Understanding the BIS-711 Form in Export Control Compliance

Introduction

The BIS-711 form, formally titled the Statement by Ultimate Consignee and Purchaser, is a critical document used in U.S. export control compliance, particularly in transactions involving export licenses issued by the Bureau of Industry and Security (BIS). The form is designed to provide the U.S. government with assurances regarding the ultimate destination, end use, and end user of controlled items. Although often treated as a procedural requirement, the BIS-711 plays a substantive role in licensing decisions, enforcement actions, and post-shipment compliance reviews. Exporters, freight forwarders, and compliance professionals must understand when the form is required, how it should be completed, and the risks associated with inaccurate or incomplete submissions.

Key Features and Compliance Considerations of the BIS-711

1. Purpose and Regulatory Function

The primary purpose of the BIS-711 is to obtain written certifications from the ultimate consignee and, where applicable, the purchaser, regarding the intended end use and end user of exported items. BIS relies on these certifications to assess diversion risk and to determine whether a proposed transaction is consistent with U.S. national security and foreign policy objectives. The form is most commonly required in support of export license applications but may also be requested during post-license compliance reviews or enforcement inquiries.

2. When the BIS-711 Is Required

BIS typically requires a BIS-711 for license applications involving sensitive items, higher-risk destinations, or end users that warrant additional scrutiny. While not required for every license application, exporters should expect a BIS-711 when items are controlled for national security, missile technology, nuclear nonproliferation, or regional stability reasons. BIS may also require the form when there are concerns related to military end use, dual-use technology, or potential reexport or diversion risks.

3. Information Certified on the Form

The BIS-711 requires the ultimate consignee and purchaser to certify detailed information, including a description of the item, the intended end use, and confirmation that the item will not be reexported, transferred, or used for prohibited purposes without authorization. The form also requires identification of intermediate consignees and confirmation that the information provided is complete and accurate. These certifications are legally significant; false or misleading statements can expose both foreign signatories and U.S. exporters to enforcement action.

4. Exporter Responsibility and Due Diligence

Although the BIS-711 is signed by foreign parties, the U.S. exporter remains responsible for ensuring that the information provided is accurate and consistent with other transaction documentation. Exporters should review completed forms for inconsistencies, vague end-use descriptions, or discrepancies with license applications, commercial invoices, or end-use statements. Blind reliance on a signed BIS-711 does not satisfy the exporter’s obligation to exercise reasonable care under the Export Administration Regulations.

5. Recordkeeping and Enforcement Risk

Completed BIS-711 forms must be retained as part of the exporter’s recordkeeping obligations under the EAR, generally for at least five years. In enforcement actions, BIS frequently reviews BIS-711 forms to assess whether exporters were aware of—or should have been aware of—diversion risks or prohibited end uses. Inconsistencies between the BIS-711 and actual shipment practices can be cited as evidence of compliance failures or misrepresentations to the U.S. government.

Conclusion

The BIS-711 form is a cornerstone document in export licensing and compliance for sensitive and high-risk transactions. Far from being a routine administrative requirement, it serves as a critical source of end-use and end-user assurances relied upon by BIS in licensing and enforcement decisions. Exporters who understand when the BIS-711 is required, carefully review its contents, and integrate it into a broader due diligence and recordkeeping framework are better positioned to manage export risk. In an era of heightened enforcement and scrutiny of global supply chains, thoughtful handling of the BIS-711 is an essential component of a strong export control compliance program.