| Document | What it shows | Usually issued by | Check |
|---|---|---|---|
| Commercial invoice | The goods, quantity, price and terms of sale | The seller | Matches the contract and the credit, if there is one |
| Bill of lading | Receipt of the cargo on board and the contract of carriage; it can be a document of title | The carrier or its agent | Shipped on board date, cargo description, load and discharge ports |
| Certificate of origin | Where the goods come from | An authority or chamber of commerce, depending on the country | Origin matches the invoice and any import requirement |
| Weight certificate | The shipped weight, normally from a draft survey | An independent inspector, as named in the contract | Weight matches the invoice and the bill of lading |
| Assay or quality certificate | The assay of the shipped cargo and its moisture | An independent laboratory or inspector, as named in the contract | Sampling standard, the elements covered, and the sample basis |
| Shipper's declaration | Cargo properties, with moisture content and transportable moisture limit for Group A cargoes | The shipper | Moisture is below the limit and consistent with the assay certificate |
A guide to the usual set. Which documents are required depends on the contract, the letter of credit, the export and import countries and the cargo.
The core documents
Export guides consistently name three documents as the core set that buyers, customs and banks rely on: the commercial invoice, the certificate of origin and the bill of lading. The invoice carries the price, a packing list or weight document records quantities and weights, and the bill of lading is issued by the carrier once the cargo has been loaded.
Documents specific to bulk ore
Because bulk ore is weighed by draft survey and sold on assay, the contract normally requires independent weight and assay certificates from a neutral inspector. Sampling follows a written standard, for example ISO 4296 for manganese ore, and settlement of any assay dispute follows the contract's assay exchange and umpire provisions.
For cargoes that can liquefy, the IMSBC Code requires the shipper to give the master a declaration with the cargo's moisture content and transportable moisture limit before loading, and for Group A cargoes a signed certificate of each. Iron ore fines, nickel ore and mineral concentrates are examples of cargoes in that group.
Why consistency matters
Customs and banks compare documents with each other. A different quantity, value, description or code between the invoice and the shipping document triggers queries and delay, and under a letter of credit it can be treated as a discrepancy that stops payment. Prepare the documents together and check the same facts in each: the cargo description, the quantity, the dates, the parties' names and the ports.
Permits and licences
Documents prove what was shipped. Permission to ship it is separate. Some countries restrict or ban exports of raw ore, so a seller should hold any export licence or permit the origin country requires before the cargo is loaded, and a buyer should ask to see it. See the guide to raw ore export restrictions.
Frequently asked questions
What documents are needed to export ore?
The core set is the commercial invoice, the bill of lading and the certificate of origin. For bulk ore, add weight and assay certificates from an independent inspector, and for cargoes that can liquefy, a shipper's declaration with moisture content and transportable moisture limit. Any export licence required by the origin country is also needed.
What does a bill of lading prove?
That the carrier received the cargo on board, and the terms of carriage. It can also act as a document of title, which is why it is central to a letter of credit presentation.
Who issues the assay certificate?
As the contract says. It is usually an independent inspector or laboratory, so that neither buyer nor seller controls the result.
What is a shipper's declaration?
A statement the shipper gives the ship's master before loading, describing the cargo. For cargoes that can liquefy it includes the moisture content and transportable moisture limit.
Why do document mismatches cause delay?
Customs and banks compare the documents. A difference in quantity, value or description raises a query, and under a letter of credit it can be a discrepancy that stops payment.
Sources
- UK MCA Marine Guidance Note 511 (IMSBC Code shipper's documents)
- Hill Dickinson: cargo liquefaction and Group A or Group C classification
- Idaho Department of Commerce: exporter documentation
- Winvesta: bill of lading, certificate of origin and commercial invoice explained
- ISO 4296-1:1984 Manganese ores: increment sampling
Specifications published by index providers are revised over time. Where a figure comes from a pricing notice, confirm the version currently in force with the publisher before you use it in a contract. Corrections are welcome.