Export/Import Procedures and Documentation by Thomas E. Johnson and Donna L. Bade

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Export/Import Procedures and Documentation, Revised and Updated, Fourth Edition
By Thomas E. Johnson and Donna L. Bade
Export/Import Procedures and Documentation

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
1. Industry Standards 20
2. Foreign Customs Laws 21
3. Government Contracting 21
4. Buy American Equivalent Laws 22
5. Exchange Controls and Import Licenses 22
6. Value-Added Taxes 22
7. Specialized Laws 22
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
1. Importance of Written Agreements 69
2. Email or Facsimile Orders 70
3. The Formation of Sales Agreements 70
4. Common Forms for the Formation of Sales Agreements 72
a. Price Lists 72
b. Requests for Quotations 72
c. Quotations and Costing Sheets 74
d. Purchase Orders 74
e. Purchase Order Acknowledgments and Acceptances and
Sales Confirmations 78
f. Pro Forma Invoices 82
g. Commercial Invoices 82
h. Conflicting Provisions in Seller and Buyer Sales Documentation 87
i. Side Agreements 90
B. Ongoing Sales Transactions 90
1. Correlation With Documentation for Isolated Sales Transactions 91
2. Important Provisions in International Sales Agreements 92
a. Selling and Purchasing Entities 92
b. Quantity 93
c. Pricing 93
d. Currency Fluctuations 95
e. Payment Methods 96
f. Export Financing 98
g. Security Interest 98
h. Passage of Title, Delivery, and Risk of Loss 101
i. Warranties and Product Defects 101
j. Preshipment Inspections 102
k. Export Licenses 103
l. Import Licenses and Foreign Government Filings 103
m. Governing Law 103
n. Dispute Resolution 105
o. Termination 107
C. Export Distributor and Sales Agent Agreements 107
1. Distinction Between Distributor and Sales Agent 107
2. Export Distributor Agreements 108
a. Territory and Exclusivity 109
b. Pricing 109
c. Minimum Purchase Quantities 112
d. Handling Competing Products 112
e. Effective Date and Government Review 113
f. Appointment of Subdistributors 113
g. Use of Trade Names, Trademarks, and Copyrights 113
h. Warranties and Product Liability 114
3. Export Sales Agent Agreements 114
a. Commissions 114
b. Pricing 117
c. Shipment 117
d. Warranties 117
e. Relationship of the Parties 117
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
1. Documentation From Buyer 215
2. License Application Form 218
3. Procedures 218
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
1. Foreign Export Controls 254
2. Exchange Control Licenses 255
3. Export Quotas 255
F. U.S. Customs Considerations 256
1. Utilization of Customs Brokers 256
2. Importation Bonds 259
3. Importer’s Liability and Reasonable Care 259
4. Application for Importer’s Number 262
5. Ports of Entry 262
6. Import Quotas 262
7. Antidumping, Countervailing, and Other Special Duties 267
8. Classification 268
9. Valuation 269
10. Duty-Free and Reduced Duty Programs 270
11. Column 2 Imports 271
12. Deferred Duty Programs (Bonded Warehousing and
Foreign Trade Zones) 271
13. Temporary Importations 272
14. Country of Origin 272
15. Assists 274
16. Specialized Products 274
17. Record-Keeping Requirements 275
18. Customs Rulings 275
G. Import Packing and Labeling 275
H. U.S. Commercial Considerations 276
1. Prevailing Market Price 276
2. Buy American Policies 277
3. U.S. Industry Standards 277
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
1. Importance of Written Agreements 293
2. Email or Facsimile Orders 294
3. The Formation of Purchase Agreements 294
4. Common Forms for the Formation of Purchase Agreements 295
a. Price Lists 296
b. Requests for Quotations and Offers to Purchase 296
c. Quotations 296
d. Purchase Orders 297
e. Purchase Order Acknowledgments and Acceptances and Sales
Confirmations 297
f. Commercial Invoices 298
g. Conflicting Provisions in Seller and Buyer Sales Documentation 298
h. Side Agreements 299
B. Ongoing Purchase Transactions 299
1. Correlation With Documentation for Isolated Purchase Transactions 300
2. Important Provisions in International Purchase Agreements 301
a. Purchasing and Selling Entities 301
b. Quantity 302
c. Pricing 302
d. Currency Fluctuations 304
e. Payment Methods 305
f. Import Financing 307
g. Security Interest 307
h. Passage of Title, Delivery, and Risk of Loss 308
i. Warranties and Product Defects 308
j. Preshipment Inspections 308
k. Export Licenses 309
l. Governing Law 309
m. Dispute Resolution 311
n. Termination 312
C. Import Distributor and Sales Agent Agreements 313
1. Distinction Between Distributor and Sales Agent 313
2. Import Distributor Agreements 313
a. Territory and Exclusivity 314
b. Pricing 314
c. Minimum Purchase Quantities 315
d. Handling Competing Products 315
e. Appointment of Subdistributors 315
f. Use of Trade Names, Trademarks, and Copyrights 315
g. Warranties and Product Liability 316
3. Import Sales Agent Agreements 316
a. Commissions 316
b. Pricing 317
c. Shipment 317
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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