Support documents for license applications

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1. What support documents are

The Export Administration Regulations (EAR) may require license applicants to obtain support documents about the foreign parties and the disposition of the items to be exported, reexported or transferred in-country (15 CFR 748.9(a)). Some are issued by foreign governments, and others are signed by the purchaser or ultimate consignee. A foreign government’s restrictions on its own document apply in addition to the conditions the Bureau of Industry and Security (BIS) imposes. U.S. laws and regulations are in no way modified or superseded by a foreign government’s document.

2. When one is required

Unless an exception applies, a support document is required for certain applications in four areas (15 CFR 748.9(b)). They are the People’s Republic of China (PRC), other than the Hong Kong Special Administrative Region, and 600 Series Major Defense Equipment. They also include firearms and related commodities to member countries of the Organization of American States, and the Hong Kong Special Administrative Region. BIS may also require a support document for any application on a case-by-case basis. End-use certificate requirements under the Chemical Weapons Convention are in a separate part.

3. When none is required

Even where a requirement applies, no support document is needed in several situations (15 CFR 748.9(c)(1)). The first is where the ultimate consignee or purchaser is an agency of the U.S. Government, though a support document may still be required from a party that is not a U.S. government agency. The second is where the consignee or purchaser is a foreign government or foreign government agency other than the government of the PRC.

The other situations are applications by or for a relief agency registered with the Advisory Committee on Voluntary Foreign Aid for export to a member agency abroad, and applications for commodities for temporary exhibit, demonstration or testing. Short supply commodities, software or technology, and encryption commodities under Export Control Classification Number (ECCN) 5A002, 5A004 or 5B002 are also excepted.

BIS will consider an exception where the requirement cannot be met because of circumstances beyond the applicant’s control, but not contrary to the objectives of U.S. export control laws (15 CFR 748.9(c)(2)).

4. Translation and full disclosure

Abbreviations, coded terms and other expressions with special significance are explained on an attachment (15 CFR 748.9(d)(1)). Documents not in English come with an accurate English translation, made by a translating service or certified by the applicant. Explanations and translations go on a separate page, not on the support document itself.

The license application discloses all facts about the transaction (15 CFR 748.9(d)(2)(i)). Information in a support document obtained after the application is submitted, and not submitted to BIS as part of it, cannot extend, expand or modify the application or the license. For example, statements in the document about reexport or in-country transfer do not extend the license. Misrepresentation by failing to disclose facts, concealing a material fact or furnishing false information may lead to administrative or criminal action (15 CFR 748.9(d)(2)(ii)).

Obtaining the document does not relieve the applicant of the duty to disclose other information it knows about the destination, end use or end user, even if that information is inconsistent with the document (15 CFR 748.9(d)(2)(iii)). The applicant promptly notifies BIS of any change in the facts in the document that comes to its attention.

5. Timing and records

Where a document is required for a PRC, major defense equipment or firearms application, the application may be submitted before the applicant receives a copy, unless BIS says otherwise (15 CFR 748.9(e)(1)). If the license is granted, the items may not be exported, reexported or transferred until the license holder has a copy. Hong Kong government documents are not used to evaluate applications and must be obtained before shipment, not before applying. Applicants mark the right box in Block 7 whether or not they already have the document (15 CFR 748.9(e)(2)).

Applicants keep the original or a copy of every support document, under the recordkeeping rules in part 762 (15 CFR 748.9(f)).

6. How BIS uses the document

BIS reserves the right to decide to what extent any license will be issued (15 CFR 748.9(g)). It does not seek or consider recommendations from the issuing foreign government on the action to take. A support document is only one factor, since end uses and other considerations are important to the decision.

Regulatory changes come with a grace period (15 CFR 748.9(h)(1)). It covers a new or extended requirement for a PRC End-User Statement, a Statement by Ultimate Consignee and Purchaser or a Firearms Convention Import Certificate. Applications need not conform for 45 days after the effective date published in the Federal Register (15 CFR 748.9(h)(1)). During that grace period, BIS may ask for other evidence supporting the representations, such as orders, letters of credit or correspondence (15 CFR 748.9(h)(2)). The applicant then identifies the regulatory change and its effective date.

7. Asking for an exception

BIS considers requests for exceptions, but will not grant one contrary to the objectives of the export control program (15 CFR 748.14(a)). A request may cover a single transaction or, where the reason is continuing, multiple transactions. The request is submitted with the related application, with the reasons described or referred to in Block 24 (15 CFR 748.14(b)). For several applications, it goes with the first and is referred to in the others.

For a single transaction, BIS acts on the request with the application, and issuing the license is automatic notice that the exception was approved (15 CFR 748.14(c)(1)). Any restrictions appear on the approval. For multiple transactions, BIS advises the applicant of its decision and any conditions, including a termination date if appropriate, and may require written acceptance by the parties (15 CFR 748.14(c)(2)). Support documents themselves are kept under the recordkeeping rules in part 762 (15 CFR 748.9(f)). The individual documents are covered in end-user and consignee statements.

Key terms

Support document	A document about foreign parties needed for certain applications.
Full disclosure	The duty to report all known facts beyond the support document.
Grace period	The 45 days allowed after a new support document requirement.
Exception request	A request to waive the support document requirement.
Agency of the U.S. Government	A consignee or purchaser that removes the requirement.

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

Paperwork from foreign parties often governs when goods can ship. 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.