Firearms import certificates and Hong Kong licenses

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1. Two firearms documents

The Export Administration Regulations (EAR) require support documents for license applications for certain firearms and related commodities (15 CFR 748.12). For member countries of the Organization of American States (OAS), the document is a Firearms Convention (FC) Import Certificate, an equivalent official document or its electronic equivalent issued by the foreign government. For other destinations that require a firearms import certificate or permit, that certificate or permit is required.

2. The OAS requirement

Unless a general exception applies, an FC Import Certificate is required for license applications for firearms and related commodities destined for OAS member countries, regardless of value (15 CFR 748.12(a)). The requirement is consistent with the OAS Model Regulations. Firearms and related commodities are those controlled for FC Column 1 reasons under 0x5zz Export Control Classification Numbers (ECCNs) (15 CFR 748.12(a)(1)).

The OAS members named include Argentina, Brazil, Canada, Chile, Colombia, Mexico, Panama, Peru and Uruguay, along with the Caribbean and Central American members listed in the rule (15 CFR 748.12(a)(2)(i)). Any country that accedes under Chapter III of the OAS Charter is also covered. Some members have not yet set up an FC Import Certificate procedure. For them, the Bureau of Industry and Security (BIS) accepts an equivalent official document, such as an import license or letter of authorization from the importing government (15 CFR 748.12(a)(3)).

3. Obtaining the certificate

The applicant asks the importer, such as the ultimate consignee or purchaser, to obtain the certificate or equivalent from the importing government, covering the quantities and types of items to be exported (15 CFR 748.12(b)(1)). The importer then gives the applicant the original, the official equivalent or a certified copy. If the government will not issue one, the applicant supplies on company letterhead its own details, the importer’s details, any known end users and a description of the commodities (15 CFR 748.12(b)(2)).

4. What the certificate contains

Under the content rules, the certificate contains, as applicable, the applicant’s name and address, as exporter, supplier or order party, and the certificate number (15 CFR 748.12(c)). It names the issuing country and gives the issue date in international date format. It identifies the issuing agency, with contact details, the signing officer’s name and signature.

It identifies the importer, with address, contact details, country of residence, representative, citizenship and signature. It identifies the end users, if known and different from the importer. BIS does not require each end user to be identified when a distributor or reseller will resell items and the end users are unknown at export. It describes the commodities approved for import, with a technical description and total quantities of firearms, parts and components, ammunition and parts.

The certificate also gives its expiration date, or the date by which the items must be imported, whichever is earlier, and names the United States as the country of export. Some countries also require the Harmonized Tariff Code classification or a specific technical description, which is not the ECCN. The applicant gives the consignee a detailed technical description of each commodity for the government’s use.

5. Using the certificate

The license application includes the same commodities as the certificate (15 CFR 748.12(d)(1)). Once a certificate has supported a license, no one may correct or alter it, and needed changes go in a separate statement kept by the applicant (15 CFR 748.12(d)(2)). A certificate is valid until its expiration date or for four years, whichever is shorter (15 CFR 748.12(d)(3)).

The initial certificate is submitted with the application (15 CFR 748.12(d)(3)). Licenses for ECCNs 0A501, 0A505, 0A506, 0A507 and 0A509, apart from 0A509.a items for 0A502 or 0A508 and 0A509.d, carry a standard rider requiring a current certificate on file before each export. The rule notes that certificates are usually valid for 1 year while BIS licenses are generally valid for 4.

6. Other countries requiring import permits

Some non-OAS countries require a government-issued import certificate or permit for firearms, parts, components, accessories and attachments under ECCN 0A501, or ammunition under ECCN 0A505 (15 CFR 748.12(e)). For those countries, the exporter obtains and keeps the original or a copy before applying for a license (15 CFR 748.12(e)). That does not apply if no license is required, or if the exporter has complied with the OAS requirement.

The certificate or permit number is stated on the application, and if the country does not require one, that fact is noted (15 CFR 748.12(e)(3)). A BIS Statement by Ultimate Consignee and Purchaser does not satisfy the OAS certificate requirement, because it is not issued by a government.

7. Hong Kong licenses

Hong Kong has its own document rule (15 CFR 748.13(a)(1)). Before using a BIS license to export or reexport to Hong Kong items controlled for national security, missile technology, nuclear nonproliferation column 1 or chemical and biological reasons, the exporter obtains a Hong Kong document (15 CFR 748.13(a)(1)). It is either a copy of the Hong Kong import license issued to the importer under the Strategic Commodities Regulations, valid on the export date, or a Hong Kong government statement that no import license is required. Together, the documents must cover all items exported under the license.

Reexports from Hong Kong of items controlled for those reasons need a Hong Kong export license valid on the reexport date, or a written Hong Kong statement that no export license is required (15 CFR 748.13(a)(2)). A general statement may be reused while it remains an accurate statement of Hong Kong law. Hong Kong is one of the areas where support documents may be required (15 CFR 748.9(b)(4)). Its documents are not used to evaluate license applications and need only be obtained before shipment (15 CFR 748.9(e)(1)). The documents are retained and made available to the government on request under part 762 (15 CFR 748.13(b)). End-user statements are covered in end-user and consignee statements.

Key terms

FC Import Certificate	The import certificate required for OAS firearms destinations.
OAS	The Organization of American States.
Standard rider	A license condition requiring a current certificate before export.
Hong Kong import license	A license under Hong Kong’s Strategic Commodities Regulations.
No-license statement	A Hong Kong statement that no license is needed.

Every statement above links to the document behind it. The full source list for this piece is on the sources page.

This page describes public United States government programs for general information. It is not legal, regulatory or procurement advice, and it does not address the facts of any particular case.

How Sentfore supports this

Security equipment exports often involve these documents. Sentfore works at the delivery end of defense programs in difficult environments, providing secure movement, protective security, facilities and life support. Requirements can be sent through the contact page.