Export Documentation - 21st February 2024

Welcome to the
WORLD OF EXPORT AND IMPORT
Version 18th, May-2023

This is for Education Purposes Only
Copyrights with iiiEM
The Foreign Trade Policy 2023
The iiiEM’s Course Curriculum is incorporated with Foreign Trade Policy
(FTP) – 2023 as declared on 31st March 2023. Where ever applicable, the
new FTP clauses are added.
Foreign Trade Policy – 2023 is available on the DGFT website, homepage.

Refer or download the FTP 2023 from the link below:
https://www.dgft.gov.in/CP/
Thank you

Today’s Session
• Introduction
• Export Documentation
• Documents for Sampling
• Pre Shipment Documents
• Post Shipment Documents
• Who & from where we get Documents required
• Documents under Letter of Credit
• Life Time Free Support Services by iiiEM

Export Documentation

Documentation Formats – Note:
iiiEM will help you understand all the
formats and their highlights.
Also, the documents needed for each
stage of Import and Export will be
explained with examples, online.

Documentati
on
• Importance of Documentation
• Proper documentation helps you and your overseas buyer in
handling your transactions by all means including time
management, payment protection, claim on loss, etc.
• Proper paperwork minimizes the risk of problems and
delays. Important points to remember are: make sure a
clearly written contract is drawn up between your company
and the buyer, including details of exactly where goods will be
delivered and responsibility through each part of the journey.
• Proper Paperwork keeps those who export within the
bounds of export compliance. To obtain specific approvals or
licenses for your products like Fresh Fruits and Vegetables,
medications, Chemicals, engineering products, etc.
Export Readiness
The below list prepares you for the Export Order. Please follow the points:
1. Evaluate the pros and cons of the Order

2. Get from the buyer the Purchase Order – P.O.
3. Get your IEC, GST, RCMC and any other permits, registrations, or approvals as
required.
4. Place Order with the Supplier. Ensure the Supplier get the production ready in
proper quantity and quality. Regularly check with the Supplier the progress of
your order.
5. Engage a Customs House agent and a Freight Forwarder.
6. Check the quality of the product before packing.
7. Prepare required documentation including but not limited to commercial
invoice, packing slip, shipper's instructions, certificate of origin, standards
documentation, health/sanitary certificates required.
8. Keep the packing, labeling, packing material, packaging, labeling, printing etc
ready
9. Keep your packing list ready.

EXPORT DOCUMENTATION
• You are requested to look at the Documents, formats, and
filled-up copies to prepare your documents.
Documentation Templates
Soft copies of documents can be downloaded from

– The student’s Portal under:
iiiEM Bonuses &
iiiEM Rewards

Understanding Invoices

1. Proforma Invoice
The first document in many cases is the Performa invoice, which will give
the buyer all the information about the item, price, delivery, payment
terms. etc.
2. Export Order/Purchase Order
Based on the Performa invoice, the buyer places the order with the
exporter, specifying their details and requirements, in the Purchase Order.
3. Commercial Invoice
Once the goods are packed and ready, a Commercial Invoice is prepared by
the exporter. The Customs counter signs it before shipping.
4. Packing List
If there is more than one item to be exported, a packing list, listing the
various items to be shipped, is mandatory.

5. Credit Insurance
Based on your Payment terms, get the buyer verified
and get your credit insurance from ECGC.
This is not a part of the Shipping. This is for your safety
and payment security. Take this Insurance before
dispatch.
6. Marine Insurance policy
This is required for the safety coverage of the goods
dispatched overseas. Take this Insurance before
dispatch.
7. Mate’s Receipt
Once the shipment is loaded into the carrier, the
Mate’s Receipt is issued, confirming the same. This is
optional.
Export Documentation
8. Certificate of Origin
A certificate of Origin is a notarized affidavit that indicates the place where the
goods are manufactured. These days, one can also get an e-Certificate of Origin
from the DGFT (https://coo.dgft.gov.in)
9. Payment Related Documents:
To remind the buyer of the payment-related documents like the Letter of Credit,
Bill of Exchange, etc.
10. Inspection/Quality check
An importer can insist on inspection or QC of the goods before shipping to verify
quality, as well as check for adherence to proper packing parameters. The
exporter should keep documents verifying such fulfillment ready as well.
Phyto-sanitary certificates and fumigation certificates
As per the product, phytosanitary, FSSAI, BIS, etc. certification or Lab test
reports are required for Product quality-related certificates.

11. Airway Bill (AWB) or Bill of Lading (BL)
An AWB or BL is issued by the carrier of the goods, after the FF hands over the
Mate’s Receipt to the carrier, a master AWB/BL is issued by the main carrier of
the goods while a House AWB/BL is issued by the freight forwarder.
12. FEMA Declaration for exporters

(This is in the shipping bill , this is not a separate document)
This declaration is a requirement as per the notifications of Indian customs,
indicating the exporter’s agreement to adhere to the tenets of the Foreign
Exchange Management Act (FEMA), 1999.
13. Shipping bill

This is a customs document which can be generated from the dedicated portal
electronically. All exporters must submit this document to acquire clearance for
exports from Customs.
14. Let Export Order (This is in the shipping bill, this is not a separate document)
The LEO is issued by the customs officer after the completion of export customs
clearance procedures. It is proof that all export customs formalities have been
completed. th
Version 18 , May-2023
FLOW OF DOCUMENTS & DELIVERY
Completion of Seller submits Seller’s Bank

Shipment documents to his forward
Seller bank documents to
Buyer makes
payment or accept Buyer’s bank Buyers Bank
draft advices to buyer
Buyers bank Buyer’s bank

makes payment releases documents Buyer submits B/L
or advices to buyer & makes to shipping
payment to sellers company
acceptance to
bank
sellers bank
Buyer
Port authority Buyer through CHA Shipping company

releases goods to submits delivery issues delivery
buyer order to Port order
authority
Sampling Documentation

SAMPLING
DGFT SITE Handbook of Procedures – FTP 2023
• 2.62 Import of Samples
• (a) No Authorization shall be required for the Import of Bonafede
technical and trade samples of items restricted in ITC (HS) except
vegetable seeds, bees, and new drugs. Samples of tea not exceeding
Rs.2000 (CIF) in one consignment shall be allowed without Authorization
by any person connected with the Tea industry.
• (b) Duty-free import of samples up to Rs.3,00,000 for all exporters shall be
allowed as per terms and conditions of Customs Notification.
• 2.63 Exports of Samples / Exhibits
• (a) Exports of bona fide trade and technical samples of freely exportable
items shall be allowed without any limit.
• (b) An application for the export of samples/exhibits, which are restricted
for export, may be made to DGFT as per ANF-2Q.
• https://www.dgft.gov.in/CP/# - Click on “View details”.
SAMPLING
Notes
While sending samples please follow the below guidelines;
1. Exact Specification as per buyer’s requirement
2. Exact Quantities as the buyer would like to have
3. Labeled Properly.
4. Must have to contain Product name, quality, ingredients,
quantity etc.,
5. Packed properly in Boxes or Bags
6. Prepare Sample Invoice
7. Choose the right and proper courier company to deliver
your product like DHL, TNT, Fedex, Aramex, Blue Dart
etc.
SAMPLING
Documents for Sending Samples to the buyer
2. Packing List
3. Proper packing &Packaging with labeling
4. If want the buyer is to pay for the sample, the invoice must
mention the exact amount as per your quotation with banking
details. Always get bank-to-bank payments.
5. If payment is not to be collected from the buyer, then the
invoice must have a token value mentioned – e.g., $ 2 (USD)
6. Mention on the invoice “Sample only. Not for
Commercial Sale”
7. Remember your sample is your marketing tool.

Pre-Shipment
Documentation

PRE SHIPMENT DOCUMENTS
1. Pro-Forma
Invoice
2. Letter of Credit / Or any other payment
document from the Buyer

3. GST Clearance Documents
- Commercial Invoice
- Packing List
- GST Invoice LUT* / G S T
*LUT will be covered later
- E-way Bill
PRE SHIPMENT DOCUMENTS
• Custom Clearance Documents
1. Shipping Bill
2. EVD - Export Value Declaration Form
3. Mention in your Commercial Invoice
a. Wish to Claim Duty Drawback
b. Wish to claim RODTEP Y
Without the above, one can not claim the Govt. benefits.

Post Shipment
Documentatio
n

POST SHIPMENT
DOCUMENTS
• Bill of Lading / Air way Bill / Lorry Receipt /
• Commercial Invoice
• Packing List
• Certification of Origin
• Insurance Policy
• Test Reports
• Quality Certificate
• Bill of Exchange
• Other Documents as per Letter of Credit or Sales
Contract

Post Shipment Documents

Who and Where to get the Documents

Documents For Letter
of Credit
If you have to submit as
an importer.

Documents required for a Letter of Credit-LC
• Shipping Bill of Lading.
• Airway Bill or Bill of Lading
• Commercial Invoice. With buyer’s P.O.
• Insurance Certificate
• Certificate of Origin.
• Packing List.
• Certificate of Inspection.
• Certificate of Quality of Products
To check if documents are compliant, banks examine the required documents based on:
• The terms and conditions of the documentary credit.
• The applicable rules of UCP 600.
• The applicable content of ISBP 745.
Version18March-2023
Version th, May-2023
This
Thisisis for
for Education Purposes
Education Purposes Only
Only
Documents under Various Payment Terms
Payment terms – finalized where Credit to the buyer is given like in the
case of:
1. Usance LC
2. Documents Under Collection – CAD / DP
3. Open Account / Documents against Acceptance – DA
You need the following documents

1. Bank Letter
2. Bill of Exchange
Submit a set of original documents to your bank in case of Payment from

the buyer is pending – Credit

Pro tips for
Documentation
1. Avail the services of a custom house agent who can ensure that
your customs and dispatch procedure is carried out smoothly
and speedily.
2. Do a thorough check of information you declare to avoid
mismatch of information between different documents.
3. To avoid confusion and delay, ensure you know ahead of time
which products are need to be tested and by which agencies.
4. Ensure Proper HS Code and its Description according to your
product
5. Ensure all quality of Product certificates, documents,
registrations, tests etc are done as per the importing norms of
the buyer’s country.
6. Be in constant contact with your CHA and FF for the dispatch of
goods without delay.
Important Note:
There can be slight variations in documentation depending on the Country.
As long as all the information is covered, that should be fine.
As per the formats given in the student’s portal of iiiEM,
please conform with the requirements of documents that are required.
Exporter’s Code is IEC – Please do not get confused.

Documents to Submit to the Bank – Generally
•The following documents are generally needed to be submitted to the exporter’s
bank for initiating the process of payment realization:
• Covering Letter to the bank
• Commercial Invoice
• Bill of Lading
• Certificate of Origin
• Dock Receipt or Warehouse Receipt or Airway Bill or Transport Bill
• Inspection Certificate
• Destination Statement
• Marine Insurance Certificate
• Export Packing List
• IEC Certificate
• The bank will send the Buyer’s Bank the above documents
• After the full payment is received – Realization Certificate is to be obtained from
your bank
• With this BRC (Bank Realization Certificate) you can claim the Government
Incentives and Benefits, as applicable.

End of Documentation Pre & Post Shipment

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Welcome to the

WORLD OF EXPORT AND IMPORT

Version 18th, May-2023

Foreign Trade Policy – 2023 is available on the DGFT website, homepage.

Version 18th, May-2023

Version 18th, May-2023

Version 18th, May-2023

Version 18th, May-2023

1. Evaluate the pros and cons of the Order

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Soft copies of documents can be downloaded from

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Version 18th, May-2023

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12. FEMA Declaration for exporters

13. Shipping bill

Completion of Seller submits Seller’s Bank

Buyers bank Buyer’s bank

Port authority Buyer through CHA Shipping company

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document from the Buyer

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• Certificate of Quality of Products

• The terms and conditions of the documentary credit.

• The applicable rules of UCP 600.

• The applicable content of ISBP 745.

You need the following documents

Submit a set of original documents to your bank in case of Payment from

Version 18th, May-2023

Version 18th, May-2023

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Version 18thth, May-2023

Version 18th, May-2023

Version 18th, May-2023

Technical Support https://bit.ly/iiiEM_iSupport_Registration_Form

Documents Format www.iiiem.in/documents.html

Version 18thth, May-2023

Join the Movement.

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