Export Documentation Checklist
Export Documentation Checklist for Forklift Shipments
1. Why paperwork stops shipments
A forklift can be built, tested, packed and loaded, and still sit at the port because one document is missing or inconsistent. Documentation problems are rarely about complexity; they are almost always about a detail that no one checked, or a mismatch between two documents that were prepared by different people.
This checklist is written for importers, distributors and procurement teams buying forklifts from China, and for exporters preparing shipments.
It is general guidance. Requirements vary by destination country, by product, and by the terms of sale. Always confirm against your own customs broker's requirements before shipping.
2. The core document set
| Document | Purpose | Who issues it |
|---|---|---|
| Commercial invoice | Declares value and terms | Seller |
| Packing list | Describes contents, weights, dimensions | Seller |
| Bill of lading (B/L) | Contract of carriage, title document | Shipping line |
| Certificate of origin | Confirms country of origin, may reduce duty | Chamber of commerce or authorised body |
| Sales contract or proforma invoice | Basis of the transaction | Both parties |
| Insurance certificate | Required under CIF terms | Insurer |
These six are present in nearly every shipment. The rest depend on the destination and the product.
3. Certificates of origin and preference
Which certificate applies depends on where the goods are going.
| Document | Applies to | Benefit |
|---|---|---|
| General CO | Any destination | Confirms origin; no duty preference |
| Form A | GSP beneficiary countries | Reduced or zero duty where GSP still applies |
| Form E | ASEAN countries | ACFTA preferential tariff |
| Form B | Asia-Pacific Trade Agreement members | APTA preferential tariff |
| Form F | Chile | China-Chile FTA |
| Form R | Australia | ChAFTA |
| Form P | Pakistan | China-Pakistan FTA |
| Other FTA forms | Respective partners | Depends on the agreement |
| RCEP certificate | RCEP member countries | Regional accumulation rules |
The critical point: preference is not automatic. The certificate must be issued before shipment in most cases, the goods must meet the origin rules, and the form must match the shipment exactly. A backdated certificate is often rejected.
Ask your supplier which certificate your destination qualifies for, and confirm with your broker. Two shipments to the same country can qualify differently depending on the specific goods.
4. Product compliance documents
Forklifts carry equipment-specific documents that have nothing to do with customs value but everything to do with clearing the goods.
| Document | Relevance |
|---|---|
| CE Declaration of Conformity (DoC) | Required for EU placement on the market |
| Technical file summary | Supporting document for CE |
| Type examination certificates | Evidence of type testing |
| Special Equipment Manufacturing Licence | Chinese production licence; often requested |
| ISO 9001 certificate | Quality system evidence; increasingly asked for |
| Test report | Load test, function test, or specific customer requirement |
| Battery documentation | UN 38.3 test summary for lithium cells and packs |
| MSDS / SDS | For the battery and any fluids |
| Fumigation certificate or heat treatment (ISPM 15) | For solid wood packing; not required for plywood |
Two items cause most of the delays:
UN 38.3. Lithium batteries require a UN 38.3 test summary for transport. If the truck ships with a lithium battery, this document is needed. Confirm it is available before booking, not after.
ISPM 15. Solid wood packing must be heat treated or fumigated and marked. Plywood cases are exempt because they are processed wood. If your supplier uses solid wood, confirm the marking.
5. Terms of sale and what they change
| Term | Seller arranges | Buyer arranges | Note |
|---|---|---|---|
| EXW | Nothing beyond the factory | Everything | Highest risk and workload for buyer |
| FCA | Delivery to carrier | Main carriage | Often more suitable than EXW |
| FOB | Delivery on board at port of loading | Freight, insurance | Most common for container shipments |
| CFR | Plus freight to destination port | Insurance | |
| CIF | Plus freight and insurance | Import clearance | Insurance minimum is normally 110 percent of invoice value |
| DAP | Delivery at named place | Import duty and clearance | |
| DDP | Everything including duty | Nothing | Seller needs to be able to clear in the destination country |
The term determines who prepares which document. Under EXW the buyer may have no practical way to obtain a certificate of origin from the seller's country, which is a common and avoidable problem.
6. Consistency: where shipments actually fail
Customs systems compare documents against each other. The failures below are the ones that repeatedly stop shipments.
| Field | Must match across |
|---|---|
| Consignee name and address | Invoice, packing list, B/L |
| Description of goods | Invoice, packing list, B/L, certificate of origin |
| Quantity and unit | Invoice, packing list, B/L |
| Gross and net weight | Invoice, packing list, B/L |
| Number of packages | Invoice, packing list, B/L |
| Marks and numbers | Packing list, B/L, physical marking on the case |
| Value and currency | Invoice, contract, insurance |
| Port of loading and discharge | B/L, invoice |
| Model designation | Invoice, packing list, certificate, nameplate on the machine |
Three specific traps:
- Describing the goods differently on different documents. "Forklift" on one and "electric pallet truck" on another invites a query. Pick one description and use it everywhere, including the certificate of origin.
- Rounding weights. A discrepancy of a few kilograms between the packing list and the B/L can trigger an inspection. Use the same measured figures.
- Model designation differences. If the machine is marked CPD20 on the nameplate, the invoice should not say something else. Customs has been known to open the container and check.
7. Lithium batteries: the extra requirements
A truck with a lithium battery is not just a truck for transport purposes.
- UN 38.3 test summary โ required for the cell and the pack
- Class 9 dangerous goods โ may apply depending on the configuration and whether the battery is installed or shipped separately
- State of charge โ lithium cells are normally shipped at around 30 percent charge, not full
- Labelling โ battery marking and any required transport labels
- Documentation in the vehicle โ some destinations require the battery documentation to travel with the machine
Confirm the shipping configuration early. A battery shipped loose inside the container is treated differently from a battery installed in the truck.
8. A practical checklist
Before production
- [ ] Confirm destination country and applicable certificate of origin
- [ ] Confirm the term of sale and who arranges what
- [ ] Confirm battery type and whether UN 38.3 documentation is available
- [ ] Confirm packing method and ISPM 15 position
- [ ] Confirm model designation as it will appear on the nameplate
Before shipment
- [ ] Commercial invoice, checked
- [ ] Packing list, checked against actual
- [ ] Certificate of origin applied for and issued
- [ ] CE DoC and technical file, if EU
- [ ] UN 38.3 summary, if lithium
- [ ] Insurance arranged, if CIF
- [ ] Case markings agreed and applied
- [ ] Photographs of packing and loading taken
- [ ] All documents checked against each other for consistency
After shipment
- [ ] B/L draft checked and confirmed before the original is issued
- [ ] Full document set sent by courier, tracked
- [ ] Electronic copies sent in advance to the broker
- [ ] Any amendment requested before the vessel arrives
9. Common mistakes
Leaving the certificate of origin until after shipment. Many preference certificates must be issued before or at the time of shipment.
Assuming the freight forwarder handles everything. They handle transport. Origin and compliance documents are usually the seller's responsibility.
Not checking documents against each other. The most common cause of delay.
Discovering the UN 38.3 requirement at the port. It cannot be produced retroactively.
Using a different product description on each document. Keep it consistent.
Shipping against a proforma invoice without a contract. Workable, but agree the terms in writing.
Not keeping copies. Customs queries can arrive months later, and the documents need to be retrievable.
10. Summary
Export documentation succeeds or fails on three things:
- Getting the right certificate for the destination โ confirmed before production, not before shipment.
- Completing the product compliance set โ CE, type test, UN 38.3 and packing marks, depending on the goods.
- Consistency across every document โ the same description, the same weights, the same model designation, everywhere.
None of these is difficult. All of them are easy to postpone, and postponing any one of them is what stops a shipment.
This checklist is published by WR Forklift (Taizhou Worui Warehousing and Logistics Equipment Co., Ltd.) as general guidance on export documentation for forklift shipments. Requirements differ by destination and change over time; confirm the applicable requirements with your customs broker and your supplier before each shipment. This document is not legal or customs advice.
Contact: sales@wrforklift.com ยท +86 180 5267 6182 ยท www.wrforklift.com
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