EAR - Export Administration Regulations

Sets out the antiboycott provisions prohibiting U.S. persons from participating in or supporting unsanctioned foreign boycotts, with reporting requirements for boycott requests received.

• Procedures to refuse and report boycott-related requests
• Antiboycott request reports submitted to BIS

• Furnishing prohibited boycott information
• Failing to report boycott requests

Requires persons subject to the EAR to keep records of regulated transactions (including export control documents, memoranda, correspondence and financial records) for five years and to make them available to BIS.

• Retention of export-transaction records for the required period (generally 5 years)
• Records retrievable for BIS on request

• Records not retained for the required period
• Records not retrievable

Defines violations of the EAR, the sanctions that may be imposed (civil and criminal penalties, denial of export privileges), the voluntary self-disclosure process, and protective measures.

• Voluntary self-disclosure process for identified violations
• Records demonstrating compliance and remediation

• Concealing violations
• No voluntary self-disclosure capability

Sets out the procedures for administrative enforcement proceedings, including charging letters, hearings, settlements and the imposition of administrative sanctions.

• Readiness to respond to administrative enforcement proceedings

• No process to respond to a charging letter

Sets out the procedures and documentation for submitting classification requests, advisory opinions and license applications to BIS (including via SNAP-R), and supporting documents such as end-user statements.

• License/classification applications and supporting documentation submitted to BIS

• Exporting without a required license/authorisation

Describes how BIS processes license applications, the issuance, conditions, revisions, denial and revocation of licenses, and processing timelines.

• Tracking of license conditions, validity and revisions

• Acting outside the scope/conditions of an issued license

Provides the procedures for appealing BIS administrative actions and for judicial review.

• Use of the appeal procedures where BIS decisions are contested

• No awareness of appeal rights/procedures

Sets out export clearance requirements, including Electronic Export Information filing in the Automated Export System (AES), the Destination Control Statement, authority to move/inspect shipments, and the responsibilities of parties to the transaction.

• AES/EEI filings and Destination Control Statements on shipping documents
• Defined responsibilities of parties (USPPI, forwarder)

• Missing EEI filing or Destination Control Statement

Sets out the procedures and criteria by which BIS determines the foreign availability of items subject to national security controls.

• Use of foreign-availability determinations where relevant

Imposes end-use and end-user based controls, including prohibited end-uses (e.g. weapons of mass destruction, certain military and military-intelligence end-uses), the Entity List, the Unverified List, the Military End User list, and the Foreign-Direct-Product rules applicable to listed parties.

• Restricted-party screening against the Entity List/Unverified List/MEU list
• End-use due diligence and red-flag resolution

• No screening against BIS lists
• Ignoring prohibited end-use red flags

Sets out the License Exceptions that authorise certain exports, reexports and transfers that would otherwise require a license (e.g. TMP, RPL, GOV, TSR, ENC, STA, APR), with the eligibility conditions and restrictions for each.

• Records of License Exception eligibility determinations and conditions met

• Relying on a License Exception without meeting its conditions

Sets out special reporting and notification requirements (e.g. Wassenaar Arrangement reporting, certain encryption reporting, and other notifications to BIS).

• Submission of any applicable special reports/notifications to BIS

• Missing required special reports (e.g. encryption reporting)

Implements requirements under the Chemical Weapons Convention, including declaration and reporting obligations for certain chemicals and facilities.

• CWC declarations/reports where applicable

• Non-compliance with CWC declaration obligations

Sets out comprehensive and targeted embargoes and other special controls for specified destinations, generally requiring licenses for most or all items and coordinating with OFAC sanctions.

• Embargo/sanctions screening of destinations and parties
• Coordination with OFAC requirements

• Exporting to embargoed destinations without authorisation

Imposes controls on the export of items in short supply (e.g. certain petroleum products, unprocessed western red cedar, and horses for export by sea).

• Compliance with short-supply controls where the organisation deals in covered commodities

• Exporting short-supply items without authorisation

Sets out the ten General Prohibitions that restrict exports, reexports and transfers without authorisation (e.g. exporting controlled items to listed destinations, to denied/Entity-List parties, for prohibited end-uses/end-users, with knowledge of a violation, in support of proliferation or restrictive-trade activities).

• Screening and controls preventing the ten General Prohibitions
• Restricted-party and end-use screening records

• Exporting in breach of a General Prohibition
• No knowledge/red-flag screening

Explains the structure of the Commerce Control List (ECCN format and categories/product groups), the reasons for control, and the use of the Commerce Country Chart to determine, from an item's ECCN and the destination, whether a license is required.

• ECCN classifications cross-referenced to the Country Chart
• License-requirement determinations

• Items unclassified against the CCL
• Country Chart not consulted

Describes the licensing policies for the reasons for control reflected on the CCL (e.g. national security, anti-terrorism, chemical and biological weapons, nuclear nonproliferation, missile technology, regional stability, crime control, encryption items).

• Understanding of the reasons for control applicable to the organisation's items

• No mapping of items to applicable control reasons

Contains the Commerce Control List itself, organised into ten categories and five product groups, with the Export Control Classification Numbers (ECCNs) that specify controlled items, their reasons for control and license requirements.

• ECCN classification of items against the CCL categories/product groups

• Items not classified against the CCL

Provides general information about the Export Administration Regulations administered by the Bureau of Industry and Security (BIS), including their purpose, authorities and scope of coverage.

• Awareness/scoping that BIS-administered EAR applies to the organisation's items and activities

• No determination that the EAR applies

Sets out the logical steps an exporter follows to determine obligations under the EAR (whether an item is subject to the EAR, its classification/ECCN, applicable reasons for control, license requirements, and applicable license exceptions).

• A documented classification/license-determination process following the Part 732 steps

• Ad-hoc determination not following the prescribed steps

Defines the items and activities subject to the EAR, including exports, reexports and in-country transfers, the treatment of technology and software, the deemed export rule (release to foreign persons), the de minimis rules for foreign-made items, the Foreign-Direct-Product rules, and exclusions for published and publicly available information and fundamental research.

• Determination of which items/technology/software are subject to the EAR
• Deemed-export and de minimis / FDP analyses where relevant

• Failing to identify items subject to the EAR
• Ignoring deemed exports to foreign-person employees

Provides official interpretations of specified provisions of the EAR to aid consistent application.

• Reliance on the official Part 770 interpretations where applicable

Defines the terms used throughout the EAR (e.g. export, reexport, release, technology, technical data, foreign person, knowledge), which govern the scope and application of every other Part.

• Consistent use of the EAR defined terms in compliance procedures

• Misapplying key defined terms (e.g. export/release/technology)