Trade Facilitation — From First Contact to Signed Mandate
Facilitator / Agent: _____________________________________________
Principal (Seller): _____________________________________________
Product / Vertical: _____________________________________________
Target Market: _____________________________________________
Date of First Contact:_____________________________________________
Mandate Reference: _____________________________________________
This checklist guides a trade facilitator through every step from first contact with a prospective Principal to the signing of a mandate agreement. It covers qualification, due diligence, documentation, and mandate structuring. A mandate that is poorly originated — with inadequate due diligence, unclear scope, or missing protections — creates risk at every subsequent stage. Get origination right.
STAGE 1 — INITIAL ASSESSMENT (Before Any Commitment)
STAGE 2 — PRINCIPAL QUALIFICATION
STAGE 3 — PRODUCT AND MARKET ASSESSMENT
STAGE 4 — MANDATE TERMS NEGOTIATION
STAGE 5 — DOCUMENTATION
STAGE 6 — MANDATE ACTIVATION
MANDATE ORIGINATION REGISTER
Doc 85 — Mandate Origination Checklist — Neutral Template
| Item | Done | Notes |
|---|---|---|
| Principal identified through own network, referral, trade event, or inbound enquiry — source of introduction documented. | [ ] | |
| Preliminary call or meeting conducted — Principal's business, products, target markets, and export history understood. | [ ] | |
| Gut check: Is this a legitimate business with exportable products and realistic expectations? Proceed only if yes. | [ ] | |
| Product exportability confirmed: No known export prohibition, SCOMET restriction, or regulatory barrier affecting the product. | [ ] | |
| Target EU market validated: Is there genuine EU demand for this product at this price point? Any competing origins with lower tariffs or established supply chains? | [ ] | |
| Commission model confirmed as viable: Is the margin structure sufficient for a commission-only arrangement? Estimate the commission value on realistic first-year volumes. | [ ] | |
| No existing agency or exclusivity conflict: Principal has not already granted exclusive rights to another agent for this product/market combination. | [ ] | |
| Facilitator's own conflict check: No existing commitment to a competing Principal in the same product/market that would create a conflict of interest. | [ ] |
| Item | Done | Notes |
|---|---|---|
| IEC (Importer Exporter Code) confirmed as current and active — verified at dgft.gov.in. | [ ] | |
| GST registration confirmed — GSTIN active and linked to the product's HSN code. | [ ] | |
| Company registration documents reviewed: Certificate of Incorporation, Directors list, registered address. | [ ] | |
| RCMC confirmed from the appropriate Export Promotion Council for the product. | [ ] | |
| Export track record reviewed: Has the Principal exported before? To which markets? Any RASFF notifications, border rejections, or compliance issues on record? | [ ] | |
| Production capacity confirmed: Can the Principal reliably supply the volumes anticipated under this mandate? | [ ] | |
| Quality certifications confirmed: ISO 9001, IATF 16949, FSSAI, MPEDA, WHO-GMP, or other applicable certifications are current and in scope. | [ ] | |
| EU compliance status confirmed: Does the Principal's product currently meet EU regulatory requirements (CE, REACH, food safety, MRL compliance, labelling)? | [ ] | |
| Financial standing: Principal is solvent, no insolvency proceedings, no significant adverse credit history. | [ ] | |
| Sanctions screening of Principal and its directors completed — clear result documented (Doc 21 procedure followed). | [ ] | |
| KYC / due diligence questionnaire completed by Principal (Doc 22 submitted and reviewed). | [ ] | |
| No adverse media: Public search of Principal and key directors reveals no corruption, fraud, or regulatory sanction. | [ ] |
| Item | Done | Notes |
|---|---|---|
| Product specification received — technical data sheet, composition, and quality standard documented. | [ ] | |
| HS code (8-digit EU CN) confirmed — EU MFN duty rate and GSP/FTA preferential rate identified. | [ ] | |
| EU regulatory requirements mapped for this product: CE, REACH, food safety, phytosanitary, labelling — any compliance gaps identified and discussed with Principal. | [ ] | |
| Current EU market pricing researched — Principal's price is competitive at the applicable Incoterms and duty-paid landed cost. | [ ] | |
| Anti-dumping duty check completed — no ADD applies to this product from India. | [ ] | |
| RASFF history checked for this product category — no systemic EU border rejection pattern for Indian products in this category. | [ ] | |
| Potential EU buyers identified — preliminary list of EU importers, distributors, or buyers for this product compiled. | [ ] | |
| Competitive landscape assessed: Key competing origins (China, Vietnam, Bangladesh, Turkey) and their current EU duty rates. | [ ] | |
| Commission rate assessed: Proposed rate is realistic for the product margin and transaction value — cross-checked against market norms for this vertical. | [ ] |
| Item | Done | Notes |
|---|---|---|
| Mandate type confirmed: [ ] Sell-side only (exporter mandate) [ ] Buy-side only (buyer mandate) [ ] Both principals | [ ] | |
| Commission rate agreed: ______% of ______ (FOB / CIF / contract) value. | [ ] | |
| Commission trigger event defined clearly: e.g. receipt of first payment by Principal from Introduced Party. | [ ] | |
| Tail period agreed: 24 months from date of introduction (standard). Any deviation documented and agreed in writing. | [ ] | |
| Exclusivity confirmed: [ ] Non-exclusive [ ] Exclusive for territory: _____________ [ ] Exclusive for buyer: _____________ | [ ] | |
| Geographic scope confirmed: Mandate covers _____________________________________________. | [ ] | |
| Product scope confirmed: Mandate covers _____________________________________________ (not broader than Principal's exportable product range). | [ ] | |
| Anti-circumvention protection: Agreed that circumvention triggers full commission plus interest at _____%. | [ ] | |
| NCNDA scope confirmed: All parties to be bound — mandate agreement to incorporate NCNDA or separate NCNDA to be executed. | [ ] | |
| Governing law and dispute resolution agreed — jurisdiction, arbitration rules, and seat confirmed. | [ ] | |
| Notice provisions: Written notice address for each party confirmed. | [ ] | |
| Term and renewal: Initial term ___ months, renewal on _____ days' notice. | [ ] |
| Item | Done | Notes |
|---|---|---|
| Trade Facilitation Mandate Agreement (Doc 01) drafted and reviewed by both parties. | [ ] | |
| Letter of Authorisation (Doc 02) signed by Principal — scope, limitations, and validity period confirmed. | [ ] | |
| NCNDA (Doc 09) executed between Facilitator, Principal, and any sub-agents or co-facilitators. | [ ] | |
| Mutual NDA (Doc 10) executed if confidential information is being shared pre-mandate. | [ ] | |
| Commission arrangement documented in writing: commission letter (Doc 08) or full commission agency agreement (Doc 07) — minimum threshold for this mandate. | [ ] | |
| KYC file complete: IEC copy, GSTIN, company registration, product certifications, sanctions screening result — all on file. | [ ] | |
| Mandate reference number assigned — internal tracking register updated. | [ ] | |
| Mandate terms summary prepared for internal file: parties, product, commission rate, tail, exclusivity, term, governing law. | [ ] |
| Item | Done | Notes |
|---|---|---|
| Signed mandate agreement received from Principal — wet signature or legally valid electronic signature. | [ ] | |
| All signed documents filed — physical or digital document management system updated. | [ ] | |
| Mandate activation communication sent to Principal — confirming receipt of signed documents and next steps. | [ ] | |
| Buyer outreach plan prepared: List of target EU buyers for this mandate. Outreach strategy (LinkedIn, direct email, trade fair, chamber introduction) agreed. | [ ] | |
| Introduction protocol agreed with Principal: How will the facilitator introduce buyers? What information can be disclosed? What must remain confidential until a formal NDA is in place? | [ ] | |
| Reporting cadence agreed with Principal: Monthly progress updates? Quarterly reviews? Communication channel confirmed. | [ ] | |
| Mandate expiry diary entry created: Term end date flagged for renewal discussion. | [ ] | |
| Commission invoice template prepared — referencing the mandate agreement. Payment account details for commission confirmed. | [ ] |
| Mandate Reference: | |
|---|---|
| Principal: | |
| Product / Vertical: | |
| Territory / Market: | |
| Commission Rate: | _____ % of _____________ |
| Tail Period: | 24 months from date of each introduction |
| Exclusivity: | Non-exclusive / Exclusive (territory: _____________) |
| Mandate Start Date: | |
| Mandate Expiry Date: | |
| Governing Law: | |
| Signed Documents on File: | Doc 01 [ ] Doc 02 [ ] Doc 09 [ ] Doc 08/07 [ ] |
| KYC Complete: | Yes / Partial / No |
| Sanctions Screening: | Clear [ ] Date: _____________ |
| Status: | Active / On Hold / Concluded / Terminated |