LOGI 2216 Regularions and Legislations in

Logistics
Exporting Documents
Assoc. Prof. Dr. Pervin ERSOY

04-11/03/2024

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ISO : International Organization for
Standardization

ISO: is an independent, non-governmental,

international organization that develops
standards to ensure the quality, safety, and
efficiency of products, services, and systems
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ISO 3166
The ISO 3166 standard – Codes for the representation of names of
countries and their subdivisions.

ISO 3166-1 alpha-2 – two-letter country codes which are also used to
create the ISO 3166-2 country subdivision codes and the Internet
country code top-level domains.

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ISO 3166-1 alpha-3 – three-letter country codes which may allow a
better visual association between the codes and the country names
than the 3166-1 alpha-2 codes.
This code is often used at events with international paticipants from
various countries like sports.

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• ISO 3166-1 numeric – three-digit country codes which are identical
to those developed and maintained by the United Nations Statistics
Division, with the advantage of script (writing system)
independence, and hence useful for people or systems using non-
Latin scripts.

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• The country code is in use for example for the two-letter suffixes such
as . tr (Turkey), us (United States), .fr (France) or .de (Germany) in
top-level domains (for countries) on the Internet.

• The three letter code is also often used at events with international
participants from various countries like sports meetings or song
contests, where you can see abbreviations like TUR (Turkey), CAN (for
Canada), DNK (for Denmark), AUS (for Australia)

• https://www.nationsonline.org/oneworld/country_code_list.htm

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• There is also an internationally accepted 3-digit number indicating
each country.

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Exporting Documents
1. Financial Documents
2. Commercial Documents
3. Certification of Circulation
4. Transport Documents
5. Other Documents

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Financial Documents
• Bill of Exchange, draft: a document, used especially in international
trade, that orders a person or organization to pay a particular amount
of money at a particular time for goods or services.

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• Short-term negotiable financial instrument consisting of an order in
writing addressed by one person (the seller of goods) to another (the
buyer) requiring the latter to pay on demand (a sight draft) or at a
fixed or determinable future time (a time draft) a certain sum of
money to a specified person or to the bearer of the bill.
• The bill of exchange originated as a method of settling accounts
in international trade.

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Promissory Note
A promissory note, sometimes referred to as a note payable, is a legal
instrument (more particularly, a financial instrument and a debt
instrument), in which one party (the maker or issuer) promises in writing
to pay a determinate sum of money to the other (the payee), either at a
fixed or determinable future time or on demand of the payee, under
specific terms.

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Commercial Documents
• Proforma Invoice/Provisional Invoice
• Commercial Invoice
• Legalized/ Certified/Visaed Invoice
• Weight List / Packing List
• Freight Invoice

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Commercial Documents
• Proforma Invoice/Provisional Invoice
A pro forma invoice is an important document used as a negotiating
tool between the seller and the buyer prior to an export shipment.
(Provides pre-invoice control.)

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Commercial Documents
Commercial Invoice

• The commercial invoice is a legal document between the exporter

and the buyer (in this case, the foreign buyer) that clearly states the
goods being sold and the amount the customer is to pay.

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Commercial Invoice

• The commercial invoice must be submitted in triplicate, including the

original copy and must contain a complete description, quantity, unit
cost, HS code, delivery method of the goods and country of origin as
well as all required payment terms and letters of credit, if the
transaction was actualized through this payment method.

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 The HS is
The HS assigns specific six-digit codes administrated by
for varying classifications and the World Customs
commodities. Countries are allowed to Organization (WCO)
add longer codes to the first six digits
for further classification.

https://www.tariffnumber.com/ 19
Harmonized System (HS) Codes
• https://www.tariffnumber.com/
• To sell products around the world you need to know your product’s
Harmonized System or HS Code. The Harmonized System is recognized as
the international product classification system. To complete an export
transaction. HS codes are one of the most important components of
creating an exporting strategy.

• https://www.trade.gov/sites/default/files/2021-
10/Understand_Your_Product%27s_Harmonized_System_%28HS%29_Cod
e_Open%20Captioned.mp4

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Commercial Documents
• Legalized/ Certified/Visaed Invoice
customs in the Middle East, require invoices to be both certified and
legalised. After certification, invoices have to be presented to the
embassy of the destination country for legalisation. This involves
presentation of the certified invoices to the embassy which then
attaches their stamp to the documents.

Generally Arab States located in the Middle East, such as Jordan,

Yemen, Saudi Arabia, Egypt etc., demand certified and/or legalized
invoices during the import customs clearance operations.
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Commercial Documents
Freight Invoice/Freight Bill

A bill rendered by a carrier to a consignee of freight and containing an

identifying description of the freight, the name of the shipper, the point
of origin of the shipment, its weight, and the amount of charges.

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Commercial Documents
• Packing List

• Considerably more detailed and informative than a standard domestic

packing list, an export packing list lists seller, buyer, shipper, invoice
number, date of shipment, mode of transport, carrier, quantity,
description, the type of package, such as a box, crate, drum, or
carton, the quantity of packages, total net and gross weight (in
kilograms), package marks and dimensions, if appropriate. Both
commercial stationers and freight forwarders carry packing list forms.

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Certificate of Analysis

• Attests that goods have undergone a particular type of testing with

specified results. A certificate of analysis may be needed by the
parties in the transaction or required by the country of importation.
This document is usually required for food products, wines and
spirits, chemicals and pharmaceuticals. This certificate can be issued
by a certification authority or by the exporter if the buyer
agrees. Certificates of analysis may be obtained from an
accredited laboratory.

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Commercial Documents
• Inspection Certificate
A document certifying that merchandise (such as perishable goods) was in
good condition at the time of inspection, usually immediately prior to
shipment. Pre-shipment inspection is requirement for importation of goods
into many developing countries.
When used as a required document under letter of credit terms, the details
and identity of the party providing the inspection should be mentioned. If
this not done, banks will accept any document appearing on its face to be
an inspection certificate issued by any party other than the beneficiary.

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Certificate of Circulation
• A.TR
• EUR.1
• EUR.MED

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ATR Document
• An ATR document enables goods to qualify for tariff preferences on
imports and exports between the EC and Turkey.
• Goods which normally qualify for preference are:
• Industrial products: goods which originate in, or are in free circulation in
either the European Community or Turkey.
• Agricultural products: most agricultural products qualify for preference
only if they originate in the European Community or Turkey.
• European Coal and Steel Community (ECSC) products: ECSC products
qualify for preference only if they originate in the European Community or
Turkey.

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EU Countries & Turkey
Austria Italy
Belgium Latvia
Bulgaria Lithuania
Croatia Luxembourg
Cyprus Malta
Czechia Netherlands
Denmark Poland
Estonia Portugal
Finland Romania
France Slovakia
Germany Slovenia
Greece Spain
Hungary Sweden
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Ireland
EUR1 certificate
• An EUR1, also known as a ‘movement certificate’, enables importers
in certain countries to import goods at a reduced or nil rate of import
duty under trade agreements between the EU and beneficiary
countries.

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 In the following countries, the EUR.1 Movement Certificate is accepted (partly with restrictions):

• Tunisia • Ukraine
• Andorra • Ceuta und Mellila • Western Pacific countries (at
• Iceland • Faeroese the moment only Papua New
Guinea und Fiji)
• Norway • Chile • Central African States (at the
• Liechtenstein • Mexico moment only Cameroon)
• Switzerland • CARIFORUM • Eastern and Southern African
States
• Macedonia • Overseas countries &
territories (OCT’s) • Andean countries (Peru,
• Turkey (ECSC-goods) Colombia, Ecuador)
• West Bank und Gaza Strip • ACP countries
• Central America (Costa Rica, El
• Bosnia-Herzegovina Salvador, Guatemala,
• Egypt
• Montenegro Honduras, Nicaragua, Panama)
• Jordan
• Kosovo • SADC-EPA-States (Botswana,
• Lebanon Lesotho, Namibia, South
• Albania Africa, Swaziland)
• Syria
• Georgia • Ghana
• Algeria
• Morocco • Republic of Moldova
*certain commodities - Preferential
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agreement on coal and steel
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EUR.MED Movement Document
• Regulatory reforms and convergence strategy covering all modes of
transport (maritime, road, rail, aviation as well as urban transport)
and defined by Regional Transport Action Plans (RTAP). In particular,
actions conducted through EU-financed technical assistance cover
maritime security and safety and prevention of pollution; intermodal
project on motorways of the sea; aviation safety and security and air
traffic management; road, rail and urban transport.

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• The Mediterranean members of the EuroMed partnership
are: Algeria, Egypt, Israel, Jordan, Lebanon, Libya (since 2012 Libya is
an eligible country for EuroMed partnership and has observer status
in the UfM), Morocco, Palestine (This designation shall not be
construed as recognition of a State of Palestine and is without
prejudice to the individual positions of the Member States on this
issue), Syria (cooperation is suspended) and Tunisia. The UfM
members include, together with the all EU Countries, also the
following Mediterranean partners: Albania, Bosnia-Herzegovina,
Mauritania, Monaco, Montenegro and Turkey.

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Transportation Documents
• Airway Bill
• Bill of Lading

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Transportation Documents
Airway Bill/ Bill of Lading: Air freight shipments require airway bills.
An air way bill accompanies goods shipped by an international air
carrier. The document provides detailed information about the
shipment and allows it to be tracked. Air waybills are shipper-specific
and are not negotiable documents (as opposed to “order” bills of
lading used for vessel shipments).

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Transportation Documents
• Bill of Lading: A bill of lading is a contract between the owner of the
goods and the carrier (as with domestic shipments). For ocean
shipments, there are two common types: a straight bill of lading,
which is non-negotiable, and a negotiable, or shipper's order bill of
lading. The latter can be used to buy, sell or trade the goods while in
transit. The customer usually needs an original bill of lading as proof
of ownership to take possession of the goods from the ocean carrier.

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Normally, the Bill of Lading gives the • (vi) Description of the goods
following information: • (vii) Marks and Number
• (i) Routing of the consignment • (viii) Number and kind of packages
• (ii) Name of the vessel • (ix) Gross Weight of the goods and
• (iii) Name and address of the volume of the goods
shipper/Consignor • (x) Handling information
• (iv) Name and address of the • (xi) Declared value for carriage
consignee/ name of notify party
• (xii) Freight paid or to be paid
• (v) Place of receipt of goods/Port of
loading/Port of Discharge/place of • (xiii) Whether freight paid in cash
• Delivery of the goods
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Road Waybill
• Transport document is used to control shipments of goods via truck.
It contains the same information as an inland bill of lading, with
freight and other charges, and routing.

• Also known as a CMR, or consignment note, the waybill refers to an

international transport document. In concrete terms, it is a document
aiming to forge a link between the sender, transporter and contacting
party. The international waybill contractually stipulates all the conditions to
be complied with during the transport of goods.

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• The CMR Treaty regulates the liability of the transporter for damage
to the freight. CMR stands for the Convention on the contract for the
international carriage of goods by road.

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The CMR waybill is directly linked to the Convention on the Contract for
the International Carriage of Goods by Road, ratified in Geneva in 1956.
This convention stipulates that each transfer of goods by road requires
the prior signature of a CMR waybill (so long as both countries
concerned by the transfer of goods have signed said convention). It
should be noted that in Europe, all EU member states have signed the
convention.

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A CMR waybill:

• Is a mandatory document;
• Can be drafted freely;
• Must include several compulsory statements
• Is known as an e-CMR when issued electronically.

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Waybill not required
• You do not need a waybill for transporting:
• live animals
• agricultural products from farm to auction
• packaging for farm products from auction to farm
• household effects
• individual packages
• post

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Import Documentation
Turkish documentation procedures require that
• a commercial invoice and bill of lading or airway bill accompany all
commercial shipments.
Depending on the type of product, importers may be required to
submit a Certificate of Origin. Import licenses and phytosanitary
certificates are necessary for food and agricultural commodity
imports.

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Conformity Compliance (CE Mark)
Companies selling to the Turkish market must submit evidence of
conformity compliance (CE Mark) either by providing a conformity
certificate from a notified body or a manufacturer-issued declaration of
conformity, which declares compliance with all relevant standards and
directive annexes.
The declaration of conformity must mention the applicable directive(s),
the name of the manufacturer or its authorized representative, the
name of the notified body (if involved), product information and
reference to harmonized standards. If the notified body is also involved
in the process, the type of examination certificate should also be
submitted.

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• The letters ‘CE’ appear on many products traded on the extended
Single Market in the European Economic Area (EEA). They signify that
products sold in the EEA have been assessed to meet high safety,
health, and environmental protection requirements.

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Commercial Invoice

• The commercial invoice must be submitted in triplicate, including the

original copy and must contain a complete description, quantity, unit
cost, HS code, delivery method of the goods and country of origin as
well as all required payment terms and letters of credit, if the
transaction was actualized through this payment method.

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Certificate of Origin

• A Certificate of Origin is required by certain foreign countries for tariff

purposes, certifying the country of origin of specified goods. The
certificate of origin is to be prepared in duplicate. No corrections are
permitted on this document, and it should be in English.
• A Certificate of Origin is usually prepared by the exporter or the
freight forwarder and notarized and attested to by a local Chamber of
Commerce or a World Trade Center.
• The Turkish Embassy or Consulate in the United States must certify
the Certificate of Origin. One copy of the document must be
surrendered to customs authorities at the time of importation.

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Health Certification
Special health certificates are required for imports of plants, seeds, live
animals and animal products.
• Plants, including fruits and vegetables, must be substantially free
from pests and diseases and must have been grown in an area
substantially free from prohibited pests and diseases.
• plant products and live animals and animal products conform to
health and sanitary/ phytosanitary requirements as required by
Turkish regulations.

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Special Import Requirements
Alcohol can be imported by the private sector by obtaining license and
permission from the Tobacco Products and Alcoholic Drinks Market
Regulatory Authority (TAPDK), an independent regulatory body.
Cigarettes can only be imported by cigarette producers, which are
granted permission by the government under special decree.

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Importation of Precious Metals/Stones

• Precious metals (e.g., gold and platinum) may only be imported by

members of the Istanbul Precious Metals Exchange operating under
Borsa Istanbul (Istanbul Stock Exchange).
• The Istanbul Stock Exchange consists of domestic or foreign banks,
precious metals companies, currency offices, precious metals
producing and marketing companies and precious metals refineries.

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Risk-Based Trade Control System (TAREKS)
• The Ministry of Trade launched a Risk-Based Control System (TAREKS)” in
2010 to carry out safety and quality checks on exported and imported
goods electronically and on a risk basis.
• Designed to be accessible online using an e-signature, the main purpose of
this control system is to increase the efficiency of foreign trade, to
provide safe and quality products to consumers and firms by controlling
the entry of “risky” products and traders to the market and to reduce
waiting times at customs.
• TAREKS encompasses goods like toys, medical devices,
telecommunication products, personal protective equipment, machinery,
electrical equipment, gas appliances, and some industrial raw materials
and agricultural products.

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Other Food-Related (including Chemicals and
Pharmaceuticals)
• Ingredients Certificate
• Certificate of Analysis
• Halal Certificate

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Ingredients Certificate
Ingredients Certificate - may be requested for food products with
labels that are inadequate or incomplete. The certificate may be issued
by the manufacturer. It must give a description of the product,
including contents and percentage of each ingredient; chemical data;
microbiological standards; storage instructions; shelf life; and date of
manufacture.
If animal fats are used, the certificate must state the type of fat used,
and that the product contains no pork, artificial pork flavor, or pork fat.
All foodstuffs are subject to analysis by foreign Ministry of Health
laboratories to establish fitness for use.

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Certificate of Analysis

• Attests that goods have undergone a particular type of testing with

specified results. A certificate of analysis may be needed by the
parties in the transaction or required by the country of importation.

• This document is usually required for food products, wines and

spirits, chemicals and pharmaceuticals. This certificate can be issued
by a certification authority or by the exporter if the buyer
agrees. Certificates of analysis may be obtained from an
accredited laboratory.

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Halal Certificate
Halal Certificate - guarantees products and services aimed for the
Muslim population meet requirements of Islamic law, and therefore
suitable for consumption in Muslim-majority countries.
This certificate states that the fresh or frozen meat or poultry
products were slaughtered in accordance with Islamic law, and
certification by an appropriate chamber, and legalization by the
consulate of the destination country are usually required.

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Pre-Shipment Inspections, Insurance and
Weight
• Pre-Shipment Inspections
• Insurance Certificate
• Weight Certificate
• Other (Product-Specific) Certificates

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Pre-Shipment Inspections, Insurance and
Weight
• Pre-Shipment Inspections: are undertaken by governments in a
number of countries, which have contracted with international
inspection companies to verify the quantity, quality, and price of
shipments imported into their countries.
• They want to ensure that the price charged by the exporter reflects
the true value of the goods, to prevent substandard goods from
entering the country, and to deflect attempts to avoid payment of
customs duties. Requirements for pre-shipment inspection are
normally spelled out in letter-of-credit or other documentary
requirements.

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• Inspection Visit
• Quantity Verification
• Random Selection
• Function and Safety Test
• Mechanical Safety Tests
• Electrical Safety Testing
• Country-Specific Labels & Markings for Electrical Products
• Inspection Report

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Pre-Shipment Inspections, Insurance and
Weight
• Insurance Certificate: assures the consignee that insurance will cover
loss and/or damage to the cargo during transit. These can be
obtained from your freight forwarder or insurance carrier.
• Note: an airway bill can serve as an insurance certificate for a
shipment by air. Some countries may require certification or
notification. Also, If presenting documents under a letter of credit,
you can present an insurance policy instead of an insurance
certificate. But you cannot present an insurance certificate instead of
an insurance policy under a letter of credit.

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Pre-Shipment Inspections, Insurance and
Weight
• Weight Certificate : certifies gross weight of the exported goods,

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Dangerous and Hazardous Goods
• Dangerous Goods Certificate
• Safety Data Sheet
• Radiation Certificate
• Chemicals

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Dangerous and Hazardous Goods
• Dangerous Goods Certificate - exports classified as dangerous goods
submitted for handling by air carriers and air-freight
forwarders, need to be accompanied by a Shipper’s Declaration for
Dangerous Goods; a requirement of the International Air Transport
Association (IATA). The exporter is responsible for the form's
accuracy, and ensuring that IATA requirements related to packaging,
marking, and other information have been met.
• Note: For shipments of dangerous goods, it is critical to identify
goods by proper name and comply with packaging and labeling
requirements, which vary depending upon type of product
shipped and country of destination.

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Dangerous and Hazardous Goods
• Safety Data Sheet : documents health and safety information about
products, substances or chemicals classified as hazardous substances or
dangerous goods. SDS is required to follow various country/region
regulations, including European Union REACH (Regulation on Registration,
Evaluation, Authorization and Restriction of Chemicals - Regulation
2006/1907/EC), and CLP (Classification, Labeling and Packing -
Regulation 2008/1272/EC).
• SDS also follows the Globally Harmonized System, and Occupational Safety
and Health Administration standards. Both SDS and a Shippers Letter of
Instructions are required by the broker or freight forwarder responsible for
arranging shipment of the goods. This helps ensure proper safety measures
are taken in the handling of goods, and that vessel safety limits are not
breached
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Dangerous and Hazardous Goods
• Radiation Certificate - may be required in some countries, including
Saudi Arabia, for some plant and animal imports. The certificate
states that the products are not contaminated by radioactivity.

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Dangerous and Hazardous Goods
• Chemicals: for shipments of chemical substances or mixtures subject
to section 12(b) of the Toxic Substances Control Act (TSCA), exporters
need to notify the U.S. Environmental Protection Agency (EPA). EPA,
in turn, will provide information about the exported chemical and its
related regulatory actions to the importing government.

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