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Mdm Inilza

on 1 February 2016

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Explain the importance of documentation
Categorize the export and import documents
Define the type of export and import document
Chapter Learning Outcome
Easy to exporter and importer in making delivery revision
Help exporter and importers analyze sales performance
Provide information for estimate budget
Assisting countries control inflow and outflow of the product

Categories of Export & Import Documents
1) Proforma Invoice
2) Trade Invoice (Commercial Invoice)
3) Consular Invoice
4) Cargo Insurance Certificate
5) Export and Import Permit
6) Packing List
7) Certificate Of Origin
8) Health & Safety Certificate
9) Consignment Notes
10) Airway Bill
11) Bill of Lading
Importance of Documentation in Export & Import
1) Trade Documents
Documents under this category is document that required to support information related to product that is exported or imported. Example: Trade Invoice
2) Contract Documents
Documents under this category is document which states authority and responsibility of party which manages export and import process. Example: Bill Of Lading
3) Official Requirement Documents
Documents under this category is document needed by the authorities a country for control objective go in and out product into the country those involved . Example: Custom Form
An abridged or estimated invoice sent by a seller to a buyer in advance of a shipment or delivery of goods.
It notes the kind and quantity of goods, their value, and other important information such as weight and transportation charges.
Pro-forma invoices are commonly used as preliminary invoices with a quotation, or for customs purposes in importation.
They differ from a normal invoice in not being a demand
or request for payment.
Pro-forma Invoice
A non-negotiable commercial instrument issued by a seller to a buyer. It identifies both the trading parties and lists, describes, and quantifies the items sold, shows the date of shipment and mode of transport, prices and discounts (if any), and delivery and payment terms.
In certain cases (especially when it is signed by the seller or seller's agent), an invoice serves as a demand for payment and becomes a document of title when paid in full. Types of invoice include commercial invoice, consular invoice, customs invoice, and pro forma invoice. Also called a bill of sale or contract of sale.

Commercial Invoice
Commercial invoice visaed (sighted, signed, and stamped) by the consul of the importing country resident in the exporting country.
It serves to exercise control over imports, and help prevent over- and under-invoicing.
Consular Invoice
Document issued by an insurance company, it certifies that an insurance policy has been bought and shows an abstract of the most important provisions of the insurance contract. But it is not a substitute for the actual policy, and is normally a non-negotiable document-it cannot be assigned to a third party, and is unacceptable under the terms of a letter of credit and in making a claim. In life and health insurance a COI is issued to the members of a group insurance plan, evidencing their participation. In marine insurance (where cargo is insured against a floating insurance policy) COI serves to assure the consignee that insurance is in effect for the goods in transit and a proper policy will follow. Also called insurance certificate.
Cargo insurance certificate
Export control document issued by a government agency to monitor the export of sensitive technologies (such as advanced computer chips, encryption-decryption software), prohibited materials (drugs, genetically-modified plants), dangerous materials (explosives, radioactive substances), strategic materials (uranium, advanced alloys), or goods in short supply in the home market (foodstuffs, raw materials).

Permit that allows an importer to bring in a specified quantity of certain goods during a specified period (usually one year). Import licenses are employed (1) as means of restricting outflow of foreign currency to improve a country's balance of payments position; (2) to control entry of dangerous items such as explosives, firearms, and certain substances; or (3) to protect the domestic industry from foreign competition. See also import restrictions.

Export & Import permit
Itemized list of articles usually included in each shipping package, giving the quantity, description, and weight of the contents. Prepared by the shipper and sent to the consignee for accurate tallying of the delivered goods. Also called bill of parcels, packing slip, or unpacking note.

Packing List

Document that certifies a shipment's country of origin. It is used between members of a trading block or where special privileges are granted to goods produced in certain countries. Certificate of origin is commonly issued by a trade promotion office, or a chamber of commerce in the exporting country. Also called declaration of origin.
Certificate of Origin
Formal document issued by an exporting country's agricultural authorities to verify a shipment has been inspected and is free from harmful pests and plant diseases.

An authenticated document, issued by an appropriate authority, that certifies the quality and purity of pharmaceuticals, and animal and plant products being exported.

Health & Safety Certificate
Document prepared by a consignor and countersigned by the carrier as a proof of receipt of consignment for delivery at the destination. Used as an alternative to bill of lading (especially in inland transport), it is generally neither a contract of carriage nor a negotiable instrument.
Consignment Notes
An air waybill (AWB) or air consignment note is a receipt issued by an international airline for goods and an evidence of the contract of carriage, but it is not a document of title to the goods. Hence, the air waybill is non-negotiable.

The air waybill is the most important document issued by a carrier either directly or through its authorised agent. It is a non-negotiable transport document. It covers transport of cargo from airport to airport.

Air Waybill

1) Bill of Lading
2) Letter of Credit

Bill of Lading

A bill of lading (sometimes abbreviated as B/L or BoL) is a document issued by a carrier which details a shipment of merchandise and gives title of that shipment to a specified party.

Bills of lading are one of three important documents used in international trade to help guarantee that exporters receive payment and importers receive merchandise.
The word "lading" means "loading", both words being derived from the Old English word hladan. "Lading" specifically refers to the loading of cargo aboard a ship. (However, "Bills of Lading" should never be called "Bills of Loading").
Uses of the bill of lading
As a receipt
As evidence of the contract of carriage.
As title
As a negotiable document
A straight bill of lading is used when payment has been made in advance of shipment and requires a carrier to deliver the merchandise to the appropriate party.

An order bill of lading is used when shipping merchandise prior to payment, requiring a carrier to deliver the merchandise to the importer, and at the endorsement of the exporter the carrier may transfer title to the importer.
Types of Bills of Lading
Types of Bills of Lading
Received for shipment bill of lading
On board bill of lading
On deck bill of Lading
Clean bill of lading
Claused bill of lading
Order bill of lading
Straight bill of lading
Stale bill of lading
Third party bill of lading
House bill of lading

Letter of Credit
A letter of credit is a document from a bank guaranteeing that a seller will receive payment in full as long as certain delivery conditions have been met.
For this reason the use of letters of credit has become a very important aspect of international trade.
The bank that writes the letter of credit will act on behalf of the buyer and make sure that all delivery conditions have been met before making the payment to the seller.
Types of Letter of Credit
• Revocable — The buyer and the bank that established the LC are able to manipulate the LC or make corrections without informing or getting permissions from the seller. .
• Irrevocable — Any changes (amendment) or cancellation of the LC (except it is expired) is done by the applicant through the issuing bank. It must be authenticated and approved by the beneficiary.

Customs Form
Customs Forms
Definition : All imported or exported goods, both dutiable or nondutiable, must be declared in the precribed form and be submited to the customs station at the place of import / export
Used by traders on behalf of licensed manufacturer.
Form 5A
Form 5B
between licenced manufacturer.
Used for further processing (sub-contract)
Electronic data interchange (EDI) is an electronic communication method that provides standards for exchanging data via any electronic means. By adhering to the same standard, two different companies, even in two different countries, can electronically exchange documents (such as purchase orders, invoices, shipping notices, and many others).
EDI System
EDI provides a technical basis for commercial "conversations" between two entities, either internal or external. EDI constitutes the entire electronic data interchange paradigm, including the transmission, message flow, document format, and software used to interpret the documents. EDI standards describe the rigorous format of electronic documents.
Standardization of EDI System
Used where the goods arrive at the port of departure before the ship does. Serves only as a receipt for goods accepted for shipment and does not certify their placement aboard the vessel.

A B/L certifying that the goods have been received in good order and in a good condition from the shipper and have been put aboard the right vessel on the right date.

On a bill of lading, this notation refers to goods carried on the deck (i.e. not in the hold), exposing the goods to water damage from rain and the sea.

B/L with no adverse remarks or notations, called 'clauses', made by the shipping firm about the condition, packaging, or quantity of the goods being shipped. Importers and their banks typically require a clean B/L for payment under a letter of credit. Refer also to foul bill of lading.

B/L documenting carrier issues with the goods to be shipped. These adverse remarks or notations are known as 'clauses'. Issues with the goods or its packaging are varied. Examples: look wet, damaged, or in dubious condition, or incorrect quantity. Deemed unacceptable for payment under a letter of credit. Importers and their banks typically will not handled or pay for such goods. Known also as claused bill of lading, dirty bill of lading, or unclean bill of lading.

Transferrable B/L from consignee to another party by signing, called endorsing, and delivering it to that other party, who becomes the new consignee. The new consignee can then transfer the instrument to another party … and so on. A B/L is negotiable if written, or drawn, ‘To Order’ of the consignee and must be clean. Any B/L failing to fulfill these two conditions is termed non-negotiable.

Not negotiable bill as goods are paid or don't need payment such as a donation. Identification needed on delivery. Also known as consignment bill of lading.


One presented at a bank or to the consignee more than 21 days after the date of arrival of the shipment.

A third-party BL is one where cartage is being paid for by an entity not the shipper or the transportation company. Usually, the third party is an account at a bank.
When the goods have been booked with a freight forwarder by sea, a carrier issues receipts of goods which is called House Bill of Lading (HBL). In turn, freight forwarder books the cargo with vessel owner and collects Master Bill of Lading (MBL) or Groupage Bill of Lading. In a Master Bill of Lading, there can be more than one consignment. Once the cargo reaches at destination, the associate office of freight forwarder delivers cargo to the final consignee.
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