Export Documents — Required Paperwork & Compliance Guide
Every document exporters need: from AES filings and export licenses to EAR/ITAR controls, certificates of origin, and country-specific compliance requirements.
Why Export Documentation Matters
The U.S. Bureau of Industry and Security (BIS) enforces export controls through the Export Administration Regulations (EAR), while the Directorate of Defense Trade Controls (DDTC) administers ITAR for defense articles. Penalties for violations can reach $1 million per violation or 20 years imprisonment for willful ITAR violations.
Export compliance is not optional. Even for commercial goods, filing incorrect AES data, shipping to sanctioned entities, or exporting without required licenses can result in denial of export privileges — effectively shutting down your international business.
Core Export Documents
1. Commercial Invoice (Export)
Same document used for imports but from the seller's perspective. Must include: complete buyer/seller details, product description, HS codes (Schedule B in the US), quantity, value, Incoterm, and country of ultimate destination. Required for all commercial exports.
2. Shipper's Letter of Instruction (SLI)
Authorizes the freight forwarder to act as the exporter's agent and file AES/EEI on their behalf. Contains shipper details, consignee information, transportation details, and specific handling instructions. Not a government-mandated form but essential for freight forwarder authorization.
3. Packing List
Details the physical contents of each package: carton numbers, dimensions, weights (gross and net), and descriptions. Used by carriers for handling and by customs for inspection verification.
4. Bill of Lading / Air Waybill
The transport document issued by the carrier. For ocean freight, the B/L acts as title document and receipt of goods. For air, the AWB serves as contract of carriage. Mirrors the same document used on the import side.
5. Certificate of Origin
Certifies the country of manufacture. Required by many importing countries for preferential duty rates under FTAs. In the US, chambers of commerce issue non-preferential COOs; FTA-specific forms (EUR.1, USMCA COO, Form A for GSP) follow agreement-specific formats.
AES/EEI Filing — US Export Declaration
The Automated Export System (AES) is the U.S. Census Bureau's system for collecting export data. Exporters must file an Electronic Export Information (EEI) record through AES for:
- Shipments valued over $2,500 per Schedule B number to any country
- Any shipment requiring an export license (regardless of value)
- Shipments to countries subject to US sanctions or embargoes (regardless of value)
- Rough diamonds (Kimberley Process) and certain ITAR/EAR controlled items
EEI must be filed and accepted before the goods are exported. For vessel shipments: 24 hours before loading. For air: 2 hours before departure. For truck/rail to Canada/Mexico: 2 hours before arrival at the border. The ITN (Internal Transaction Number) returned by AES must be provided to the carrier.
Export Licenses & Controls (EAR/ITAR)
Not all goods can be freely exported. The US government controls exports through two main regulatory frameworks:
Administered by BIS (Commerce Dept). Controls dual-use commercial items via the Commerce Control List (CCL). Items are classified by ECCN (Export Control Classification Number). Most commercial goods are EAR99 (no license needed unless sanctioned end-user or country).
Administered by DDTC (State Dept). Controls defense articles and services on the US Munitions List (USML). Requires registration with DDTC and individual export licenses. Violations carry severe criminal penalties.
Determining if you need a license: Classify your product → Check the CCL/USML → Screen end-user against Denied Persons/Entity Lists → Check destination country against Commerce Country Chart → Apply for license if required.
Country-Specific Export Requirements
| Country | Export Requirements |
|---|---|
| 🇺🇸 United States | AES/EEI filing, Schedule B classification, EAR/ITAR screening, denied party screening, sanctions compliance (OFAC SDN list) |
| 🇪🇺 European Union | Export declaration via national systems, EU Dual-Use Regulation, EORI number, sanctions screening, phytosanitary certificates for food/agriculture |
| 🇬🇧 United Kingdom | Export declaration through CHIEF/CDS, UK Strategic Export Controls, OGEL licenses where applicable, UK sanctions list screening |
| 🇨🇳 China | Export license for restricted technologies, MOFCOM approval for dual-use items, customs declaration through China e-Port |
| 🇮🇳 India | Shipping Bill through ICEGATE, IEC (Import Export Code), DGFT approval for restricted items, GST export refund documentation |
Step-by-Step Export Process
- Classify your product: Determine the correct Schedule B / HS code and check if an ECCN applies. Use the AI HS Code Finder for automated classification.
- Screen the transaction: Check the buyer, end-user, and destination against restricted party lists (SDN, Entity List, Denied Persons). Use BIS Consolidated Screening List.
- Determine license requirements: Cross-reference ECCN + destination country on the Commerce Country Chart. Most commercial EAR99 goods don't need a license.
- Prepare documentation: Commercial invoice, packing list, SLI (if using a forwarder), COO if requested by buyer, and any product-specific certificates.
- File AES/EEI: Submit through AESDirect or your freight forwarder. Receive ITN and provide to carrier before export.
- Ship and retain records: Maintain all export records for 5 years from date of export (US requirement per 15 CFR §762). This includes all correspondence, contracts, and shipping documents.
Calculate Import Costs at Destination
Help your buyers understand duties and taxes they'll pay on arrival.
Open Calculator →