Pre-Shipment Documents for Export from India (2026): 7 Documents Before You Ship

Pre-shipment documents: the gate before your goods leave

No shipping bill, no transport document and no bank payment can exist until the pre-shipment paperwork is done. Pre-shipment documents are the seven instruments — from your quotation to your inspection certificates — that prove you are licensed to export, that the buyer has accepted the deal, and that what you intend to ship will be accepted at the destination. Get them right and the rest of the export document chain (invoice, packing list, bill of lading, certificate of origin) is routine; get one wrong and the shipment never sails.

This guide maps those seven documents as Indian exporters experience them: which register you, which binds the buyer, which licences you, and which proves quality to a foreign regulator. Fees and timelines are 2026 figures and marked ⚠️ where they vary by council, product or inspection agency.

The 7 documents at a glance

1. Proforma Invoice — the quotation that sets the deal

A proforma invoice is the seller's detailed estimate, not a tax invoice. You issue it after negotiation, before production, and the buyer uses it to arrange the letter of credit, apply for an import licence or secure internal approvals. Banks treat it as the reference document: every field here — HS code, quantity, unit price, currency, Incoterms, port, payment terms, validity, IEC and GSTIN — must match the later commercial invoice, packing list and bill of lading word for word, or the LC becomes discrepant and the bank can reject payment.

• Label it PROFORMA INVOICE with a unique reference (e.g. PI-2026-0047) and a validity window — 15–30 days is standard; blank validity leaves you exposed to price drift.
• Include IEC (10-digit DGFT code), GSTIN, HSN/SAC codes and RBI purpose code (for services) — these India-specific fields are the ones generic templates omit and banks later demand.
• State Incoterms as FOB/CIF/EXW plus the named port — who pays freight and insurance is defined here, not argued after shipment.
• Keep the Excel template current — bank details and IEC must be the live values, and always hold a signed copy; banks and customs may call it months later.

2. Purchase Order / Sales Contract — the buyer's commitment

The purchase order is the buyer's formal confirmation: it says we accept your proforma terms, want this quantity, ship to this specification. In export practice it is as much a commercial contract as a document — price, delivery terms, payment instrument and delivery schedule are all anchored to it.

• Demand the buyer's PO number on your commercial invoice — AP teams match invoice to PO; a missing reference delays payment even after documents are compliant.
• Compare the PO against the proforma line by line before production — same HS codes, same Incoterms, same payment terms. Discrepancies surface later as LC rejections or customs disputes.
• Where a formal sales contract is used instead of a PO, ensure it carries the same commercial substance and signatures; some buyers issue both and the PO is the line-item schedule to the contract.

3. IEC Certificate — the licence to export at all

The Importer-Exporter Code is a 10-digit PAN-based code issued by DGFT on application in Form ANF-2A at dgft.gov.in. Customs will not allow export clearance without it, banks need it for inward remittance, and every EPC references it when issuing your RCMC.

• Eligibility: any proprietorship, partnership, LLP, company, trust, HUF or society with a PAN and a current account in the firm's name and a verifiable address. One PAN = one IEC for all branches and units.
• Documents: PAN, cancelled cheque with the firm's pre-printed name or a bank certificate, address proof (sale/rent/lease deed, electricity or telephone bill; for proprietorships Aadhaar/passport/voter ID is also accepted) — plus, where the address proof is not in the firm's name, an NOC from the owner bundled as a single PDF. DSC or Aadhaar e-sign is required to sign the application.
• Fee: ₹500 via BharatKosh; IEC is auto-generated with lifetime validity after online verification, and a post-verification of address may be conducted by DGFT.
• Lifetime does not mean file-and-forget: keep the IEC linked to your bank and ensure the address remains verifiable — DGFT may conduct post-verification and customs maps the shipping bill to your PAN + AD code.

4. RCMC — council membership that unlocks incentives

A Registration-cum-Membership Certificate validates that you export a product registered with an agency authorised by the Government of India. 26 Export Promotion Councils and 9 commodity boards are the notified registering authorities — each categorised by product — and the certificate is issued for 5 financial years (1 April of the licensing year to 31 March of the fifth year) unless otherwise specified.

• Prerequisite: an active IEC plus an updated IEC profile and a linked DSC or Aadhaar e-sign; without these the e-RCMC module on the DGFT common platform will not accept the application.
• Flow: register as Importer/Exporter on dgft.gov.in → Services > e-RCMC > Apply for e-RCMC → select the relevant council and declare your main line of business, countries served and authorised representatives → upload documents → declaration → DSC/Aadhaar sign → BharatKosh payment → e-RCMC issued.
• Why register: you can export without an RCMC, but FTP benefits — RoDTEP beyond the base, duty drawback beyond standard rates, EPCG and advance authorisation — require council membership. Multiple RCMCs are allowed for diversified exporters.
• Tip: register with the council for your product, not the most convenient one — a mismatch causes incentive claims to be rejected at the claim stage, months after shipment.

5. Export Licence — for SCOMET and other restricted items

Most goods are freely exportable with only an IEC. The two exceptions are items marked Restricted under the ITC(HS) schedule and items on the SCOMET list — Special Chemicals, Organisms, Materials, Equipment and Technologies whose export is regulated under the FTDR Act and the Foreign Trade Policy. Applications go to DGFT (except Category 0 nuclear items, which are licensed by the Department of Atomic Energy).

SCOMET is organised in 9 categories — 0 Nuclear materials and related technology, 1 Toxic chemicals, 2 Micro-organisms and toxins, 3 Materials and processing equipment, 4 Nuclear-related other equipment, 5 Aerospace systems, 6 Munitions, 7 Reserved, 8 Special materials, electronics, sensors, lasers, navigation, marine and related technologies. Within each, sub-categories are as specific as beryllium alloys or boron-10-enriched materials. The practical test is ITC(HS) classification plus end-use.

• Check Appendix 3 of the ITC(HS) Export Policy before quoting — if the item appears, assume a licence is needed until DGFT confirms otherwise.
• The SCOMET List 2025 (notified 23 September 2025) is the current reference and took effect 30 days after notification — align the ITC(HS) edition you are referencing; exporters quoting on older PDF editions are a common source of error.
• For restricted non-SCOMET items, DGFT may grant a one-time export authorisation; for SCOMET, an export authorisation with conditions and sometimes an end-user certificate from the foreign buyer is required.
• DTA-to-SEZ supplies of SCOMET items need no DGFT export authorisation but must still be reported to the SEZ Development Commissioner within a week, with an annual consolidated report to DGFT by 15 May.

6. Quality Inspection Certificate — the EIC gate

The Export Inspection Council, through its field organisation the Export Inspection Agencies, exercises quality control and inspection for products notified under the Export (Quality Control and Inspection) Act, 1963. A notified product may not be exported unless it is accompanied by a certificate that the consignment satisfies the standard for that commodity, or carries a recognised mark or seal.

• Notified categories include Basmati Rice, Black Pepper, Bivalve Molluscs, Fish & Fishery Products (marine and dried), Honey, Milk & Milk Products, Egg Products, certain meat and poultry groups, processed foods containing red chillies, crushed bones/ossein/gelatine, peanut products, salt and more — the full executive instructions live on eicindia.gov.in.
• Inspection types: consignment-wise inspection, food-safety management system based approval of establishments, and a three-tier surveillance mechanism on approved units.
• Voluntary scheme: where a product is not notified but the buyer or importing country demands a competent-authority certificate, EIC's Voluntary Certification Scheme issues the same facility — ask EIA before assuming you are exempt.
• Allow 3–7 working days and keep lot and establishment records ready — EIAs examine the commodity against the notified standard or the export-contract specification.

7. Pre-Shipment Inspection (PSI) Certificate — when the destination inspects before you ship

A PSI certificate is a third-party conformity certificate issued in the country of origin at the request of the destination country. It verifies that the consignment matches the destination standard before it is loaded — without it, customs at the destination can refuse entry.

• The clearest example is Kenya's PVoC (Pre-Export Verification of Conformity) programme. Every consignment from India needs a Certificate of Conformity (CoC) — or, where regime allows, a CoR or NCR — issued by a KEBS-contracted PVoC agent before it can be cleared at a Kenyan port. Nine agents are contracted for 2026–2029, including SGS, Bureau Veritas, Intertek, Cotecna and others assigned to specific origin zones — India sits in the SGS/Bureau Veritas/Intertek/Cotecna zone.
• Process: exporter lodges a Request for Certification (RFC) with the appointed agent in India → documentary review against Kenyan standards → where needed, sampling and testing in an accredited lab → physical inspection of the goods (scheduled within 4 working days for sea freight, 1 working day for air) → container sealing where required → CoC issued within 2 working days of final documentation for sea cargo (1 working day for air).
• Why plan early: goods must be available for inspection 5–7 days before shipment, and the CoC must accompany the shipping documents. Consignments arriving without a CoC are diverted to destination inspection, incurring delay, demurrage and risk of destruction if non-conforming.
• Other markets run close analogues — keep Kenya as your mental model: the pattern of agent → inspection → CoC before loading recurs across several African and Middle Eastern destination requirements.

Your pre-shipment timeline — when to start each document

1. 30+ days out: confirm the proforma invoice format with the buyer and align HS codes, Incoterms and payment terms — the LC will mirror this document.
2. 30 days out: verify the IEC is active and linked to your AD code and bank — the shipping bill cannot be filed without it — and file the RCMC application if you intend to claim FTP incentives.
3. 30 days out: classify the product under ITC(HS) and Appendix 3; if SCOMET or restricted, file the export licence application now (15–30 working days).
4. 15 days out: book the EIC inspection where the product is notified, and the destination PSI (Kenya PVoC or equivalent) where the market requires it — goods must be available 5–7 days before the vessel's closing.
5. 7 days out: have the PSI and EIC certificates in hand so the shipping bill, commercial invoice, packing list, certificate of origin and insurance can be finalised without a last-minute hold.

How trad fits: from paper to payment

Pre-shipment documents prove the export can happen; the next set of documents proves it did happen — and that is where payment is unlocked. The next article in this series walks the post-booking chain: shipping bill, bill of lading, certificate of origin, insurance and presentation to the bank. When you reach it, the financing checker tells you whether that buyer country supports factoring or LC discounting — before you agree the payment term that all of this paperwork will have to carry.

Frequently asked questions