weight, kind and other specifications) and is 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 goods being sold and the amount the customer is 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 the packing list.
Certification of Origin
Standard Shipments
Required by some countries. A signed statement as to the origin of the export item. Certificates of origin are usually validated by a semiofficial organization, such as a local chamber of commerce. A certificate may be required even if the commercial invoice contains the same information. For information on Generic Certificates of origin and where to obtain them read an article on read an article on Special Export Documents.
Free Trade Agreements Shipments
For information on how to certify your product for benefits (e.g. duty free) shipped to free trade agreements partner countries, including the US-Mexico-Canada Agreement, read the article on Special Export Documents and trade.gov/usmca.
Transportation Documents
AirWaybill
Air freight shipments require airway bills. Anairway bill accompanies goods shipped by an international air carrier. The document provides detailed information about the shipment and allows it 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). For ocean shipments, there are two common types: a straight bill of lading, which is non-negotiable, and a negotiable, or shipper’s order bill of lading. The latter can be used to buy, sell or trade the goods while 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
The Foreign Trade Regulations 15CFR Part 30 requires that Electronic Export Information (EEI) shall be filed through the Automated Export System (AES) by the United States Principal Party In Interest (USPPI)[the exporter], or an authorized agent of the USPPI or Foreign Principal Party In Interest (FPPI) for all exports of physical goods, including shipments moving pursuant to orders received over the Internet when the value of the commodity classified under each individual Schedule B number is over $2,500, or if there exists a mandatory filing requirement, i.e., an export license is required. See Foreign Trade Regulation 30.2(a)(1)(iv).
A complete guide to filing electronic export information in the Automated Commercial Environment (AESDirect) is an excellent resource. See EEI and AESDirect.To sign up and log into the ACE system directly, visit the portal atU.S. Customs and Border Protection.
*Note: The EEI is required frompersons exporting goods from the United States, Puerto Rico, Foreign Trade Zones (FTZs) located in the United States or Puerto Rico, the U.S. Virgin Islands, between Puerto Rico and the United States, and to the U.S. Virgin Islands from the United States or Puerto Rico.
There are instances when the EEI is not required, such asthe following examples:
- When the value of the commodity classified under each individual Schedule B number is $2,500 or less and mandatory EEI filing is not required.
- Shipments FROM the U.S. to Canada of ANY amountand mandatory EEI filing is not required.
- Shipments TO U.S. possessions, except those territories where EEI filing is required, i.e., between the US and Puerto Rico and from the US to the US Virgin Islands). See the exemptions listed on the eCFR eCFR website for a list of exemptions.
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. Seeecfr.gov for scenarios involving the types of USPPIs.
Export Licenses
An export license is a government document that authorizes the export of specific goods in specific quantities to a particular destination for a particular end-use. This document may be required for most or all exports to some countries or for other countries only under special circ*mstances. Examples of export-license certificates include those issued by the U.S. Department of Commerce’s Bureau of Industry and Security (dual use articles), the State Department’s Directorate of Defense Trade Controls (defense articles), the Nuclear Regulatory Commission (nuclear materials), and the U.S. Drug Enforcement Administration (controlled substances and precursor chemicals).
Destination Control Statement
A Destination Control Statement (DCS found in part 758.6 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,” and“Customs Regulations and Standards”section which highlightsthe requirements and documentation for a particular country of interest. See an example forshipment to China.
Special Export Documents
Documentsnotfalling under the category of “commonly used”(e.g., commercial invoice, bill of lading, packing list) are covered here.The country of import may require special documents for a variety of reasons. Certain products may require certificates to show cleanliness, compliance with standards,safety, and health. Otherproducts may require pre-shipment inspections before departing the country of export or be qualified for a free trade agreement tariff rate. Asking the foreign buyer at the beginning of the transaction whichdocuments will be needed for goods to clear customs in the country of import isa best practice. Read the article on Special Export Documents.
Additional information on shipping documentation for a particular trading partner is included inthe Country 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” and the “Customs Regulations and Standards” section, which highlights the requirements and documentation for a particular country of interest. For example, note the information on special export documents in the Mexico Country Commercial Guide.
