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1、Chapter EightExport Documentation Learning objectives lAfter reading this chapter you should be able tounderstand the importance of documentation in export transactionbe aware of the basic requirements and information source of export documentation describe the different types of export documentsout
2、line the functions and contents of the major export documents SEIB OF GDUFS28.1 Significance of documentationlsymbolic delivery: delivery of goods by the handover of title documents, instead of physical goodslthe correct preparation and presentation of relevant documents at different stages ensure a
3、 smooth transactionSEIB OF GDUFS38.2 Basic requirement for documentationlcorrectnesslcompletenesslconcisenesslcleanness lpromptnessSEIB OF GDUFS48.3 Basis for documentationlsales contractlany payment related documents le.g. a letter of credit, lsome original documents le.g. packing supplied by manuf
4、acturerslthe requirements of relevant laws & regulationsSEIB OF GDUFS58.4 Export documents Documents required during negotiation or goods preparation: lExport License (Specimen 8.1)the first document a seller has to prepare when he intends to export commodities that are under export control of his c
5、ountry. SEIB OF GDUFS6Documents required during negotiation:l Pro Forma Invoice (Specimen 8.2)issued by the seller as a response to an inquiry from the potential buyersimilar to a commercial invoice contains the same information as those in the commercial invoicea statement of sales, issued before a
6、 transaction has been concludedSEIB OF GDUFS7Documents involved in goods preparationl Commercial Invoice (Specimen 8.3)the exporting firms invoiceaddressed to the foreign importerdescribing key transaction details, esp. total value and claiming for paymentone of the most important documents used as
7、the foundation for keeping accounts and making declarations to the customs.often required for payment settlementserves as a record of the details of a transaction SEIB OF GDUFS8Documents involved in goods preparation lPacking List (Specimen 8.4)a document made out by the seller stating the detailed
8、content of each individual shipmenta supplementary document to the commercial invoicerequired for mandatory inspectionrequired for export and import customs formalitiesUsu. required for negotiation of payment. to facilitate the general checking of goods to facilitate insurance claims and claims sett
9、lementsSEIB OF GDUFS9Documents concerning mandatory inspectionlExport Commodity Inspection Application (Specimen 8.5)one of the essential domestic documents for the export of many commodities in ChinaSEIB OF GDUFS10Documents concerning mandatory inspectionl Certificate of Inspection (Specimen 8.6)a
10、document indicating the results of the inspectionissued by a government institution, surveyors of chamber of commerce or an independent service companyrequired when the goods are cleared for export and import usu. required when the seller negotiates paymentto ensure that the goods in conformity with
11、 requirementsSEIB OF GDUFS11Documents concerning mandatory inspectionl Types of Certificate of Inspection:Inspection Certificate of QualityInspection Certificate of WeightInspection Certificate of QuantityInspection Certificate of HealthInspection Certificate of Quarantine. SEIB OF GDUFS12Documents
12、involved in transportationlBooking Note (B/N) (Specimen 8.7)a form to be filled out by the exporter providing the carrier or the shipping agent all the necessary particulars about the shipment to book shipping space SEIB OF GDUFS13Documents involved in transportationlShipping Order (Specimen 8.8)a n
13、otice to the shipper (exporter) from the carrier or his agentcontains detailed information concerning the sailing, goods, place of loading, etc. to be marked and signed when the carrier or the agents are in receipt of the goods so that the goods can be ready for export clearancewill be stenciled by
14、the Customs after the customs clearance evidencing that goods are cleared for export. be presented to the carrier at the time of loadingSEIB OF GDUFS14Documents needed for export customs clearancelCustoms Declaration for Export Commodity (Specimen 8.9)to be submitted to the Customs or relative autho
15、rized institutionssupporting documents may include:lcommercial invoicela packing listlan export license (if required)la copy of the sales contract linspection certificate (mandatory inspection) la shipping order SEIB OF GDUFS15Documents needed for export customs clearancelCustoms Clearance for Expor
16、t Commodity lissued by the customs or the authorized institution levidencing the customs clearance for the export commoditylshowing customs clearance number, the information of the goods, the contract number, and the voyage.lrequired when the goods are to be loaded SEIB OF GDUFS16Documents involved
17、after shipmentlMates Receipt (Specimen 8.10)issued and signed by the mate of the shipping vessel indicating that the goods have been loaded on board the vesselindicating that the goods have been received by the vessel for loading and can be exchanged for the on board Bill of Lading SEIB OF GDUFS17Do
18、cuments involved after shipmentlShipping Advice (Specimen 8.11)a notice of the shipment details issued by the carrier when goods are loaded on boardgiven by the seller (shipper) to the buyer (consignee) to notify that goods are loaded to facilitate the buyer to arrange insurance if applicable should
19、 be delivered to the buyer with no delay SEIB OF GDUFS18Documents involved after shipmentlBill of Lading (Specimen 5.1-5.2)Refer to Chapter 5 SEIB OF GDUFS19Insurance documentslInsurance Application Form (Specimen 6.1) to be filled out by the insured providing all information about the parties conce
20、rned and the shipment involved Refer to Chapter 6SEIB OF GDUFS20Insurance documentslInsurance policy (Specimen 6.2-6.3)the contract made between the insurer and the insuredRefer to Chapter 6SEIB OF GDUFS21Documents for bank negotiationlMain types Bill of exchange (B.E.) /draft (Specimen 7.1)Commerci
21、al invoice (Specimen 8.3)Packing list (Specimen 8.4)Certificate of origin Bill of lading (Specimen 5.1-5.2)Insurance policy (Specimen 6.2-6.3)lOther types of invoice that may be requiredConsular invoice Customs invoice SEIB OF GDUFS22Documents for bank negotiationlCertificate of Origin (Specimen 8.1
22、2) a document certifying the origin of the goods or the place/ country of manufacturinglTypes Certificate of Origin:the certificate of origin (C.O.)the Generalized System of Preferences Certificate of Origin (GSP Certificate of Origin) SEIB OF GDUFS23Other documents involvedlConsular Invoice (Specim
23、en 8.13)usually only obtainable from the importing countrys consulate in the exporting country, indicating by the seller or its agent a detailed description of the goods being shippedrequired by certain countries in order to compile statistics, control imports, collect import duties and check the or
24、igin of goods and the credit of the exporterSEIB OF GDUFS24Other documents involvedlCustoms Invoice (Specimen 8.14)one of the documents made out on a special form prescribed by the customs authorities of the importing countrymay include information required by the import Customs that is not stated o
25、n an ordinary commercial invoice.SEIB OF GDUFS258.4 Export documentslA Summary of export documents (Table 8.1)different types of documents are required at different stages of the export procedurea list (table) of document could be helpfullContents specified concerning the documents stipulation in a
26、sales contracttypesissuing authoritiesnumber of originals or copies.SEIB OF GDUFS268.4 Export documentslClause concerning documents in a sales contract: Signed commercial invoice in triplicate indicating the contract number.Full set (3/3) plus two copies of clean “on board” marine bill of lading mad
27、e out to order of XXX companyPacking list in duplicate, indicating gross weight and net weight, measurements and quantity of the package.Insurance Policy or Certificate in triplicate covering War Risk and All Risks irrespective of percentage for 110% of the invoice value. GSP certificate of origin Form A in duplicate issued by CIQ.SEIB OF GDUFS27
