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List of Figures xiii Foreword by Eugene J. Schreiber xvii Preface xix Acknowledgments xxi 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 13 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 18 E. Compliance With Foreign Law 19 1. Industry Standards 20 2. Foreign Customs Laws 20 3. Government Contracting 21 4. Buy American Equivalent Laws 21 5. Exchange Controls and Import Licenses 22 6. Value-Added Taxes 22 7. Specialized Laws 22 F. Export Controls and Licenses 22 G. Patent, Trademark, and Copyright Registrations and Infringements 23 H. Confidentiality and Non-Disclosures Agreements 23 I. Antiboycott Compliance 24 J. Employee Sales Visits to Foreign Countries-Immigration and Customs Compliance 24 K. Utilization of Freight Forwarders and Foreign Customs Brokers 28 L. Export Packing and Labeling (Hazardous Materials) 30 M. Terms of Sale 32 N. Consignments 36 0. Leases 36 P. Marine and Air Casualty Insurance 37 Q. Methods of Transportation; Booking Transportation 38 R. Country of Origin Marking 45 S. Foreign Warehousing and Free Trade Zones 45 T. Export Financing and Payment Insurance 45 U. Tax Incentives 46 V. Export Trading Companies, Export Trade Certificates of Review, and Export Management Companies 46 W. Translation 57 X. Foreign Branch Operations, Subsidiaries, Joint Ventures, and Licensing 57 Y. Electronic Commerce 57 Chapter 3. Exporting: Sales Documentation 60 A. Isolated Sales Transactions 60 1. Importance of Written Agreements 60 2. Telex or Facsimile Orders 61 3. The Formation of Sales Agreements 61 4. Common Forms for the Formation of Sales Agreements 63 a. Price Lists 63 b. Requests for Quotations 63 c. Quotations and Costing Sheets 65 d. Purchase Orders 65 e. Purchase Order Acknowledgments, Acceptances, and Sales Confirmations 70 f. Pro Forma Invoices 73 g. Commercial Invoices 81 h. Conflicting Provisions in Seller and Buyer Sales Documentation 81 i. Side Agreements 84 B. Ongoing Sales Transactions 84 1. Correlation With Documentation for Isolated Sales Transactions 85 2. Important Provisions in International Sales Agreements 86 a. Selling and Purchasing Entities 86 b. Quantity 87 c. Pricing 87 d. Currency Fluctuations 90 e. Payment Methods 90 f. Export Financing 92 g. Security Interest 95 h. Passage of Title, Delivery, and Risk of Loss 95 i. Warranties and Product Defects 95 j. Preshipment Inspections 96 k. Export Licenses 97 1. Import Licenses and Foreign Government Filings 97 m. Governing Law 97 n. Dispute Resolution 99 o. Termination 101 C. Export Distributor and Sales Agent Agreements 101 1. Distinction Between Distributor and Sales Agent 101 2. Export Distributor Agreements 103 a. Territory and Exclusivity 103 b. Pricing 106 c. Minimum Purchase Quantities 107 d. Handling Competing Products 107 e. Effective Date and Government Review 107 f. Appointment of Subdistributors 107 g. Use of Trade Names, Trademarks, and Copyrights 108 h. Warranties and Product Liability 108 3. Export Sales Agent Agreements 109 a. Commissions 109 b. Pricing 109 c. Shipment 112 d. Warranties 112 e. Relationship of the Parties 112 D. Foreign Corrupt Practices Act Compliance 112 Chapter 4. Exporting: Other Export Documentation 114 A. Freight Forwarder's Powers of Attorney 114 B. Shipper's Letters of Instructions 114 C. Commercial Invoices 116 D. Bills of Lading 118 E. Packing Lists 120 F. Inspection Certificates 120 G. Marine and Air Casualty Insurance Policies and Certificates 120 H. Dock and Warehouse Receipts 133 I. Consular Invoices 133 J. Certificates of Origin 133 K. Certificates of Free Sale 162 L. Delivery Instructions and Delivery Orders 162 M. Special Customs Invoices 162 N. Shipper's Declarations for Dangerous Goods 169 O. Precursor and Essential Chemical Exports 169 P. Animal, Plant, and Food Export Certificates 169 Q. Drafts for Payment 175 R. Letters of Credit 175 S. Shipper's Export Declarations 181 T. Freight Forwarder's Invoices 195 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 210 F. Ten General Prohibitions 210 G. License Exemptions and Exceptions 212 H. License Applications and Procedures 213 1. Documentation From Buyer 213 2. License Application Form 215 3. Procedures 223 L Re-Exports 223 J. Export Documentation and Record-Keeping 223 K. Special Comprehensive Licenses 225 L. Technology, Software, and Technical Assistance Exports 230 M. Violations and Penalties 232 N. Munitions and Arms Exports 232 Part III Importing: Procedures and Documentation 237 Chapter 6. Importing: Preliminary Considerations 239 A. Products 239 B. Volume 240 C. Country Sourcing 240 D. Identification of Suppliers 241 E. Compliance With Foreign Law 242 1. Foreign Export Controls 242 2. Exchange Control Licenses 242 3. Export Quotas 243 F. U.S. Customs Considerations 243 1. Utilization of Customs Brokers 243 2. Importation Bonds 244 3. Importer's Liability and Reasonable Care 250 4. Application for Importer's Number 250 5. Ports of Entry 250 6. Import Quotas 254 7. Antidumping, Countervailing, and Other Special Duties 255 8. Classification 256 9. Valuation 256 10. Duty-Free and Reduced Duty Programs 257 11. Column 2 Imports 258 12. Deferred Duty Programs (Bonded Warehousing and Foreign Trade Zones) 258 13. Temporary Importations 259 14. Country of Origin 260 15. Assists 260 16. Specialized Products 262 17. Record-Keeping Requirements 262 18. Customs Rulings 262 G. Import Packing and Labeling 262 H. U.S. Commercial Considerations 263 1. Prevailing Market Price 263 2. Buy American Policies 264 3. U.S. Industry Standards 264 L Terms of Purchase 264 J. Consignments 266 K. Leases 267 L. Marine and Air Casualty Insurance 267 M. Method of Transportation; Booking Transportation 268 N. Import Financing 268 O. Patent, Trademark, and Copyright Registrations and Infringements 268 P. Confidentiality and Non-Disclosure Agreements 269 Q. Payment 269 R. Translation 270 S. Foreign Branch Operations, Subsidiaries, Joint Ventures, and Licensing 270 T. Electronic Commerce 276 Chapter 7. Importing: Purchase Documentation 280 A. Isolated Purchase Transactions 280 1. Importance of Written Agreements 280 2. Telex or Facsimile Orders 281 3. The Formation of Purchase Agreements 281 4. Common Forms for the Formation of Purchase Agreements 282 a. Price Lists 283 b. Requests for Quotations and Offers to Purchase 283 c. Quotations 283 d. Purchase Orders 284 e. Purchase Order Acknowledgments, Acceptances, and Sales Confirmations 284 f. Commercial Invoices 285 g. Conflicting Provisions in Seller and Buyer Sales Documentation 285 h. Side Agreements 286 B. Ongoing Purchase Transactions 286 1. Correlation With Documentation for Isolated Purchase Transactions 287 2. Important Provisions in International Purchase Agreements 288 a. Purchasing and Selling Entities 288 b. Quantity 288 c. Pricing 289 d. Currency Fluctuations 291 e. Payment Methods 292 f. Import Financing 294 g. Security Interest 294 h. Passage of Title, Delivery, and Risk of Loss 294 i. Warranties and Product Defects 295 j. Preshipment Inspections 295 k. Export Licenses 296 1. Governing Law 296 m. Dispute Resolution 298 n. Termination 299 C. Import Distributor and Sales Agent Agreements 299 1. Distinction Between Distributor and Sales Agent 300 2. Import Distributor Agreements 300 a. Territory and Exclusivity 300 b. Pricing 301 c. Minimum Purchase Quantities 301 d. Handling Competing Products 301 e. Appointment of Subdistributors 302 f. Use of Trade Names, Trademarks, and Copyrights 302 g. Warranties and Product Liability 302 3. Import Sales Agent Agreements 303 a. Commissions 303 b. Pricing 303 c. Shipment 303 Chapter 8. Import Process and Documentation 305 A. Bills of Lading 305 B. Commercial Invoices 307 C. Pro Forma Invoices 307 D. Packing Lists 307 E. Inspection Certificates 309 F. Drafts for Payment 309 G. Arrival Notices 309 H. Pick-Up and Delivery Orders 309 L. Entry/Immediate Delivery 311 J. Entry Summary 311 K. Other Entries 317 L. Reconciliation 322 M. GSP, CBI, ATPA, AGOA-Special Programs 322 N. NAFTA Certificate of Origin 322 O. Specialized Products Customs Entry Forms 324 P. Examination and Detention 324 Q. Liquidation Notices 334 R. Notices of Redelivery 334 S. Requests for Reliquidation 334 T. Requests for Information 339 U. Notices of Action 339 V. Protests, Supplemental Information Letters, and Post-Entry Amendments 339 W. Administrative Summons 345 X. Search Warrants 345 Y. Grand Jury Subpoenas 350 Z. Seizure Notices 350 AA. Prepenalty Notices 353 BB. Penalty Notices 353 CC. Customs Audits 353 DD. Prior Disclosure 362 EE. Court of International Trade 365 FF. Appeals 365 GG. Offers of Compromise 365 HH. ITC and Commerce Questionnaires 372 Part IV Specialized Exporting and Importing 373 Chapter 9. Specialized Exporting and Importing 375 A. Drawback 375 B. Foreign Processing and Assembly Operations 382 C. Plant Construction Contracts 385 D. Barter and Countertrade Transactions 387