Export License Checklist: The Steps BIS Expects Before You Ship

BIS does not leave you guessing: 15 CFR Part 732 sets out the logical steps for deciding whether an export needs a license. In short: confirm the item is subject to the EAR, classify it on the Commerce Control List, check the ECCN against the Country Chart (supplement no. 1 to part 738) for your destination, review the ten general prohibitions, and, if a license is required, see whether a License Exception in Part 740 applies before filing an application. This checklist follows the eCFR text as displayed on October 1, 2026.

The five facts that drive every license decision

Section 732.1(b) lists five types of facts that determine your obligations under the EAR. Building your internal file around them makes every later step easier:

1. What is it? Its classification, i.e. its place on the Commerce Control List (part 774).
2. Where is it going? The country of ultimate destination (Country Chart, part 738).
3. Who will receive it? The ultimate end user cannot be a “bad” end user (General Prohibition Four, parts 744 and 764).
4. What will they do with it? The end use cannot be a prohibited one (General Prohibition Five, part 744).
5. What else do they do? Contracting, financing or freight forwarding in support of a proliferation project (§ 744.6) can prevent you from dealing with someone.

Part 732 also reminds you that license requirements are determined solely by classification, end use, end user, ultimate destination and the conduct of U.S. persons. The value of the order, the customer's reputation or the speed of the deal are not factors.

Phase 1: Is the item subject to the EAR? (Steps 1-6)

For exports from the United States, Part 732 says only Steps 1 and 2 are relevant (Steps 3 to 6 are for reexports and items made abroad):

• Step 1, exclusive jurisdiction of another agency. If another federal agency has exclusive jurisdiction over the item (§ 734.3), comply with that agency's rules; you need not comply with the EAR.
• Step 2, publicly available technology and software. Technology or software that is publicly available as defined in part 734 is outside the EAR's scope, with exceptions: encryption software under ECCN 5D002 generally remains subject to the EAR, as does certain firearm production software and technology. U.S. persons must still consider General Prohibition Seven.

If your item is not subject to the EAR, Part 732 says you have no obligations under the EAR and may skip the remaining steps. Otherwise, move on.

Phase 2: Classification and the Country Chart (Steps 7-9)

1. Step 7, classify. Place the item in the relevant CCL entry, following the Order of Review (Supplement No. 4 to Part 774). You may do this without BIS assistance, or request a classification. Items not on the CCL are EAR99.
2. Step 8, country of ultimate destination. It determines which general prohibitions, License Exceptions and other requirements apply.
3. Step 9, reasons for control and the Country Chart. Read the “License Requirements” section of the ECCN to get its reasons for control and Country Chart column identifiers, then look across the Chart for your destination.

Exceptions to keep in mind: items controlled for short supply reasons are governed by part 754, not the Country Chart; a limited number of ECCNs state their own license requirements (§ 738.3(a)); and the Country Chart does not apply to Cuba, Iran, North Korea and Syria, for which you go to part 746. For Iraq and Russia, part 746 adds requirements on top of the Chart. EAR99 items skip Step 9 and go to Step 12. Exporters shipping from the US skip Steps 10 and 11 (de minimis and foreign direct product rules).

Phase 3: The ten general prohibitions (Steps 12-19)

General Prohibitions One to Three are product controls read from the CCL and Country Chart. Four to Ten are prohibitions on activities and, unless otherwise specified, apply to all items subject to the EAR, including EAR99.

Note on General Prohibition Eight: § 740.1(a) says a License Exception can authorize items that would otherwise need a license under General Prohibitions One, Two, Three or Eight, while § 732.4(a) lists Eight among the prohibitions with no License Exceptions. Check the current text of both sections for your case rather than relying on a summary.

• Step 12: is any party a person denied export privileges?
• Step 13: are any prohibited end uses or end users involved (part 744)?
• Step 14: is the destination Cuba, Iran, Iraq, North Korea or Syria, or subject to the Russia/Belarus and other sanctions in part 746?
• Step 15: do the “U.S. person” restrictions of § 744.6 apply?
• Step 16: in-transit rules for shippers and carriers.
• Step 17: review all orders, terms and conditions that apply.
• Step 18: apply BIS's “Know Your Customer” guidance and check for red flags.
• Step 19: if none of the ten applies to your export from the U.S., no BIS license is required and you go straight to the EEI, Destination Control Statement and recordkeeping steps.

Phase 4: License Exception or license application (Steps 20-26)

A License Exception is defined in § 740.1(a) as an authorization in Part 740 that lets you export or reexport, under stated conditions, items that would otherwise require a license. Each one has a three-letter symbol (for example LVS, GBS, TMP, RPL, BAG, TSU, STA). Using one is a certification: per § 740.1(b), you certify that all its terms and conditions are met.

1. Step 20: confirm which general prohibitions apply. If none, no License Exception is needed.
2. Step 21: check the restrictions on all License Exceptions in § 740.2. If any applies, you must obtain a license or not export.
3. Step 22: review the License Exceptions. Eligibility depends on the item, destination, end use and end user. Part 732 says to review the broadest first; you are not required to use the most restrictive one that applies.
4. Step 23: check scope limits: country groups (supplement no. 1 to part 740), embargoes, and short supply items (no Part 740 exceptions).
5. Step 24: if one applies, proceed, but meet every term and condition, and review parts 758 and 762.
6. Step 25: if none applies, obtain a license or refrain from the export.
7. Step 26: before applying, review the requirements of part 748.

Phase 5: Clearance and records (Steps 27-29)

• Step 27, EEI. Report the correct license code, the license number when exporting under a license, the item description and the ECCN (or EAR99) where required. Reporting “NLR” certifies that no license is required; reporting a License Exception code certifies you meet its criteria. Conflicts between data elements and License Exception criteria generally trigger a fatal error in AES.
• Step 28, Destination Control Statement. Required on the invoice and on the bill of lading, air waybill or other export control document for all exports from the U.S. of CCL items; not required for EAR99 unless exported under License Exception BAG or GFT.
• Step 29, recordkeeping. Keep records of the transaction for five years under part 762.

When a step raises a question, you can ask the US export basics knowledge base, for example “Which general prohibitions can a License Exception cover?” or “Once I know my ECCN, how do I check the destination?” Answers cite Part 732, Part 740 and the BIS pages.

This checklist summarizes the regulation and is not legal advice. Always check the current text in the eCFR, 15 CFR Part 732 and the specific ECCN before shipping.