What Are Shipping Instructions (S/I)? The Role, Required Fields, and Recipients of the Shipment Request Form

When people first move into export operations, they can usually pull together an invoice and a packing list, but the moment a forwarder says "please send us your shipping instructions," they freeze. It is a shipping document, yet it is unclear whether the shipping line prepares it or whether you write it yourself, and that ambiguity tends to carry through the whole process. The name sounds intimidating, but once you understand what it actually is, the S/I is nothing to be afraid of.

This article sorts out who issues shipping instructions (S/I, the shipment request form) to whom and for what purpose, and then walks through the required fields, who receives it and when, its relationship to the bill of lading (B/L), and the export-control pitfalls that trip people up -- all anchored to the relevant provisions of the Commercial Code and the Customs Act.

Quick Reference: Where the S/I Sits

Start by placing the S/I among the main documents that appear when you arrange an export. Lining up who prepares each one, where it goes, and what it is for makes the role of the S/I clear.

Document	Prepared by	Main recipient	Role	Legal position
S/I (shipping instructions)	Exporter (shipper)	Shipping line, forwarder, customs broker	Instructs the contents to be entered on the B/L or waybill	No statutory form. A document of commercial practice (its contents correspond to the shipper's notice under Article 759 of the Commercial Code)
Invoice	Exporter	Customs broker, Customs, importer	A transaction statement and demand for payment showing item name, quantity, and value	A document Customs may request under Article 68 of the Customs Act
Packing list	Exporter	Customs broker, Customs	A statement of the number of packages, weight, and volume per packing unit	A document that supplements the invoice (Article 68 of the Customs Act)
B/L (bill of lading)	Shipping line, forwarder	From the exporter to the importer via the bank	A negotiable instrument representing the contract of carriage, receipt of the goods, and the right to claim delivery	Articles 757 and 758 of the Commercial Code (required particulars), etc.

As the table shows, the S/I is a document the exporter side prepares, while the B/L is a document the shipping line side prepares. This is the first place people stumble, so fix it in your mind before anything else. If you are unsure whether your own transactions are missing any documents or legal steps, running our export compliance self-assessment first will give you a rough read on where your weak points are.

What Are Shipping Instructions (S/I)?

In Japanese, shipping instructions are called the shipment request form or shipping order. It is the document by which the exporter -- that is, the shipper -- tells the shipping line, forwarder, or customs broker what to enter when they produce the bill of lading (B/L), a waybill, or, for air cargo, the AWB (air waybill). The key point is who prepares it: the S/I is not something the shipping line produces for you; it is something the exporter side prepares and submits.

Its role is that of an instruction sheet for producing transport documents. When the exporter writes the item name, quantity, consignee, and so on into the S/I and hands it over, those contents pass through the forwarder to the shipping line and are transcribed onto the B/L or waybill. In other words, what you write on the S/I becomes the template for the shipping line's document. That is precisely why the accuracy of the S/I translates directly into the accuracy of the transport document.

JETRO's Trade and Investment Q&A also lists four documents required when you ask a customs broker to handle export clearance: the invoice, the packing list, the shipping instructions, and the power of attorney. As for the role of the S/I, it is described as the document that specifies the information the customs broker needs in order to produce the bill of lading (B/L) or the air waybill (AWB). This is not merely a textbook definition -- it is a document positioned as required in the field of everyday practice.

The Role of the S/I: An Instruction Sheet for Producing the B/L

The quickest way to understand the legal character of the S/I is to look at the provisions on the B/L side. The bill of lading (B/L) is governed by the Commercial Code (Act No. 48 of 1899). Article 758 of the Commercial Code sets out the particulars to be entered on a bill of lading, from item 1 through item 12, and requires the carrier or the master to sign it or to affix a name and seal. In the case of a received-for-shipment bill of lading, issued at the stage when the goods are received, the particulars are entered with items 7 and 8 omitted.

The specific particulars are as follows. Many of the fields you fill in on an S/I correspond to these items.

Item	Particular
Item 1	The kind of the goods carried
Item 2	The volume or weight, or the number of packages or pieces, and the identifying marks
Item 3	The apparent condition of the goods
Item 4	The name of the shipper or the charterer
Item 5	The name of the consignee
Item 6	The name of the carrier
Item 7	The name of the vessel
Item 8	The port of loading and the date of loading
Item 9	The port of discharge
Item 10	The freight
Item 11	If several bills of lading are issued, the number of them
Item 12	The place and date of issue

The core of the legal position of the S/I is Article 759 of the Commercial Code. Paragraph 1 provides that, as to the kind of the goods carried and the particulars concerning volume, weight, number of packages, and identifying marks, where the shipper or charterer has given notice in writing or by electromagnetic means, the carrier must enter those particulars in accordance with that notice. In other words, the parts that describe the contents of the goods are not for the shipping line to decide on its own; the carrier is obliged to record them exactly as the shipper's notice states. In exchange, paragraph 2 provides that the shipper or charterer bears liability to compensate the carrier for any loss arising from the notice being inaccurate. The scheme places the responsibility for conveying accurate information on the shipper side.

In practice, the document that gives concrete form to this "shipper's notice" is the S/I. One caveat, though: the words "shipping instructions" and "S/I" do not themselves appear in the statute. The understanding is that the S/I fills the role of this notice; there is no confirmed provision or administrative circular that defines the two as legally identical documents. Even so, the statutory principle -- that responsibility for the accuracy of the cargo information rests with the shipper -- explains very well why the S/I deserves to be written with care.

For reference, the Commercial Code provisions on the bill of lading underwent their first substantial review in roughly 120 years through the Act Partially Amending the Commercial Code and the Act on International Carriage of Goods by Sea (Act No. 29 of 2018, promulgated May 25, 2018, in force April 1, 2019). This amendment modernized the text, moving it from the old katakana literary style to a hiragana colloquial style. For carriage by sea on international routes, the special-law Act on International Carriage of Goods by Sea (Act No. 172 of 1957) applies as well. Incidentally, the issuance of the B/L itself is governed by Article 757 of the Commercial Code, under which the carrier is obliged to issue a bill of lading upon the request of the shipper or others.

The Required Fields of the S/I

There is no government-prescribed statutory form for the S/I. It is common to use the format specified by the shipping line or forwarder, and the arrangement and naming of fields varies from one format to another. What follows are simply the general fields you commonly see in practice. Keep in the back of your mind that this is not a statutory list of items.

Most S/I forms have fields for the shipper, the consignee, and the notify party. The consignee is critical information because it ties directly to the party entitled under the B/L, while the notify party is who is contacted when the cargo arrives. For the means of transport, you enter the vessel name and voyage number, the port of loading, the port of discharge, the shipping line's name, and the booking number.

For the goods themselves, the cargo details cover the description, quantity, weight, and measurement, together with the marks and numbers. This part corresponds to the kind of the goods and the volume, weight, number of packages, and identifying marks under Article 759 of the Commercial Code discussed above. You also specify how many original B/Ls to issue, whether the freight is Prepaid or Collect, and conditions such as the place of issue and the place of payment. In letter-of-credit (L/C) transactions, if these entries do not match the terms of the L/C they will later create an inconsistency, so you fill them in while cross-checking against the L/C conditions.

Who Receives the S/I, and When to Submit It

In practice, the recipient is the forwarder (customs broker) handling your export clearance. At the point of arranging the shipment, you hand over the S/I together with the invoice and packing list. The contents of the S/I you submit pass through the customs broker to the shipping line or airline, where they are transcribed onto the B/L or AWB. Rather than the exporter dealing directly with the shipping line, it is standard for the forwarder to serve as the hub that routes the documents.

As a precondition, entrusting clearance to a customs broker requires a power of attorney. This is grounded in Article 22, paragraph 1 of the Customs Business Act (Act No. 122 of 1967) and Article 8, paragraph 2 of the Order for Enforcement of the Customs Business Act, and it is one of JETRO's four required documents. The practical sequence is that the cargo owner or the forwarding agent prepares the S/I in accordance with the L/C and other conditions, and the shipping line or forwarder then produces the B/L exactly as the S/I directs. If you want an overview of how the whole set of export clearance documents interlocks, reading our checklist of documents required for export customs clearance alongside this article will make it easier to see where the S/I sits in the bigger picture.

The S/I's Place Among Export Customs Clearance Documents

The S/I is a shipping instruction sheet, but the export itself proceeds along a separate track. Export customs clearance is established under Article 67 of the Customs Act (Act No. 61 of 1954) by filing an export declaration and obtaining export permission from Customs. In filing, Article 68 of the same Act allows Customs to request the invoice and any other documents necessary to verify the contents of the declaration. This is the basis for submitting the invoice. In addition, Article 70 of the same Act provides for certification or confirmation under other laws, so goods that require a license under FEFTA or the approval of another ministry will not be permitted unless you show that the relevant procedure has been completed.

Export declarations today are generally filed electronically through NACCS (the Nippon Automated Cargo and Port Consolidated System). The paper S/I serves as the starting point, but the declaration itself flows through the system. Japan Customs' Customs Answer 1107 lists the documents required at the time of a declaration -- the invoice, the packing list, transport documents such as the bill of lading (B/L), the insurance contract, receipts, and so on -- and cites Articles 67, 68, and 70 of the Customs Act, among others, as the basis. To put it plainly, the S/I is not a declaration document submitted directly to Customs; it is the exporter side's instruction sheet for bringing transport documents such as the B/L into being. Keeping the set of documents you submit to Customs separate from the instruction sheet you give the shipping line -- because their roles differ -- will keep you from getting confused.

Common Mistakes and Export-Control Cautions

The most frequent mistake is an error in the S/I entries. Because the B/L is produced exactly as the S/I states, an incorrect S/I means an incorrect B/L is issued. Mixing up the consignee, the item name, or the quantity flows straight through to the delivery of the goods and the collection of payment. Corrections are possible even after issuance, but most shipping lines charge a correction or amendment fee. In an L/C transaction it can also cause an inconsistency -- a so-called discrepancy. That is exactly why aligning the contents with the importer before you issue the S/I has become the standard practice in the field.

There is a second caution worth emphasizing from an export-control standpoint. The S/I is, after all, a document for producing transport documents; it is not the document on which you decide whether an export may proceed. If you move ahead with the sense that issuing the S/I is what clears the export, the classification screening and transaction screening required under FEFTA drop out. The item name, destination, and consignee you write on the S/I are information that bears directly on list controls, catch-all controls, and the screening of end user, end use, and destination. In the proper order, you finish classification screening and transaction screening before you draft the S/I. The trap lies in the tendency to lump the arranging of transport together with the decision on whether to export at all, as if they were one and the same flow.

Common Misconceptions

Here are a few assumptions you often hear in the field, set straight.

"The S/I is a document the shipping line prepares." This is wrong. The exporter (shipper) prepares it, and the shipping line produces the B/L based on that S/I. Get the direction of preparation backwards and you will sit waiting for a document that never comes.

"The S/I and the invoice are the same thing." Also wrong. The S/I is an instruction sheet for producing the B/L, a transport document, while the invoice is a transaction statement and demand for payment; their purposes are entirely different. Some fields merely overlap -- the roles are not interchangeable.

"There is a government-prescribed statutory form for the S/I." Not correct either. There is no statutory form; you use the format specified by the shipping line or forwarder. The entries center on items that are ultimately transcribed onto the B/L particulars under Article 758 of the Commercial Code.

"Issuing the S/I means you can export." This understanding is dangerous too. The S/I is a transport-arrangement document; it does not substitute for classification screening and the export license under FEFTA, or for the export declaration under the Customs Act.

"The shipping line freely decides the contents of the B/L." This is also out of step with reality. As to the kind of the goods, the volume, the weight, and so on, Article 759, paragraph 1 of the Commercial Code obliges the carrier to record them in accordance with the shipper's notice -- the S/I in practice. The initiative over the substantive information rests with the shipper side.

Frequently Asked Questions

How do shipping instructions (S/I) differ from the commercial invoice?

Their purpose is different. The invoice is a transaction statement and demand for payment that sets out the item name, quantity, and value; it is not a document for producing the B/L. The S/I instructs the carrier and forwarder on what to enter on the B/L or waybill. Because some fields overlap, in practice you submit both to your customs broker.

Who receives the S/I, and when do you submit it?

In practice you submit it to the forwarder (customs broker) handling your export clearance, together with the invoice and packing list, at the point of arranging the shipment. The contents pass through the broker to the shipping line or airline and are transcribed onto the B/L or AWB. JETRO also lists the shipping instructions (S/I) among the documents required when you ask a broker to handle export clearance.

Is there a statutory format for the S/I?

No. There is no government-prescribed statutory form; it is standard to use the format specified by the shipping line or forwarder. The entries center on the items that are ultimately transcribed onto the B/L, whose required particulars are set by Article 758 of the Commercial Code.

What happens if the S/I is filled in incorrectly?

Because the B/L is produced to match the S/I, an incorrect S/I results in an incorrect B/L. Corrections are possible even after issuance, but most shipping lines charge a correction or amendment fee. In letter-of-credit (L/C) transactions an inconsistency can also cause a discrepancy, so confirming the contents with the importer in advance is the standard practice.

Does the S/I need to record export-control matters such as classification screening or an export license?

The S/I itself is a document for producing transport documents such as the B/L; it is not the document on which the need for an export license is decided. That said, the item name, destination, and consignee you write on the S/I bear directly on list controls, catch-all controls, and transaction screening. It is important to complete your classification screening and transaction screening under FEFTA before you draft the S/I.

How to Run the Classification Screening That Comes Before the S/I

As we have seen, the S/I matters as a shipping instruction sheet, but ahead of it lies another gate: classification screening under FEFTA. Unless you confirm, before you write the item name and destination onto the S/I, whether the goods or technology fall under the articles of Appended Table 1 of the Export Order or the ministerial ordinance on goods and technologies, you risk an accident in which the transport arrangements advance while the decision on whether the export is permissible drops out. When one person shoulders everything from classification screening to document preparation, the confirmation tends to thin out somewhere along the way.

You can lower the burden of classification screening with the right system. TIMEWELL's TRAFEED (formerly ZEROCK ExCHECK) is an export-control AI agent that supports classification screening. Working from a product's specifications, it helps cross-reference against the articles of Appended Table 1 of the Export Order and the ministerial ordinance on goods and technologies, and presents the result together with the basis for the determination. It conforms to the standards of Japan's Ministry of Economy, Trade and Industry and supports multiple languages. If you make the routine, systematizable parts of classification screening efficient first, it becomes easier to devote people to document work such as preparing the S/I and the invoice, and the gaps across the whole process shrink.

If you would like to talk through how to build the S/I and classification screening into your own export flow in a way that fits your specific transactions, please use our individual export-control consultation.

Summary

Shipping instructions (S/I, the shipment request form) are the document by which the exporter tells the shipping line or forwarder what to enter on the B/L or waybill. The exporter side prepares it; what the shipping line prepares is the B/L. Get that direction of preparation right and the S/I is not a difficult document. As a next step, open the forwarder-specified S/I form you normally use, and match up which field corresponds to which particular under Articles 758 and 759 of the Commercial Code. Once you understand what each field means, entry mistakes fall away noticeably.

Finally, do not break the order. Finish classification screening and transaction screening first, then write the S/I and arrange the shipment. The S/I, as a transport-arrangement document, does not stand in for the export license under FEFTA or the export declaration under the Customs Act. Precisely because it is a document with no statutory form, taking care to settle the judgments that must precede it -- which looks like a detour but is the shortest path. Because the fine points of the entries shift with the shipping line's format and the requirements of the destination country, always confirm the specifics in the end with your own forwarder and counterparty.

References (Primary Sources)

• Documents Required When Asking a Customs Broker to Handle Export Clearance: Japan (Trade and Investment Q&A) | JETRO
• Commercial Code (Act No. 48 of 1899), Articles 757, 758, and 759 | e-Gov Law Search
• Act on International Carriage of Goods by Sea (Act No. 172 of 1957) | e-Gov Law Search
• On the Act Partially Amending the Commercial Code and the Act on International Carriage of Goods by Sea (Act No. 29 of 2018, in force April 1, 2019) | Ministry of Justice
• Customs Act (Act No. 61 of 1954), Articles 67, 68, and 70 | e-Gov Law Search
• 1107 Documents Required at the Time of a Declaration | Japan Customs (Customs Answer)
• Basic Circular on the Customs Act, Chapter 6 Customs Clearance, Section 1 General Export Clearance | Japan Customs