Imagine your cargo crossing oceans, nearly reaching its destination, only to be held up at customs due to a minor documentation issue. International ocean freight isn't simply about exchanging goods for payment—it operates within a rigorous documentation system. These documents serve as passports for your shipment, each one critical to ensuring smooth export, customs clearance, loading, and final delivery.
Ocean shipping documents fall into three categories: universal core documents (required for all shipments), customs-specific documents (essential for export declaration), and special cargo supplementary documents (for sensitive or regulated goods). Whether you're shipping full container loads (FCL) or less than container loads (LCL), the core documentation requirements remain fundamentally the same, with only minor operational differences.
I. The Indispensable Core Documents (6 Types): Your Cargo's "Identification"
These documents form the foundation of ocean shipping, accompanying your goods through booking, customs clearance, loading, and delivery. They function as your cargo's identification—information must remain perfectly consistent across all documents. Missing any one could result in your shipment being denied transport.
1. Booking Note (Shipping Order): The First Step in Ocean Shipping
Issued by: The shipper (you), with company seal or personal signature.
Primary function: Formal booking request to the shipping line or NVOCC (Non-Vessel Operating Common Carrier), who uses this information to allocate space and prepare subsequent documents.
Key requirements: Must contain accurate, complete information including:
- Complete consignee/notify party details (name, address, contact information)
- Container type/quantity
- Cargo description/HS code
- Packaging method
- Trade/transport terms (e.g., FOB, CIF)
- Estimated loading date
- Special handling requirements (e.g., telex release, trucking arrangements)
2. Commercial Invoice (CI): The "Value Certificate"
Issued by: The shipper.
Primary function: Establishes the commercial value and trade context for customs valuation, taxation, destination clearance, and foreign exchange settlement.
Key requirements: Must reflect true transaction details including:
- Consignee/shipper information (matching the booking note)
- Product description (in English and local language if required)
- Specifications/unit price/total value/currency
- Trade terms
- Payment terms
- Invoice number/date
Special note: Ensure price consistency and accurate value declaration to avoid customs valuation disputes.
3. Packing List (PL): The "Physical Examination Report"
Issued by: The shipper.
Primary function: Details packaging, quantities, weights, and dimensions for customs inspection, terminal operations, and cargo verification at destination. For LCL shipments, must specify each individual piece.
Key requirements: Must match commercial invoice and booking note, including:
- Total packages/gross weight/net weight/volume
- Per-item details (carton numbers, specifications, unit weights/volumes)
- Packaging method
Special note: LCL shipments require warehouse receipt numbers.
4. Bill of Lading (B/L): The "Title Document"
Issued by: Carrier for direct FCL bookings (Master B/L) or NVOCC for consolidated shipments (House B/L).
Primary function: Serves as receipt, contract of carriage, and document of title—the sole legal document for taking delivery at destination and transferring ownership.
Key requirements: All information must perfectly match other documents including:
- B/L type (original, telex release, or sea waybill)
- Vessel/voyage number
- Container/seal numbers
- Port of loading/discharge
- Freight payment terms
Special note: Original B/L requires carrier/NVOCC stamp; telex release requires surrender letter and release code.
5. Export Declaration: Customs "Notification"
Issued by: Customs broker based on shipper's data, confirmed with customs declaration seal, then submitted to generate official version.
Primary function: Legal declaration for export compliance verification, duty assessment/waiver, and export certification.
Key requirements: Must precisely include:
- HS code
- Product description
- Specifications
- Quantities
- Weights
- Values
- Trade method
- Importer/exporter customs registration numbers
Special note: All details must match commercial invoice/packing list; HS codes must accurately reflect product nature to avoid inspection delays.
6. Shipping Order (SO): Port Entry "Pass"
Issued by: Carrier/NVOCC after space confirmation.
Primary function: Sole authorization for warehouse delivery/container pickup and terminal loading operations.
Key requirements: Specifies:
- For FCL: Container yard location, customs/port cutoff times, return terminal
- For LCL: Consolidation warehouse address, latest delivery time, warehouse receipt number
Special note: Strictly observe all deadlines—late submissions void bookings.
II. Standard Supporting Documents (7 Types): Operational "Tools"
While not absolutely mandatory, these documents enhance compliance and operational efficiency. Their absence may cause processing delays.
1. Customs/Brokerage Authorization
Issued by: Shipper with company seal.
Function: Authorizes licensed brokers to handle clearance procedures.
2. Sales Contract
Issued by: Buyer and seller.
Function: Validates commercial transaction for customs valuation verification and trade dispute resolution.
3. Equipment Interchange Receipt (EIR)
Issued by: Carrier/container yard.
Function: Records container pickup/return conditions to prevent equipment damage disputes.
4. Seal Receipt
Issued by: Carrier, completed during loading.
Function: Verifies container integrity with seal numbers appearing on B/L and customs documents.
5. Weight/Volume Certification (When Required)
Issued by: Shipper or third-party inspectors.
Function: Validates actual measurements when discrepancies occur or customs requests verification.
6. Shipping Instructions (SI) Confirmation
Issued by: Carrier/NVOCC for shipper verification.
Function: Final B/L data confirmation to avoid amendment fees.
7. Destination Delivery Order (LCL Specific)
Issued by: Shipper/consignee.
Function: Authorizes NVOCC's destination agent to exchange House B/L for Master B/L.
III. Special Cargo Documents: Regulatory "Passports"
Regulated commodities require additional compliance documentation strictly verified by carriers and customs:
1. Dangerous Goods
- Dangerous Goods Declaration (DGD)
- Material Safety Data Sheet (MSDS)
- UN certification
- Packaging performance certificates
- Dangerous goods transport appraisal report
- Container packing certificate
2. Battery-Powered Devices
- UN38.3 test report (for lithium batteries)
- MSDS report
- Battery insulation proof
- Product compliance certificate
3. Food/Cosmetics/Health Products
- Distribution license
- Inspection/quarantine certificate (CIQ)
- Certificate of origin
- Sanitary/health certificate
- Ingredient analysis report
- Production/expiration date proof
4. Wood-Packaged Goods
- Fumigation/disinfection certificate (IPPC mark)
- Wood packaging quarantine certificate
5. Oversized/Heavy-Lift Cargo
- Dimensional/weight survey report
- Oversize transport permit
- Lashing/securing plan
- Terminal handling authorization
6. Branded/Patented Goods
- Brand authorization letter
- Patent documentation
- OEM manufacturing authorization (if applicable)
7. Refrigerated Cargo
- Container pre-cooling certificate
- Temperature control specifications
- Cold chain inspection report (for food items)
IV. FCL vs. LCL Documentation Differences
While core documents remain identical, operational documents differ:
- FCL-specific: Equipment interchange receipts, container pickup/return documents—no delivery order needed as carrier/NVOCC B/L suffices.
- LCL-specific: Warehouse receipt numbers, cargo tally sheets, destination delivery orders—no container handling documents as forwarder manages equipment.
- Detail level: LCL commercial invoices/packing lists require per-shipment details with consolidation container numbers; FCL shows total cargo only.
- B/L types: FCL obtains carrier or NVOCC B/L; LCL receives NVOCC House B/L exclusively.
V. Critical Operational Requirements
- Data consistency: All documents must identically reflect consignee/shipper details, product descriptions, HS codes, quantities/weights/dimensions, container/seal numbers, and ports—zero discrepancies permitted.
- Document-cargo alignment: Declared information must match physical goods—misdeclaration risks customs seizure or legal consequences.
- Signing/stamping standards: Formal documents require legally registered company stamps matching customs records; individuals must sign.
- Timely confirmation/retention: Respond to B/L amendments and booking confirmations within 24 hours. Retain all documents until delivery completion.
- Advanced preparation: Prepare core documents before booking; submit special cargo documents during booking for carrier review.
- Proper amendments: Submit formal written requests for document corrections—never make unauthorized changes.