---
kind: "range"
citation: "15 C.F.R. §§ 748.9–748.13"
title: "15"
from: "748.9"
to: "748.13"
count: 5
url: "https://uscodex.org/cfr/15/748.9..748.13"
---

# §748.9. Support documents for evaluation of foreign parties in license applications and/or for promoting compliance with license requirements.

- (a) **Scope.** License applicants may be required to obtain support documents concerning the foreign parties and the disposition of the items intended for export, reexport, or transfer (in-country). Some support documents are issued by foreign governments, while other support documents are signed and issued by the purchaser and/or ultimate consignee. For support documents issued by foreign governments, any foreign legal restrictions or obligations exercised by the government issuing the support document are in addition to the conditions and restrictions placed on the transaction by BIS. However, the laws and regulations of the United States are in no way modified, changed, or superseded by the issuance of a support document by a foreign government.
- (b) **Requirements to obtain support documents for license applications.** Unless an exception in [paragraph (c)](#c) of this section applies, a support document is required for certain license applications for:
  - (1) The People's Republic of China (PRC) other than the Hong Kong Special Administrative Region (see §§ [748.10](/cfr/15/748.10.md) and [748.11(a)(2)](/cfr/15/748.11.md?p=a-2));
  - (2) “600 Series Major Defense Equipment” (see [§ 748.11](/cfr/15/748.11.md));
  - (3) Firearms and related commodities to member countries of the Organization of American States (see [§ 748.12](/cfr/15/748.12.md)); and
  - (4) The Hong Kong Special Administrative Region of the People's Republic of China (see [§ 748.13](/cfr/15/748.13.md)).
- (c) **Exceptions to requirements to obtain support documents.**
  - (1) Even if a support document requirement is imposed by [paragraph (b)](#b) of this section, no support document is required for any of the following situations:
    - (i) The ultimate consignee or purchaser is an “Agency of the United States Government” (see [§ 740.11(b)(1)](/cfr/15/740.11.md?p=b-1) for definition). If either the ultimate consignee or purchaser is not an agency of the United States government, however, a support document may still be required from the non-U.S. governmental party;
    - (ii) The ultimate consignee or purchaser is a foreign government(s) or foreign government agency(ies), other than the government of the People's Republic of China. To determine whether the parties in a transaction meet the definition of “foreign government agency,” refer to the definition contained in [part 772](/cfr/15/part772.md) of the EAR. If either the ultimate consignee or purchaser is not a foreign government or foreign government agency, however, a support document may still be required from the nongovernmental party;
    - (iii) The license application is filed by, or on behalf of, a relief agency registered with the Advisory Committee on Voluntary Foreign Aid, U.S. Agency for International Development, for export to a member agency in the foreign country;
    - (iv) The license application is submitted for commodities for temporary exhibit, demonstration, or testing purposes;
    - (v) The license application is submitted for commodities controlled for short supply reasons (see [part 754](/cfr/15/part754.md) of the EAR);
    - (vi) [Reserved]
    - (vii) The license application is submitted for software or technology; or
    - (viii) The license application is submitted for encryption commodities controlled under ECCN 5A002, 5A004 or 5B002.
  - (2) BIS will consider granting an exception to the requirement for obtaining a support document where the requirements cannot be met due to circumstances beyond the applicant's control. An exception will not be granted contrary to the objectives of the U.S. export control laws and regulations. Refer to [§ 748.13](/cfr/15/748.13.md) of this part for specific instructions on procedures for requesting an exception.
- (d) **Content of support documents.** In addition to specific requirements described for each support document in §§ [748.10](/cfr/15/748.10.md), [748.11](/cfr/15/748.11.md), and [748.12](/cfr/15/748.12.md), the use and submission of support documents must comply with the following requirements.
  - (1) **English translation.** All abbreviations, coded terms, or other expressions on support documents having special significance in the trade or to the parties to the transaction must be explained on an attachment to the document. Documents in a language other than English must be accompanied by an attachment giving an accurate English translation, either made by a translating service or certified by the applicant to be correct. Explanations or translations should be provided on a separate piece of paper, and not entered on the support documents themselves.
  - (2) **Responsibility for full disclosure.**
    - (i) **The license application covering the transaction discloses all facts pertaining to the transaction.** Information contained in a support document obtained after submission of a license application and not submitted to BIS as part of the application cannot be construed as extending or expanding or otherwise modifying the specific information supplied in a license application or license issued by BIS. The authorizations contained in the resulting license are not extended by information contained in the support document regarding reexport from the country of destination, transfer (in-country), or any other facts relative to the transaction that are not reported on the license application.
    - (ii) Misrepresentations, either through failure to disclose facts, concealing a material fact, or furnishing false information, may subject responsible parties to administrative or criminal action by BIS.
    - (iii) In obtaining the required support document, the applicant is not relieved of the responsibility for full disclosure of any other information concerning the ultimate destination, end use, or end user of which the applicant knows, even if inconsistent with the representations made in the applicable support document. The applicant is responsible for promptly notifying BIS of any change in the facts contained in the support document that comes to the applicant's attention.
- (e) **Procedures for using support document with license application—**
  - (1) **Timing for obtaining support document.** When a support document is required for a license application in §§ [748.10](/cfr/15/748.10.md), [748.11](/cfr/15/748.11.md), and [748.12](/cfr/15/748.12.md), license applicants may submit the application prior to receipt of a copy of the support document, unless BIS informs the applicant that the support document must be submitted with the application. However, if the license is granted, items authorized on the license may not be exported, reexported, or transferred (in-country) until the license holder obtains a copy of the support document. The documents issued by the Government of the Hong Kong Special Administrative region that are required pursuant to [§ 748.13](/cfr/15/748.13.md) are not used to evaluate license applications. They must be obtained before shipment and need not be obtained before submitting a license application.
  - (2) **Information necessary for license application.** When a support document is required for a license application, applicants should mark the appropriate box in Block 7, regardless of whether a copy of the support document is on file with the applicant at the time of submission.
- (f) **Recordkeeping provisions.** License applicants must retain on file the original or a copy of any support document issued in support of a license application submitted to BIS. All recordkeeping provisions in [part 762](/cfr/15/part762.md) of the EAR apply to this requirement.
- (g) **Effect on license application review.** BIS reserves the right in all respects to determine to what extent any license will be issued covering items for which a support document has been issued. If a support document was issued by a foreign government, BIS will not seek or undertake to give consideration to recommendations from the foreign government as to the action to be taken on a license application. A support document will be only one of the factors upon which BIS will base its licensing action, since end uses and other considerations are important factors in the decision making process.
- (h) **Grace period for complying with requirements following regulatory change.**
  - (1) Whenever the requirement for a PRC End-User Statement, Statement by Ultimate Consignee or Purchaser, or Firearms Convention Import Certificate is imposed or extended by a change in the regulations, the license application need not conform to the new support documentation requirements for a period of 45 days after the effective date of the regulatory change published in the Federal Register.
  - (2) License applications filed during the 45-day grace period may require the submission of evidence available to the applicant that will support representations concerning the ultimate consignee, ultimate destination, and end use, such as copies of the order, letters of credit, correspondence between the applicant and ultimate consignee, or other documents received from the ultimate consignee. If such evidence is required, applicants must also identify the regulatory change (including its effective date) that justifies exercise of the 45-day grace period.

# §748.10. People's Republic of China (PRC) End-User Statement.

- (a) **Requirement to obtain document.** Unless the provisions of [§ 748.9(c)](/cfr/15/748.9.md?p=c) or [§ 748.11(a)(2)](/cfr/15/748.11.md?p=a-2) apply, a PRC End-User Statement is required for license applications including any of the following commodities destined for the PRC:
  - (1) Cameras classified under ECCN 6A003 requiring a license to the PRC for any reason, and the value of such cameras exceeds $5,000;
  - (2) Computers requiring a license to the PRC for any reason, regardless of the value of the computers; or
  - (3) Any commodity(ies) requiring a license to the PRC for any reason on the Commerce Control List, and the total value of such commodity(ies) requiring a license exceeds $50,000.
- (b) **Obtaining the document.**
  - (1) If a PRC End-User Statement is required for any reason under [paragraph (a)](#a) of this section, then applicants must request that the importer obtain a PRC End-User Statement for all items on a license application that require a license to the PRC for any reason listed on the CCL.
  - (2) PRC End-User Statements are issued and administered by the Ministry of Commerce; Department of Mechanic, Electronic and High Technology Industries; Export Control Division I; Chang An Jie No. 2; Beijing 100731 China; Phone: (86)(10) 6519 7366 or 6519 7390; Fax: (86)(10) 6519 7543; http://zzyhzm.mofcom.gov.cn/. See the BIS Web site (www.bis.doc.gov) for the current contact information.
- (c) **Content of the document.**
  - (1) The license applicant's name must appear on the PRC End-User Statement submitted to BIS as the applicant, supplier, or order party.
  - (2) License applicants must ensure that the following information is included on the PRC End-User Statement signed by an official of the Department of Mechanic, Electronic and High Technology Industries, Export Control Division I, of the PRC Ministry of Commerce (MOFCOM), with MOFCOM's seal affixed to it:
    - (i) Title of contract and contract number (optional);
    - (ii) Names of importer and exporter;
    - (iii) End user and end use;
    - (iv) Description of the commodity, quantity and dollar value; and
    - (v) **Signature of the importer and date.**
- (d) **Procedures for using document with license application—**
  - (1) **Using a PRC End-User Statement for multiple applications.** A PRC End-User Statement may cover more than one purchase order and more than one item. Where the Statement includes items for which more than one license application will be submitted, the applicant should ensure that the total quantities on the license application(s) do not exceed the total quantities shown on the PRC End-User Statement.
  - (2) **Alterations.** After a PRC End-User Statement is issued by the Government of the People's Republic of China, no corrections, additions, or alterations may be made on the certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant.
  - (3) **Validity period.** A PRC End-User Statement is valid until the quantities of items identified on the Statement have been shipped.

# §748.11. Statement by Ultimate Consignee and Purchaser.

- (a) **Requirement to obtain document—**
  - (1) **General requirement for all countries excluding the People's Republic of China (PRC).** Unless an exception in [§ 748.9(c)](/cfr/15/748.9.md?p=c) or [paragraph (a)(3)](#a-3) of this section applies, a Statement by Ultimate Consignee and Purchaser is required if the license application includes “600 Series Major Defense Equipment” (600 series MDE) requiring a license for any reason on the Commerce Control List and such items are destined for a country other than the PRC.
  - (2) **Permissive substitute of Statement by Ultimate Consignee and Purchaser in place of PRC End-User Statement.** The requirement to obtain a support document for license applications involving the PRC is generally determined by [§ 748.10(a)](/cfr/15/748.10.md?p=a) of the EAR. However, a Statement by Ultimate Consignee and Purchaser may be substituted in place of a PRC End-User Statement when the commodities to be exported (i.e., replacement parts and components) are valued at $75,000 or less and are for servicing previously exported commodities.
  - (3) **Exception to general requirement.** The general requirement described in [paragraph (a)(1)](#a-1) of this section does not apply if the applicant is the same person as the ultimate consignee, provided the required statements are contained in Block 24 on the license application. This exemption does not apply, however, where the applicant and consignee are separate entities, such as parent and subsidiary, or affiliated or associated firms.
- (b) **Obtaining the document.**
  - (1) The ultimate consignee and purchaser must complete either a statement on company letterhead, or Form BIS-711, Statement by Ultimate Consignee and Purchaser, as described in [paragraph (c)](#c) of this section. Unless otherwise specified, any reference in this section to “Statement by Ultimate Consignee and Purchaser” applies to both the statement on company letterhead and to Form BIS-711.
  - (2) If the consignee and purchaser elect to complete the statement on letterhead and both the ultimate consignee and purchaser are the same entity, only one statement is necessary.
  - (3) If the ultimate consignee and purchaser are separate entities, separate statements must be prepared and signed.
  - (4) If the ultimate consignee and purchaser elect to complete Form BIS-711, only one Form BIS-711 (containing the signatures of the ultimate consignee and purchaser) need be completed.
  - (5) Whether the ultimate consignee and purchaser sign a written statement or complete Form BIS-711, the following constraints apply:
    - (i) Responsible officials representing the ultimate consignee or purchaser must sign the statement. “Responsible official” is defined as someone with personal knowledge of the information included in the statement, and authority to bind the ultimate consignee or purchaser for whom they sign, and who has the power and authority to control the use and disposition of the licensed items.
    - (ii) The authority to sign the statement may not be delegated to any person (agent, employee, or other) whose authority to sign is not inherent in his or her official position with the ultimate consignee or purchaser for whom he or she signs. The signing official may be located in the United States or in a foreign country. The official title of the person signing the statement must also be included.
    - (iii) The consignee and/or purchaser must submit information that is true and correct to the best of their knowledge and must promptly send a new statement to the applicant if changes in the facts or intentions contained in their statement(s) occur after the statement(s) have been forwarded to the applicant. Once a statement has been signed, no corrections, additions, or alterations may be made. If a signed statement is incomplete or incorrect in any respect, a new statement must be prepared, signed and forwarded to the applicant.
- (c) **Content of the document.** See supplement no. 3 to this part for the information necessary to complete a statement on company letterhead or on Form BIS-711.
- (d) **Procedures for using document with license application—**
  - (1) **Validity period.**
    - (i) If a Statement by Ultimate Consignee and Purchaser is obtained prior to submission of the license application and the Statement is required to support one or more license applications, an applicant must submit the first license application within one year from the date the statement was signed.
    - (ii) All subsequent license applications supported by the same Statement by Ultimate Consignee and Purchaser must be submitted within four years of signature by the consignee or purchaser, whichever was last.
  - (2) [Reserved]

# §748.12. Firearms import certificate or import permit.


License applications for certain firearms and related commodities require support documents in accordance with this section. For destinations that are members of the Organization of American States (OAS), an FC Import Certificate, equivalent official document, or the electronic equivalent document officially issued by the foreign government is required in accordance with [paragraphs (a) through (d)](#a..d) of this section. For other destinations that require a firearms import certificate or permit, the firearms import certificate or permit is required in accordance with [paragraph (e)](#e) of this section.

- (a) **Requirement to obtain and submit documentation for OAS member states.** Unless an exception in [§ 748.9(c)](/cfr/15/748.9.md?p=c) applies, an FC Import Certificate is required for license applications for firearms and related commodities, regardless of value, that are destined for member countries of the OAS. This requirement is consistent with the OAS Model Regulations described in [§ 742.17](/cfr/15/742.17.md) of the EAR.
  - (1) **Items subject to requirement.** Firearms and related commodities are those commodities controlled for “FC Column 1” reasons under 0x5zz ECCNs.
  - (2) **Countries subject to requirement.**
    - (i) **OAS member countries include—** Antigua and Barbuda, Argentina, Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, Uruguay, Venezuela, and any member country that has acceded in accordance with Chapter III of the Charter of the Organization of American States.
    - (ii) [Reserved]
  - (3) **Equivalent official document in place of an FC Import Certificate.** For those OAS member countries that have not yet established or implemented an FC Import Certificate procedure, BIS will accept an equivalent official document (e.g., import license or letter of authorization) issued by the government of the importing country as supporting documentation for the export of firearms and related commodities.
- (b) **Obtaining the document.**
  - (1) Applicants must request that the importer (e.g., ultimate consignee or purchaser) obtain the FC Import Certificate or an equivalent official document from the government of the importing country, and that it be issued covering the quantities and types of items that the applicant intends to export. Upon receipt of the FC Import Certificate, its official equivalent, or a copy, the importer must provide the original, official equivalent, or a certified copy to the license applicant.
  - (2) If the government of the importing country will not issue an FC Import Certificate or its official equivalent, the applicant must supply the information described in paragraphs [(c)(1)](#c-1) and [(c)(6) through (c)(8)](#c-6..c-8) of this section on company letterhead.
- (c) **Content of the document.** The FC Import Certificate or its official equivalent must contain, as applicable, the following information:
  - (1) **Applicant's name and address.** The applicant may be either the exporter, supplier, or order party.
  - (2) **FC Import Certificate Identifier/Number.**
  - (3) **Name of the country issuing the certificate or unique country code.**
  - (4) Date the document was issued, in international date format (e.g., 24/12/12 for 24 December 2012, or 3/1/99 for 3 January 1999).
  - (5) Name of the agency issuing the certificate, address, telephone and facsimile numbers, signing officer name, and signature.
  - (6) Name of the importer, address, telephone and facsimile numbers, country of residence, representative's name if commercial or government body, citizenship, and signature.
  - (7) Name of the end user(s), if known and different from the importer, address, telephone and facsimile numbers, country of residence, representative's name if commercial (authorized distributor or reseller) or government body, citizenship, and signature. Note that BIS does not require the identification of each end user when the firearms and related commodities will be resold by a distributor or reseller if unknown at the time of export.
  - (8) Description of the commodities approved for import including a technical description and total quantity of firearms, parts and components, ammunition and parts.
  - (9) Expiration date of the FC Import Certificate in international date format (e.g., 24/12/12) or the date the items must be imported, whichever is earlier.
  - (10) Name of the country of export (i.e., United States).
  - (11) **Additional information.** Certain countries may require the tariff classification number, by class, under the Brussels Convention (Harmonized Tariff Code) or the specific technical description of a commodity. For example, shotguns may need to be described in barrel length, overall length, number of shots, manufacturer's name and country of manufacture. The technical description is not the Export Control Classification Number (ECCN).
- (d) **Procedures for using document with license application—**
  - (1) **Information necessary for license application.** The license application must include the same commodities as those listed on the FC Import Certificate or the equivalent official document.
  - (2) **Alterations.** After an FC Import Certificate or equivalent official document is used to support the issuance of a license, no corrections, additions, or alterations may be made on the FC Import Certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant.
  - (3) **Validity period.** FC Import Certificates or equivalent official documents issued by an OAS member country will be valid until the expiration date on the document or for a period of four years, whichever is shorter.
- (e) **Requirement to obtain an import certificate or permit for other than OAS member states.** If the country to which firearms, parts, components, accessories, and attachments controlled under ECCN 0A501, or ammunition controlled under ECCN 0A505, are being exported or reexported requires that a government-issued certificate or permit be obtained prior to importing the commodity, the exporter or reexporter must obtain and retain on file the original or a copy of that certificate or permit before applying for an export or reexport license unless:
  - (1) A license is not required for the export or reexport; or
  - (2) The exporter is required to obtain an import or end-user certificate or other equivalent official document pursuant to [paragraphs (a)](#a) thorough (d) of this section and has, in fact, complied with that requirement.
  - (3)
    - (i) The number or other identifying information of the import certificate or permit must be stated on the license application.
    - (ii) If the country to which the commodities are being exported does not require an import certificate or permit for firearms imports, that fact must be noted on any license application for ECCN 0A501 or 0A505 commodities.

# §748.13. Hong Kong import and export licenses.

- (a) **Requirement to obtain the document—**
  - (1) **Exports and reexports to Hong Kong.** An exporter or reexporter must obtain the documents described in paragraph [(a)(1)(i)](#a-1-i) or [(a)(1)(ii)](#a-1-ii) of this section before using a license issued by BIS to export or reexport to Hong Kong any item subject to the EAR and controlled on the CCL for NS, MT, NP column 1, or CB reasons. Collectively, the documents issued by Hong Kong must cover all of the items to be exported or reexported pursuant to a license.
    - (i) A copy of an import license issued to the Hong Kong importer by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers the items to be exported or reexported pursuant to that BIS license for which a Hong Kong import license is required and that is valid on the date of the export or reexport that is subject to the EAR; or
    - (ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no import license is required to import into Hong Kong the item(s) to be exported or reexported to Hong Kong. The statement may have been issued directly to the Hong Kong importer or it may be a written statement available to the general public. The statement may be used for more than one export or reexport to Hong Kong so long as it remains an accurate statement of Hong Kong law.
  - (2) **Reexports from Hong Kong.** No license issued by BIS may be used to reexport from Hong Kong any item subject to the EAR controlled on the CCL for NS, MT, NP column 1, and/or CB reasons unless the reexporter has received either:
    - (i) An export license issued by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers all items to be rexported pursuant to that BIS license for which a Hong Kong export license is required and that is valid on the date of the reexport that is subject to the EAR; or
    - (ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no export license is required from Hong Kong for the item(s) to be reexported. The statement may have been issued directly to the Hong Kong reexporter or it may be a written statement available to the general public. The statement may be used for more than one reexport from Hong Kong so long as it remains an accurate statement of Hong Kong law.
- (b) **Recordkeeping.** The documents required to be obtained by [paragraph (a)](#a) of this section must be retained and made available to the U.S. Government upon request in accordance with [part 762](/cfr/15/part762.md) of the EAR.