Is a Certificate of Origin required for every shipment?

No. It is used when required by import customs, a bank, the buyer, a trade-policy measure or a preferential-tariff claim. The correct type — non-preferential or preferential — must be selected before shipment.

Can a Proforma Invoice be used for customs clearance?

A proforma is primarily used for quotation and advance payment. A final commercial shipment normally requires a Commercial Invoice reflecting the actual goods, value and delivery terms.

When is the Packing List issued?

A draft can be prepared earlier, but the final version should be issued only after packing is complete and the actual package count, weights and dimensions are known.

When does the export declaration become available?

After the exporter or broker submits the data to customs. A released copy or release evidence is normally available after export clearance is completed.

Are CMR, B/L, CIM/SMGS and AWB interchangeable?

No. They relate to different transport modes. A multimodal shipment may have several waybills or a recognised multimodal transport document.

Are paper originals required?

It depends on the destination, bank, document and release method. AWBs and many declarations are commonly electronic; a negotiable Bill of Lading or certain official certificates may still require originals or an accepted electronic platform.

Who should review the documents?

The Export Company reconciles the origin-side file, while the import broker confirms destination-market usability. Final review should be completed before originals are dispatched and before arrival.

What should be done if weights do not match across documents?

Pause finalisation, establish the correct source data and update the Packing List, Invoice where relevant, customs declaration and transport document. Correcting only one document creates a new discrepancy.

Are a COA and a Certificate of Origin the same document?

No. A COA reports product or batch characteristics and test results. A Certificate of Origin certifies where the goods originate.

Who files the import declaration?

Usually the importer or its authorised customs broker. The Export Company supplies the document package and answers questions about the factory, goods and export records.

Shipping and customs documents for orders from China

Short Answer

One invoice is not enough for an international shipment. Documents form a continuous chain: commercial documents establish the transaction, export documents release the cargo from China, the transport document records carrier acceptance, and the import package enables clearance at destination. The Export Company coordinates the factory, broker and carrier, reconciles all data, and delivers the complete set to the Client before the cargo arrives.

Who This Guide Is For

Companies placing their first order from China.
Importers who need to understand which document appears at each stage.
Buyers of food products and confectionery.
Teams using road, sea, rail or air transport.

What to Understand Before You Start

There is no single universal list for all countries and products: the final package is determined by tariff code, product composition, transport mode and destination-market rules.
The document pack is built from consistent master data. A discrepancy in one document propagates to all the others.
Preliminary figures are acceptable for freight planning, but customs clearance must use final production and packing data.

Universal Document Flow: 10 Steps

The Client sends the Export Company the product brief, destination market, intended route, importer details and labelling requirements.
The Export Company confirms the Incoterms rule and named place, allocates responsibilities and opens a document register with one owner for each item.
The Factory confirms product description, packing, quantities, preliminary dimensions and weights, production readiness and available technical documents.
Before payment, the parties issue a Purchase Order, Proforma Invoice and/or Sales Contract. These support commercial approval and bank compliance.
After production, the Factory provides final carton count, net and gross weight, dimensions, CBM, lot numbers and production dates. Final Commercial Invoice and Packing List are built from this data.
The Export Company and export customs broker submit the export declaration data. The declaration and all supporting documents must be consistent.
When the carrier accepts or loads the cargo, the relevant transport document is issued: CMR, Bill of Lading, CIM/SMGS or AWB. For ocean freight, a draft B/L is checked before final issuance.
After export release, the Client and import broker receive a pre-alert containing the final commercial, transport, origin and product-compliance package.
The importer or its customs broker files the import declaration, supports customs value and completes destination-market product formalities.
After release and delivery, the file is archived with proof of delivery, consignee remarks and inspection records where discrepancies exist.

1. Commercial Documents

Commercial documents describe the transaction and provide source data for banks, export brokers, carriers and import customs. They must connect the seller, buyer, goods, delivery terms and payment without contradictions.

Document	Prepared by	Timing	Recipients	Purpose
Purchase Order	Client	After product selection, before or with the contract	Export Company and Factory	Commercial instruction fixing SKU, quantity, packing, requirements and target date. Not a customs document.
Proforma Invoice	Export Company or seller	Before payment	Client, bank and finance team	Sets out the offer, currency, payment and delivery terms. Used for advance payment; does not replace the final Commercial Invoice.
Sales Contract	Client and Export Company	Before payment and production launch	Bank, accounting and brokers where required	Allocates duties, Incoterms, named place, payment, documents, quality, risk and claims.
Commercial Invoice	Export Company / exporter	Draft before shipment; final after actual shipment data are confirmed	Export broker, carrier, Client, import broker and bank	Core transaction and customs-value document. States parties, goods, quantity, unit price, currency, Incoterms, invoice number/date and total.
Packing List	Factory supplies data; Export Company prepares or validates	Final after packing and before export filing/loading	Brokers, carrier, warehouse and Client	Shows package count, contents, net/gross weight, dimensions, CBM, marks, lots and packing structure.
Payment evidence	Banks and payment parties	After each payment; when requested by bank or customs	Bank, accounting and import broker	Supports actual payment and customs-value review. Not distributed in the general shipping set unless required.

Key rule: Commercial Invoice and Packing List are the core of most commercial shipments, but they do not replace an export declaration, transport document or product permits. Every document must describe the same physical shipment: identical parties, package count, weights, packaging, value, origin and route. Preliminary figures can be used for freight planning, but customs clearance must use final production and packing data.

2. Export, Origin and Import Customs Documents

Export and import declarations are not ordinary factory documents. They are filed in customs systems by the declarant or an authorised broker using commercial and transport data. The Export Company should obtain and verify evidence of export release.

Document	Prepared by	Timing	Recipients	Purpose
Export Customs Declaration	Exporter or licensed export broker	After final Invoice/PL are ready and before export movement; customs confirms release	China Customs; copy to Export Company and Client	Electronic declaration of goods, tariff code, value, quantity, origin, customs procedure and transport. Supporting documents must match.
Certificate of Origin	Exporter applies; authorised body issues	After final goods and invoice are confirmed; before or shortly after dispatch	Client, import broker, bank or customs	Certifies origin. Non-preferential and preferential COs serve different purposes. A draft should be reviewed before final issuance.
Import Customs Declaration	Importer or authorised broker	Before or after arrival, depending on national rules	Import customs	Official import filing covering classification, value, origin, procedure, duties, taxes, permits and transport.
Customs value support	Client/importer with Export Company	During import preparation and whenever customs requests it	Import broker and customs	Contract, invoice, payment records, freight, insurance, packing and other dutiable-value elements.
Import permit / registration	Importer or local representative	Before shipment where the product or market is regulated	Competent authority and import customs	Permit, product/establishment registration or advance notice. Should not be left until arrival.

Operational rule: The export declaration must be built from final data, not an early freight estimate. If actual weight, package count or packing changes, update the master data, Invoice and Packing List first, then the declaration and transport document.

3. Transport Documents for Four Shipping Modes

A transport document is created when the carrier accepts the cargo or confirms loading. It evidences the carriage contract and identifies the shipper, consignee, route and goods. The exact instrument depends on the transport mode.

Document	Prepared by	Timing	Recipients	Purpose
Road: CMR / road waybill	Consignor and carrier; Export Company coordinates data	When the carrier takes over the cargo	One copy for sender, one accompanies cargo, carrier retains a copy; consignee records delivery	CMR evidences international road carriage and states parties, pickup/delivery locations, goods, packages and weight. If the CMR Convention does not apply, a national waybill or truck manifest may be used.
Sea: Bill of Lading / Sea Waybill	Carrier or agent based on shipping instructions	Draft after booking/data; on-board B/L after loading	Shipper, consignee, bank and importer depending on release method	B/L evidences carriage and receipt/loading; a negotiable B/L may function as a document of title. Sea Waybill does not require surrender of originals. Verify shipper, consignee, notify party, ports, marks, packages, weight and release method.
Rail: CIM, SMGS or CIM/SMGS	Consignor and railway carrier	When the railway accepts the cargo	Travels in the rail system; consignee receives goods against the applicable receipt process	Selection depends on the legal corridor. The note evidences carriage and taking over; customs and administrative documents are attached or referenced.
Air: Air Waybill / e-AWB	Shipper or agent; airline accepts it	Before or at cargo acceptance	Shipper, airline and ground handling agent; copy follows cargo	AWB is non-negotiable and evidences the air carriage contract. Dangerous goods and some products require additional declarations or original certificates.
Cargo Manifest	Carrier or terminal/port operator	After each transport document is issued, at or before departure	Customs, port, airport and terminal operators	Consolidates multi-shipment data; does not replace individual invoice, packing list or waybill.
Proof of Delivery (POD)	Carrier and consignee	At actual delivery	Consignee, carrier, Client and Export Company	Confirms delivery date, package count and remarks. Damage or shortage must be noted immediately on the transport record and photographed.

4. Additional Documents for Food Products

Food shipments often require more than the commercial and transport package. Requirements depend on ingredients, processing level and destination market. Confectionery, dried fruit and products containing dairy or gelatin may trigger different controls.

Document	Prepared by	Timing	Recipients	Purpose
Product Specification	Factory; Export Company validates	Before ordering and updated before shipment	Client, import broker and laboratory	Product description, ingredients, physical/chemical parameters, packing, storage and shelf life.
Ingredient / allergen / nutrition statement	Factory based on formulation and tests	Before label approval	Client and regulatory adviser	Basis for labelling. Internal formulation and mandatory consumer information are not the same document.
COA — Certificate of Analysis	Factory or laboratory	Normally per batch or production lot	Client, import broker and QA	Analysis results for a specific product or batch. It is not a Certificate of Origin.
Laboratory test report	Accredited or appointed laboratory	During supplier qualification and/or per batch	Client, authorities and auditors	States method, sample and results. Acceptance and validity depend on market requirements.
Official health / sanitary certificate	Competent export-country authority where required	After production and consignment verification, before dispatch	Import authority and broker	Officially certifies agreed conditions. Not automatically required for every confectionery shipment.
Phytosanitary Certificate	National Plant Protection Organization	For regulated plants/plant products when required by the importing country	Plant-health authority and import customs	Certifies compliance with phytosanitary import requirements. Applicability to highly processed products varies.
Veterinary / animal-health certificate	Competent veterinary authority	For regulated animal-origin products	Veterinary authority and import customs	May apply to products containing dairy, egg, gelatin or other animal-origin ingredients, depending on destination rules.
Food-contact packaging declaration	Packaging manufacturer / Factory	Before packaging approval and when requested	Client and regulatory adviser	Identifies packaging materials and food-contact compliance support. Does not replace label review.
Label artwork and translation approval	Client; Export Company coordinates; Factory confirms technical feasibility	Before printing	Factory, Client and regulatory adviser	Final version-controlled PDF with date and written approval. Incorrect labelling can block import even when transport documents are correct.

Do not confuse document types: A Certificate of Origin certifies country of origin. A COA reports product or batch analysis. A Health Certificate is an official competent-authority certificate where the market requires one. These documents are not interchangeable.

5. When and How Documents Are Handed Over

Stage	Handover	Document set	Control objective
Before payment	Client ↔ Export Company	PO, Proforma, Contract, preliminary specification	Approve goods, payment, Incoterms and responsibilities.
Before production/printing	Client → Export Company → Factory	Approved specification, label artwork and translations	Written approval with version number.
Before readiness	Factory → Export Company	Preliminary weights, dimensions, packing plan and available certificates	For freight booking; mark all figures as preliminary.
After packing	Factory → Export Company	Final carton count, weights, dimensions and lot data	Source for final Invoice and Packing List.
Before export filing	Export Company → export broker	Invoice, PL, contract data, HS/origin/transport details	Broker builds the electronic declaration.
At loading/acceptance	Carrier ↔ consignor	CMR/B/L instructions/rail note/AWB, seal and loading record	Confirms carrier acceptance of cargo.
After export release	Export Company → Client/import broker	Release evidence, final transport doc, CO, product documents	Complete pre-alert before arrival.
At import	Client/broker → customs	Import declaration and supporting documents	Classification, value, permits and release.
At delivery	Carrier ↔ consignee	POD, signed waybill, discrepancy notes	Record cargo condition and count.

6. Checklists

Export Package

Final Commercial Invoice
Final Packing List
Export declaration and release evidence
Transport document or controlled draft/final sequence
Certificate of Origin where required
Applicable export licences or permits
Product certificates required by the destination market
Loading photos, seal/container/vehicle data and handover record

Import Package

Sales Contract / Purchase Order
Commercial Invoice
Packing List
Transport document
Certificate of Origin where required
Import permit or registration where applicable
Food/product compliance documents
Customs-value support: payment, freight and insurance
Power of attorney to broker and local registrations

Final Check Before Customs

Names and addresses match across all documents
Invoice amount and currency match the contract and payment
Package count matches in PL and transport document
Net and gross weight are consistent
Goods description is specific and not misleading
Country of origin is consistent
Incoterms and named place are complete
Freight and insurance treatment is clear
Permit and certificate numbers are valid
Drafts were approved before final issuance

7. Common Document Failures

Using preliminary weight figures in the final customs declaration.
Goods description differs between contract, invoice, packing list, certificate of origin and transport document.
Confusing net and gross weight, or missing per-carton data.
Issuing the final Certificate of Origin without the Client or import broker reviewing the draft.
Issuing the transport document before the consignee, notify party, route and release method are confirmed.
Substituting an official product certificate with a factory letter.
Dispatching originals by courier before confirming they are actually required.
Sending the pre-alert to the import broker after the cargo has already arrived.
Having no single master data sheet, resulting in different parties using different versions.

8. Questions to Ask the Export Company Before Booking

What is the Incoterms rule and the specific named place or port in the contract?
Who is the exporter of record, importer of record and customs declarant?
What is the expected HS code and who confirms the classification?
What documents are mandatory in the destination market?
Is a Certificate of Origin original required, or is electronic verification accepted?
Which transport document is used and who approves the draft?
Are health, veterinary or phytosanitary certificates required?
Who validates labelling and translation before printing?
When will the import broker receive the pre-alert?
Who corrects a document if an error is found after issuance?

Recommended Next Step

Before payment and freight booking, provide the Export Company with the product data sheet, destination market, importer details, intended Incoterms rule and transport mode. The Export Company can then build a shipment-specific document register showing required documents, owner, due date, original/PDF/e-document format and draft approver.

Authoritative Sources

General Administration of Customs of the People's Republic of China (electronic customs declaration and declaration-form guidance)
International Chamber of Commerce — Incoterms® 2020
UNECE — CMR Convention on international road carriage
International Maritime Organization — bill of lading, cargo manifest and verified gross mass guidance
International Air Transport Association — Air Waybill and e-AWB
OTIF and OSJD — CIM, SMGS and CIM/SMGS rail consignment notes
Codex Alimentarius — CXG 38-2001 official certificates for food trade
International Plant Protection Convention — ISPM 12 phytosanitary certificates
World Organisation for Animal Health — model veterinary certificates

This is an operational guide, not legal advice. Requirements must be confirmed with the import broker and competent authorities before production and shipment.