What documents does a US export shipment need?
- Export documentation
- The set of commercial, transport, customs and quality documents that let goods leave the United States, clear customs at destination and be checked against the purchase order.
| Document | What it does | Usually prepared by | When |
|---|---|---|---|
| Commercial invoice | Bills the goods; customs uses it for value and classification | Seller | Always |
| Packing list | Lists each package, contents, weights and dimensions | Seller or packer | Always |
| Bill of lading (ocean) or air waybill | Receipt for the goods and evidence of the contract of carriage | Carrier or forwarder | Always |
| Electronic Export Information (EEI) | Export data filed with the U.S. government through AES | U.S. exporter or its agent | When the rules below require it |
| Certificate of origin | States where the goods were made | Exporter, sometimes a chamber of commerce | When the buyer, destination customs or a letter of credit asks for it |
| Material test reports and inspection certificates | Prove material and test results for the order | Manufacturer or inspector | When the purchase order requires them |
| Export license or authorization | Permission from the controlling agency | Exporter, from the agency | Only when controls require it |
| Insurance certificate | Evidence of cargo cover | Insurer or seller | Under CIF and CIP, or when the buyer requires it |
General list. Each destination and each commodity can add requirements.
Two practical items sit beside these: wood pallets and crates usually need the ISPM 15 treatment mark that many countries require, and the shipper's letter of instruction or power of attorney authorizes the forwarder to act.
When must EEI be filed in AES?
The Foreign Trade Regulations, 15 CFR Part 30, set the rule. Electronic Export Information is filed through the Automated Export System, accessed through the Automated Commercial Environment, when the value of the goods is over US$2,500 per Schedule B number (or HTSUSA commodity code), for one U.S. principal party in interest, one ultimate consignee and one conveyance departing on the same day.
- If one shipment mixes Schedule B numbers, only the numbers valued over US$2,500 need filing.
- EEI is required regardless of value for shipments that need a Bureau of Industry and Security license or reporting under the EAR, a State Department ITAR license, or another federal agency license.
- Shipments to Canada are exempt, except where the regardless-of-value cases apply.
- Once the filing is accepted, AES assigns an Internal Transaction Number (ITN), the proof of filing that goes on the transport documents.
The U.S. principal party in interest (USPPI), usually the seller, files itself or authorizes an agent with a power of attorney or written authorization. In a routed export transaction, controlled by the foreign buyer, the buyer's U.S. agent may file with the USPPI's written authorization. Keep the records for five years from the date of export. Cited sections are in the Census quick guide listed below.
What should the commercial invoice and packing list show?
- Seller, buyer and ship-to party with full addresses
- Invoice number, date, purchase order number and payment terms
- Description of each item with quantity, unit price and total, in a stated currency
- Incoterm and named place, for example FCA Houston
- Country of origin of the goods and the commodity classification (Schedule B or HS code)
- Net and gross weights, package count, marks and dimensions on the packing list
- The destination control statement, when the items are subject to the EAR and not designated EAR99
Descriptions should match the purchase order and the material test reports so that customs, the carrier and the buyer all see the same item. See Material test reports.
What export controls and sanctions checks apply?
Many carbon steel piping items are designated EAR99, but some valves, alloys and equipment carry specific ECCNs, so each item has to be classified and not assumed. Four separate checks are common.
| Check | Question | Where to look |
|---|---|---|
| Classification | Is the item on the Commerce Control List with an ECCN, or EAR99? | Export Administration Regulations, administered by BIS |
| License need | Does the ECCN and destination country require a license? | The Country Chart in the EAR |
| Parties and end use | Is any party on a restricted list, or is the end use controlled? | Trade.gov Consolidated Screening List and the EAR end-use rules |
| Sanctions | Does a sanctions program apply to the destination, parties or transaction? | OFAC, U.S. Treasury |
What does the destination side need?
Import clearance follows the destination country's law. The consignee or its customs broker (agente aduanal in Mexico, agente de aduanas elsewhere) files the import declaration and pays duty and taxes. Common supporting documents are the commercial invoice, packing list, transport document and, depending on the country, a certificate of origin, an import license or a registration of the importer.
A certificate of origin supports duty rates under trade agreements when the goods qualify. Whether one is needed, and in what form, is set by the importing country and the agreement. Ask the consignee's broker early; some countries also ask for legalization or specific wording.
Ask for the broker's document checklist before shipping. A missing certificate or a mismatch between invoice and packing list can hold a container at the port.
How do Incoterms change who handles what?
The Incoterm in the contract allocates cost, risk and export or import clearance between buyer and seller. See Incoterms 2020.
| Incoterm | Export clearance in the contract | Import clearance in the contract |
|---|---|---|
| EXW | Buyer | Buyer |
| FCA, FOB | Seller | Buyer |
| CIF, CIP | Seller (insurance included) | Buyer |
| DAP | Seller | Buyer |
| DDP | Seller | Seller |
The Foreign Trade Regulations, not the Incoterm, decide who may file the EEI. Agree the filer in writing, especially under EXW.
How can JJ Projects help?
JJ Projects coordinates shipping to the named place under the agreed Incoterm and collects the documents your purchase order calls for. It does not give legal advice on customs or sanctions. Tell us the destination, Incoterm and required documents in your Request a quote, or see procurement services.
Sources
- U.S. Census Bureau, Foreign Trade Regulations quick guide to 15 CFR Part 30 (EEI, AES, exemptions)
- U.S. Census Bureau, Automated Export System (AES) filing
- eCFR, 15 CFR 758.6, Destination Control Statement and other information furnished to consignees
- U.S. Bureau of Industry and Security, Export Administration Regulations
- Trade.gov, Consolidated Screening List
- U.S. Treasury OFAC, sanctions programs and country information