Export/Import Procedures and Documentation / Edition 4

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Overview

Hundreds of factors combine to determine exactly how you import or export goods. Where are they coming from or going? What are they made of? What are they used for, and by whom? And because every import or export scenario is unique, you need to make sure you account for every detail, lest you make errors that could cost your business time, money, licenses, reputation, and more.

This newly revised and fully updated edition of Export/ Import Procedures and Documentation is designed to address nearly every conceivable set of circumstances involving international trade—and protect your business legally and financially. Chock full of sample documents, brand new legal information, and situation-specific procedures, the book gives you the power to:

Exploit new online resources, including government agency websites

Use the Internet to file forms, speed supply chain processes, and more

Navigate increased security and new enforcement structures resulting from recent well-publicized import problems

Keep better records and gain compliance company-wide

Protect trademarks and copyrights overseas

Interpret currency fluctuations when pricing or evaluating goods

Identify trustworthy and compliant suppliers

The book also covers in-depth how to create, keep, and file purchase and sale documents, certificates of origin, and dozens of other process documents, as well as how to leverage opportunities that may be unique to your product or industry. The dozens of sample documents and forms include bills of lading, notices of action, penalty and seizure notices, customs forms, purchase agreements, sample contracts, commercial and consular invoices, inspection certificates, letters of credit, and much more.

A trusted reference since the first edition was published nearly two decades ago, Export/Import Procedures and Documentation covers every conceivable situation you’re likely to encounter in the global trade arena. Don’t leave port without it.

This comprehensive guidebook will help anyone conduct international business by showing the ins and outs of importing and exporting, shipping, insurance, banks, currency exchange, contracts, customs, and transportation. This guide also covers the impact of NAFTA, the European Economic Community treaty, and political changes in Russia and other Eastern European countries. Includes over 100 samples of essential documents with easy, step-by-step instructions.

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Editorial Reviews

Booknews
The fourth edition of the reference for export/import professionals is revised to include new forms and instructions, new US Customs Service checklists, and new Automated Export System procedures. It overviews the entire export/import process and provides ready-to-use forms with instructions, cost-saving shortcuts, and tips on building a better operation. A training manual for new employees is included, plus a quick course on advanced techniques for more experienced professionals. There is also a glossary of 250 international trade terms. New to this edition is a section on e-commerce in international marketing, listings for export and import software, and a list of Web sites for 94 export and import agencies and information sources. Johnson is a partner in an international trade law firm. Annotation c. Book News, Inc., Portland, OR (booknews.com)
Booknews
This combination desktop reference, training manual, and resource for some 100 forms and documents pertinent to import/export business matters is updated (last edition, 1994) to cover new regulations and protocols. The volume's nine chapters are divided into four major sections: organizing for export and import operations; procedures and documentation for exporting; procedures and documentation for importing; and specialized exporting and importing. Abundant appendices list pertinent rules, agreements, and other documents. Annotation c. by Book News, Inc., Portland, Or.
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Product Details

  • ISBN-13: 9780814415504
  • Publisher: AMACOM
  • Publication date: 3/26/2010
  • Edition description: REVISED AND UPDATED FOURTH EDITION
  • Edition number: 4
  • Pages: 640
  • Sales rank: 610,485
  • Product dimensions: 9.00 (w) x 11.00 (h) x 1.90 (d)

Meet the Author

THOMAS E. JOHNSON is a former partner in the law firms of Baker & McKenzie and Sandler, Travis & Rosenberg P.A. He has been appointed five times by the U.S. Secretary of Commerce to the Illinois District Export Council, and is a past president of the International Trade Club of Chicago.

DONNA L. BADE is the managing partner of the Chicago office of Sandler, Travis & Rosenberg, P.A, an international trade law firm. She has taught Import and Export Trade Law at The John Marshall Law School and is a speaker on issues related to importing and exporting.

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Read an Excerpt

Chapter 1

Organizing for Export and

Import Operations

Smooth, efficient, and compliance-oriented (and, therefore a profitable) exporting or importing requires that certain personnel must have specialized knowledge. The personnel involved and their organization vary from company to company, and sometimes the same personnel have roles in both exporting and importing. In small companies, one person may perform all of the relevant functions, while in large companies or companies with a large amount of exports or imports, the number of personnel may be large.

In addition, as a company decides to perform in-house the work that it previously contracted with outside companies (such as customs brokers, freight forwarders, consultants a packing companies, and others) to perform, the export/import department may grow. As business increases a specialties may develop within the department, and the duties performed by any one person may become narrower.

A. Export Department

For many companies, the export department begins in the sales or marketing department. That department may develop leads or identify customers located in other countries. Inquiries or orders may come from potential customers through the company’s web site where the destination is not identified. When such orders come in, the salespeople need to determine what steps are different from its domestic sales in order to fill those export orders. Often the exporter’s first foreign sales are to

Canada or Mexico. Because the export order may require special procedures in manufacturing, credit checking a insuring, packing, shipping, and collection, it is likely that a number of people within the company will have input on the appropriate way to fill the order. As export orders increase (for example, as a result of an overseas distributor having been appointed or through an expansion of Internet sales), the handling of such orders should become more routine and the assignment of the special procedures related to an export sale should be given to specific personnel. It will be necessary to interface with freight forwarders, couriers, banks, packing companies, steamship lines, airlines, translators, government agencies, domestic transportation companies, and attorneys. Because most manufacturers have personnel who must interface with domestic transportation companies (traffic or logistics department), often additional personnel will be assigned to that department to manage export shipments and interface with other outside services. Some of this interface, such as with packing companies and steamship lines, and possibly government agencies and banks, may be handled by a freight forwarder. The number of personnel needed and the assignment of responsibilities depend upon the size of the company and the volume of exports involved.

A chart for a company with a large export department is shown in Figure 1–1. The way in which an export order is processed at the time of quotation, order entry, shipment a and collection is shown in Figures 1–2, 1–3, 1–4, and 1–5 a respectively. Smaller companies will combine some of these functions into tasks for one or more persons.

B. Import Department

A manufacturer’s import department often grows out of the purchasing department, whose personnel have been assigned the responsibility of procuring raw materials or components for the manufacturing process. For importers or trading companies that deal in finished goods, the import department may begin as the result of being appointed as the U.S. distributor for a foreign manufacturer or from purchasing a product produced by a foreign manufacturer that has U.S. sales potential. Because foreign manufacturers often sell their products ex-factory or

FOB plant, a U.S. company that intends to import such products must familiarize itself with ocean shipping a insurance, U.S. Customs clearance, and other procedural matters. Increasingly, a number of U.S. manufacturers are moving their manufacturing operations overseas to cheaper labor regions and importing products they formerly manufactured in the United States. That activity will also put them in contact with foreign freight forwarders, U.S. customs brokers, banks, the U.S.

Customs and Border Protection, marine insurance companies, and other service companies.

C. Combined Export and Import Departments

In many companies, some or all of the functions of the export and import departments are combined in some way.

In smaller companies, where the volume of exports or imports does not justify more personnel, one or two persons may have responsibility for both export and import procedures and documentation. As companies grow larger or the volume of export/import business increases, these functions tend to be separated more into export departments and import departments. However, because both departments may end up being in contact with some of the same outside parties (such as banks, those freight forwarders that are also customs brokers, or domestic transportation companies), some of these activities may be consolidated in specific persons for both export and import, while other personnel will work exclusively on exports or on imports. A diagram of the interrelationships between the export and import personnel in the company and outside service providers is shown in

Figure 1–6.

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Table of Contents

Contents

Foreword by Eugene J. Schreiber xi

Preface xiii

Acknowledgments xv

About the Authors xvi

Part I: Organizing for Export and Import Operations 1

Chapter 1. Organizing for Export and Import Operations 3

A. Export Department 3

B. Import Department 4

C. Combined Export and Import Departments 4

D. Manuals of Procedures and Documentation 8

E. Record-Keeping Compliance 9

F. Software 14

G. Federal, State, International, and Foreign Law 14

Part II: Exporting: Procedures and Documentation 15

Chapter 2. Exporting: Preliminary Considerations 17

A. Products 17

B. Volume 18

C. Country Market and Product Competitiveness Research 18

D. Identification of Customers: End Users, Distributors, and

Sales Agents 19

E. Compliance With Foreign Law 19

F. Export Controls and Licenses 23

G. Patent, Trademark, and Copyright Registrations and Infringements 23

H. Confidentiality and Non-Disclosures Agreements 24

I. Antiboycott Compliance 24

J. Employee Sales Visits to Foreign Countries—Immigration and Customs Compliance 25

K. Utilization of Freight Forwarders and Foreign Customs Brokers 25

L. Export Packing and Labeling (Hazardous Materials) 34

M. Terms of Sale 42

N. Consignments 46

O. Leases 46

P. Marine and Air Casualty Insurance 47

Q. Methods of Transportation; Booking Transportation 48

R. Country of Origin Marking 49

S. Foreign Warehousing and Free Trade Zones 50

T. Export Financing and Payment Insurance 50

U. Tax Incentives 51

V. Export Trading Companies, Export Trade Certificates of Review, and

Export Management Companies 51

W. Translation 66

X. Foreign Branch Operations, Subsidiaries, Joint Ventures, and Licensing 66

Y. Electronic Commerce 66

Chapter 3. Exporting: Sales Documentation 69

A. Isolated Sales Transactions 69

B. Ongoing Sales Transactions 90

C. Export Distributor and Sales Agent Agreements 107

D. Foreign Corrupt Practices Act Compliance 118

Chapter 4. Exporting: Other Export Documentation 119

A. Freight Forwarder’s Power of Attorney 119

B. Shipper’s Letters of Instructions 122

C. Commercial Invoices 122

D. Bills of Lading 124

E. VOCCs and NVOCCs 126

F. Packing Lists 132

G. Inspection Certificates 132

H. Marine and Air Casualty Insurance Policies and Certificates 132

I. Dock and Warehouse Receipts 135

J. Consular Invoices 135

K. Certificates of Origin 135

L. Certificates of Free Sale 158

M. Delivery Instructions and Delivery Orders 165

N. Special Customs Invoices 165

O. Shipper’s Declarations for Dangerous Goods 165

P. Precursor and Essential Chemical Exports 176

Q. Animal, Plant, and Food Export Certificates 176

R. Drafts for Payment 176

S. Letters of Credit 180

T. Electronic Export Information 181

U. Freight Forwarder’s Invoices 194

V. Air Cargo Security and C-TPAT 194

1. Air Cargo Security 194

2. Customs and Trade Partnership Against Terrorism (C-TPAT) 196

Chapter 5. Export Controls and Licenses 197

A. Introduction 197

B. Scope of the EAR 198

C. Commerce Control List 198

D. Export Destinations 203

E. Customers, End Users, and End Uses 211

F. Ten General Prohibitions 212

G. License Exemptions and Exceptions 213

H. License Applications and Procedures 215

I. Re-Exports 224

J. Export Documentation and Record-Keeping 224

K. Special Comprehensive Licenses 227

L. Technology, Software, and Technical Assistance Exports 231

M. Validated End-User Program 232

N. Violations and Penalties 233

O. Munitions and Arms Exports 233

Part III: Importing: Procedures and Documentation 249

Chapter 6. Importing: Preliminary Considerations 251

A. Products 251

B. Volume 252

C. Country Sourcing 252

D. Identification of Suppliers 253

E. Compliance With Foreign Law 254

F. U.S. Customs Considerations 256

G. Import Packing and Labeling 275

H. U.S. Commercial Considerations 276

I. Terms of Purchase 277

J. Consignments 279

K. Leases 280

L. Marine and Air Casualty Insurance 280

M. Method of Transportation; Booking Transportation 280

N. Import Financing 281

O. Patent, Trademark, and Copyright Registrations and Infringements 281

P. Confidentiality and Non-Disclosure Agreements 282

Q. Payment 282

R. Translation 283

S. Foreign Branch Operations, Subsidiaries, Joint Ventures, and Licensing 283

T. Electronic Commerce 289

Chapter 7. Importing: Purchase Documentation 293

A. Isolated Purchase Transactions 293

B. Ongoing Purchase Transactions 299

C. Import Distributor and Sales Agent Agreements 313

Chapter 8. Import Process and Documentation 318

A. Importer Security Filing and the 10+2 Program 318

B. Bills of Lading 319

C. Commercial Invoices 319

D. Pro Forma Invoices 321

E. Packing Lists 321

F. Inspection Certificates 321

G. Drafts for Payment 323

H. Arrival Notices 323

I. Pickup and Delivery Orders 323

J. Entry/Immediate Delivery 323

K. Entry Summary 324

L. Other Entries 328

M. Reconciliation 333

N. GSP, ATPA, AGOA—Special Programs 333

O. NAFTA/Other FTA Certificates of Origin 336

P. Specialized Products Import Entry Forms 336

Q. Examination and Detention 338

R. Liquidation Notices 338

S. Notices of Redelivery 350

T. Post Entry Amendment 350

U. Requests for Information 350

V. Notices of Action 354

W. Protests 354

X. Administrative Summons 359

Y. Search Warrants 367

Z. Grand Jury Subpoenas 367

AA. Seizure Notices 367

BB. Prepenalty Notices 367

CC. Penalty Notices 370

DD. Customs Audits 382

EE. Prior Disclosure 385

FF. Court of International Trade 385

GG. Appeals 385

HH. Offers of Compromise 392

II. ITC and Commerce Questionnaires 392

Part IV: Specialized Exporting and Importing 393

Chapter 9. Specialized Exporting and Importing 395

A. Drawback 395

B. Foreign Processing and Assembly Operations 402

C. Plant Construction Contracts 407

D. Barter and Countertrade Transactions 407

Appendix A. Exporter Assistance 409

Appendix B. International Sales Agreement (Export) 415

Appendix C. Federal Register Notice: Mandatory AES 421

Appendix D. Informed Compliance: Reasonable Care 466

Appendix E. Harmonized Tariff Schedule (Excerpts) 482

Appendix F. International Purchase Agreement (Import) 496

Appendix G. Automated Commercial Environment (ACE) 502

Appendix H. Guidance on Internet Purchases 544

Appendix I. Regulatory Audit Questionnaires 553

Appendix J. Export/Import–Related Websites 560

Appendix K. Steel License Information 566

Glossary of International Trade Terms 588

Index 614

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