U.S. Export Requirements
| Importing Country
Requirements
Importer's
Requirements | Additional
Documents
Pro
Forma Invoice | Commercial
Invoice | USDA
Inspection Certificates | Weight
Certification
Packing
List | Shipper's
Letter of Instruction | Dock
Receipt | Certificate
of Origin
Consular
Invoice | Insurance
Certificate | Shipper's
Export Declaration | Bill
of Lading | Air
Waybill
Sample Transportation Documents
The average international shipment involves 46 separate documents. The specific documents required for any given shipment depend on U.S. Government regulations, destination country's import regulations, importer's requirements, terms of sale, method of payment, and mode of transportation.
U.S. Export Requirements--The United States Government requires export documentation for a number of different reasons including national security, control of products in short supply, compiling export statistics, administration of export laws, protection of endangered species, and to protect U.S. export markets by ensuring product quality of specific exports. The main document required by the United States government is the Shippers Export Declaration (SED).
Importing Country Requirements--Each country has different requirements regarding the documentation that accompanies any given import shipment. Importing countries require these documents for the administration of their import laws, assessment of taxes, and protection from hazardous pests and diseases. Some of the more frequently required documents are: commercial invoice, bill of lading, phytosanitary certificate (for plants or plant products), veterinary health certificate (for animals or animal products), packing list, and certificate of origin.
Other import regulations that may affect a shipment are packaging and labeling requirements, and recycling laws.
Importer's Requirements--The buyer/importer may require documents in addition to the documents required by their government. An importer may need a specific document in order to receive an import permit from their government, or to obtain financing from their financial institution. Possible documents requested are: pro forma invoice, inspection certificate for grade and condition, or a statement of processing methodology (depending on the level of processing involved).
Additional Documents--Additional documents are required based on the terms of sale, method of payment, and transportation mode. These documents could include a letter of credit, shipper's letter of instruction, certificate of insurance, dock receipt, bill of lading, and air waybill.
Although only the most common documentation requirements will be addressed here, exporters must know all regulations that apply to their shipment.
An experienced freight forwarder can assist exporters in determining what documents are required and can complete much of the documentation on the shipper's behalf. Additional sources for determining documentation requirements for any given shipment are: importer, bank, destination country's consulate, and USDA's Foreign Agricultural Service, Animal and Plant Health Inspection Service, and Food Safety and Inspection Service. Publications like the Official Export Guide, Bureau of National Affairs' International Trade Reporter-Export Reference Manual, and Dun's Marketing Services' Exporters' Encyclopaedia also provide this type of information.
Slight discrepancies or omissions in documentation may prevent goods from being exported, may result in the shipper not getting paid, or may even result in seizure of the goods by U.S. or foreign customs agents. Completion of much of the documentation is routine for freight forwarders or customs brokers, but the exporter is ultimately responsible for accuracy of the documentation.
This section looks at the most commonly required documents and includes sample documents.
Export transactions, particularly first-time transactions, may begin with an inquiry from abroad, followed by a request for a quotation or a pro forma invoice. The pro forma invoice is essentially a quotation in an invoice format. It is a form the buyer uses when applying for an import license or arranging for funds.
The following information should be included on the pro forma invoice:
In addition to the preceding items, a pro forma invoice should include a statement certifying that the invoice is true and correct and a statement naming the country of origin of the goods. The invoice also should be conspicuously marked "pro forma invoice."
Quotations should state explicitly that they are subject to change without notice. If a specific price has been agreed upon or guaranteed by the exporter, and must be upheld in the quotation, the precise period during which the offer remains valid should be specified.
The commercial invoice is a bill for the goods. The buyer needs the invoice to prove ownership and to arrange payment. Some governments use the commercial invoice to assess customs duties. Although there is no standard form for a commercial invoice, the following information should be included:
Agricultural exporters are frequently required to provide a certificate attesting to the condition of the goods shipped. Depending on the product, the USDA, or USDA-certified inspector, will inspect agricultural exports for specific insects and diseases, wholesomeness, and grade and condition, and issue certificates attesting to the product's condition at the time of inspection. Contact information for the USDA agencies that conduct these inspections is included in the Export Advice and Assistance section of this publication. Included among these certificates are:
Phytosanitary Certificate--The purpose of the phytosanitary certificate, Plant Protection and Quarantine (PPQ) form 577, is to expedite the entry of plants or plant products into a foreign country. This certificate certifies to a foreign country that the plants or plant products described were inspected by the U.S. Government and are free from quarantine pests and other injurious pests of specific concern to the importing country. This certificate is completed by USDA's Animal and Plant Health Inspection Service (APHIS). (Downloadable forms from the Animal and Plant Health Inspection Service)
See sample document in PDF format
Export Certificate-Processed Plant Products--The export certificate for processed plant products, PPQ form 578, was created for processed plant products that cannot be given a phytosanitary certificate but have been denied entry to one or more countries because no certification process existed. This certificate certifies to a foreign country that the processed plant product has been inspected by the U.S. Government and that the shipment was processed or manufactured to the extent that there is negligible risk of harboring injurious plant pest of specific concern to the importing country. Examples of products that fall under this category are:
The processed product certificate is also completed by APHIS. (Downloadable forms from the Animal and Plant Health Inspection Service) or See sample document in PDF format.
Federal-State Inspection Certificate-Export Apple Act--Apples exported from the United States must meet minimum quality and other requirements established by the Export Apple Act. This act also requires that USDA, through a Federal or Federal-State inspection service, officially inspects and certifies these fruits as being in compliance with the regulations. The Fruit and Vegetable Division of the USDA Agricultural Marketing Service administers this act. See sample document in PDF format.
Federal-State Inspection Certificate-Export Grape and Plum Act--Vinifera grapes exported from the United States must meet minimum quality and other requirements established by the Export Grape and Plum Act. Export shipments of vinifera grapes must be inspected and certified by the Federal or Federal-State inspection service. Exports of plums are not currently regulated under this act since other regulations already restrict exports of plums to better grades and sizes. The Fruit and Vegetable Division of the USDA Agricultural Marketing Service administers this act. See sample docuement in PDF format.
Voluntary Food Quality Certification--USDA's Agricultural Marketing Service (AMS) offers, for a fee, a voluntary food quality certification service. Quality certificates are offered by the Dairy Division, Fruit and Vegetable Division (for both fresh and processed products), Livestock and Seed Division, and Poultry Division.
Contract Certification--For a fee, AMS will review contracts and work with exporters to develop a written specification for the quality certification of food products.
Meat and Poultry Export Certificate of Wholesomeness--USDA's Food Safety and Inspection Service (FSIS) inspectors located in the U.S.-based, government approved processing/slaughter facilities issue the meat and poultry export certificate of wholesomeness, FSIS form 9060-5. This certificate certifies that all meat and meat products for human consumption are safe, wholesome, and accurately labeled to meet both the U.S. standards and the receiving country's import requirements.
Additional export certificates issued by FSIS include horsemeat export certificate, inedible product export certificate, and animal casings export certificate. See sample document in PDF format.
Veterinary Health Certificate--USDA's Veterinary Services, a division in APHIS, inspects animals and animal by-products and provides certification that the specific health requirements of the importing country have been met. Downloadable forms from the Animal and Plant Health Inspection Service or See sample document in PDF format.
Organic Certification--With implementation of national organic standards and accreditation of private and State certifiers, foreign buyers will look to the USDA for assurances that the products are produced organically. All producers and handler/processors wishing to label their products as organic must have their production and handling systems certified by USDA-accredited certifiers. These certifiers will also be able to verify that any organic products meet specific additional requirements of foreign buyers. All imported organic products must be produced and certified under systems that are equivalent to the U.S. standards as determined by USDA. This includes imported products that may become ingredients in processed products for export from the United States.
Other Certification Programs--USDA-AMS's Science and Technology Division (STD provides export certification services. STD laboratories test for Salmonella enteritidis in poultry products intended for export to South Africa. They also test honey, dry whole milk, and butteroil, and certify that they meet the requirements of the importing countries. STD tests soybeans intended for export to Japan for pesticide residues.
In addition to the USDA agencies listed above, the Grain Inspection, Packers and Stockyards Administration (GIPSA) inspects grain shipments to ensure that they meet contract specifications. Contact information for the USDA agencies that provide these inspection services are listed in the Trade Assistance section of this handbook.
The Intermodal Safe Container Act of 1992 was enacted to attempt to reduce the number of overweight loads on the Nation's highways. This legislation will affect all agricultural importers and exporters. Effective April 6, 1997, shippers are required to provide weight certifications for intermodal movements of containers or trailers. Shippers are required to provide accurate and complete information to the intermodal carrier, and the carrier will be responsible for transmitting this information to any subsequent carrier.
The following is a brief summary of the requirements, liability, and penalties.
Certification Requirements--All cargoes that are either loaded into trailers or ocean shipping containers that are part of an intermodal movement, that will travel by motor carrier on a U.S. public highway, and weigh more than 29,000 pounds will require certification.
The certificate must include:
Prior to tendering the cargo, the shipper must notify the carrier, either by telephone or electronic transmission, of the gross cargo weight and a general description of the cargo.
The certificate may be incorporated into other shipping documents as long as the document contains all of the required information. The date of transfer of the certificate, and the identity of the party performing the transfer, must be noted on the document. If a separate document is used, it must be conspicuously marked as "Intermodal Certification."
Each carrier transporting the cargo in the intermodal chain is responsible for forwarding the certification to the next carrier. If no certification is received by the subsequent carrier before, or when, the container or trailer is tendered, the subsequent carrier may presume that no certification is required.
Liability--The party tendering the cargo is liable for any false information on the certificate and for failure to provide a certificate. The party transferring the certification data is liable for inaccurately transferred data. The carrier is liable for failure to forward the certificate to the subsequent carrier.
Exceptions--Notification and certification requirements do not apply to intermodal containers or trailers containing consolidated shipments loaded by a motor carrier who performs the highway portion of the movement, or assumes responsibility for weight-related penalties for any other motor carrier.
Penalties--Federal law provides for penalties ranging from $500 to $1,000 per count for violations of the certification requirements. Violations of the act include: improper weight certification, failure to provide certification, failure to forward certification, inaccurate transfer of certification data. Failure to pay fines may result in a lien against the cargo until payment is received, but lien provisions do not apply to perishable agricultural commodities. Shippers should also note that highway weight requirements for State (non-Federal) roads may vary, and they should ensure that intermodal movements meet all local standards.
Contact--For further information regarding weight certification requirements, contact the Federal Highway Administration in Washington, DC, (202) 366-0650.
The export packing list is considerably more detailed and informative than a standard domestic packing list. An export packing list itemizes the material in each individual package and indicates the type of package--box, crate, drum, carton, etc. It shows the individual net, legal, tare and gross weights, and measurements for each package (in both imperial and metric units).
Package markings should be shown along with the shipper's and buyer's references. The packing list should either be included in or attached to the outside of a package in a waterproof envelope marked "packing list enclosed." The list is used by the shipper or forwarding agent to ascertain the total shipment weight and volume in addition to determining whether the correct cargo is being shipped. In addition, customs officials (both U.S. and foreign) may use the list to check the cargo and assess import duties.
Shipper's Letter of Instruction
This document is completed by the shipper and includes all of the information necessary for the freight forwarder or carrier to make transportation arrangements and complete the bill of lading and other related documents. The shipper's letter of instruction should include:
The dock receipt is used to transfer accountability when the export item is moved by the domestic carrier to the port of embarkation and left with the international carrier for export. There is no standard format for a dock receipt, but it should include a description of shipment and shipping information. This document is traditionally produced by the exporter or the exporter's freight forwarder and is signed by the receiving clerk for the carrier. With more and more ports utilizing electronic data interchange (EDI), this document is being transmitted electronically.
See sample document in PDF file
Certain nations require a signed statement as to the origin of the export item. The certificate is usually obtained through a semi-official organization, such as a local Chamber of Commerce. It may be required even though the commercial invoice contains the information.
A consular invoice for imported goods may be required by certain nations. It is used as a means to control and identify imported goods. The invoice must be purchased from the consulate of the country where the goods are being shipped and usually must be prepared in the language of that country.
See sample document in PDF file
If the seller is responsible for providing insurance, the insurance certificate should state the type and amount of coverage. This is a negotiable instrument.
See sample document in PDF file
The U.S. Government requires that exporters complete a Shipper's Export Declaration (SED) for international shipments. The SEDs, forms 7525-V, 7525-V-Alternate (Intermodal), and 7513 (In-Transit Goods), are joint Bureau of the Census/International Trade Administration documents. They include pertinent information on the export transaction such as parties to the transaction, transportation details, Schedule B classification, value of the goods, and export licensing information. The information collected is used for compiling official U.S. export statistics and administering the requirements of the Export Administration Act. SED forms and the Brochure Correct Way To Fill Out The Shipper's Export Declaration are available from the Bureau of the Census, Foreign Trade Division, Regulation Branch, Washington, DC 20233, phone (301) 457-2238.
An export license may be required for filling out the shipper's export declaration. Determining which export authorization to use may appear complex. But in most cases, it is a straightforward process.
There are two types of export authorization: export license and license exception. Licenses are given for transactions, not for individuals or companies. Ninety-five percent of products exported from the United States do not require an export license.
To comply with export licensing regulations, the exporter needs to determine if the product being exported requires an export license. Determining which authorization is needed is based on three factors:
1. What product is being exported? The Government restricts exportation of some products for reasons of national security, foreign policy, short supply, nuclear proliferation, or terrorist activity. For example, cedar logs require an export license because of short supply. But almost no other agricultural products require an export license for these reasons.
The Bureau of Export Administration (BXA), Department of Commerce, can provide information on how to determine if a product is restricted and requires an export license. The number to call at BXA is (202) 482-4811.
2. Where is the product's final destination? Are there any trade restrictions on products going to this destination? U.S. Government policy restricts trade with some countries. Exporting to a country with trade restrictions is either prohibited or requires an export license. At the time of publication, there are trade embargoes on exports to Iraq, Iran, Cuba, Libya, and North Korea.
To verify that there are no trade restrictions for exporting to any given country, contact the U.S. Department of the Treasury, Office of Foreign Assets Control, 1500 Pennsylvania Avenue NW., Washington, DC 20220, phone (202) 622-2480 or fax (202) 622-1657.
3. What will the product be used for? The Government restricts exportation of some products if they could be used for terrorist activities.
License Exception--If the exporter determines that there are no restrictions on exporting a product to the destination country, there is no need to formally apply for a license. Agricultural exporters ship under a license exception and type "NLR" (no license required) when requested for the license symbol on the shipper's export declaration. A license exception is a broad grant of authority by the U.S. Government to all exporters for certain categories of products. There is no application process for a license exception. Agricultural products usually qualify for this type of license.
Export License--If the exporter determines that the product being shipped is considered by the U.S. Government to be in short supply, or is being shipped to a country with which the U.S. Government has trade restrictions, or could be used for terrorist activities, an export license will be necessary. An export license is a specific grant of authority from the U.S. Government to a particular exporter to export a particular product. This license is granted on a case-by-case basis, either for a single transaction or for a specified period of time. An exporter must apply for an export license. For information on obtaining an export license contact BXA, Department of Commerce. The number to call at BXA is (202) 482-4811.
Although most agricultural shipments are exported using a license exception, exporters should know that violations of the Export Administration Regulations carry both civil and criminal penalties. It is recommended that exporters follow the above procedure to verify that they are using the correct export authorization.
Other U.S. Government agencies may have additional export regulations regarding a given commodity other than the licensing requirements. For instance, exporters of alcoholic beverages must obtain a permit from the Department of the Treasury's Bureau of Alcohol, Tobacco, and Firearms. The U.S. Department of the Interior, Fish and Wildlife Service restricts exportation of endangered wildlife and plants. (See Trade Assistance section of this handbook for contact information.) Many States also have rules and regulations governing exports. A State's department of agriculture can assist exporters in understanding State rules and regulations.
Schedule B Harmonized Commodity Description and Coding System
The United States has adopted the Harmonized Commodity Description and Coding System (HS) for classifying merchandise in international trade. Exporters, freight forwarders, and carriers must report export shipments in terms of the HS on their SEDs. The HS code for any given agricultural product can be obtained from the Department of Commerce publication: Schedule B--Statistical Classification of Domestic and Foreign Commodities Exported from the United States, or by contacting the Bureau of the Census, Foreign Trade Division, Nondurables Section, Washington, DC 20233, (301) 457-3492 or 457-2981.
When filling out the Schedule B commodity number on the SED, be sure to include the entire 10-digit code and the check digit. The Schedule B commodity number's corresponding quantities and shipping weights must be reported on the SED using the metric system. The following conversion factors can be used to convert English weights into metric units.
| Approximate Metric Conversion Factors | ||
| When You Know Number Of | Multiply By | To Find The Number Of |
| pounds (lb) | 0.4536 | kilograms (kg) |
| long tons (lt) | 1.016 | metric tons (mt) |
| short tons (st) | 0.907 | metric tons (mt) |
See sample document in PDF format
Ocean bills of lading (b/l) serve three purposes:
The b/l is issued by the steamship line. Bills of lading can be made out in two different ways, "to order" or "direct" (straight). When the b/l is made "to order" it offers protection to the shipper by making it absolutely necessary that the consignee present the original endorsed b/l before the goods will be released from the port of destination. An original endorsed b/l is called a negotiable b/l, and acts as title to the goods. A copy of an original endorsed bill of lading is non-negotiable and cannot act as title to the goods.
See sample document in PDF format
The air waybill, like the bill of lading, is a contract of carriage between the air carrier and shipper. Due to the short transit times there are no negotiable air waybills. The air waybill is issued by the airline or consolidator.
Sample Transportation Documents
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please contact Heidi Reichert at
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forms that can be used in the export process.)