The following comprise the regulatory regime regarding export controls in the United States.
eCustoms’ Visual Compliance export compliance software provides a cumulative listing of recently released or revised documentation from all agencies. Each update is ordered by date, providing a one-view summary of new developments in export compliance, federal regulations, rules, orders, and notices.
Export Administration Regulations (EAR)
Bureau of Industry and Security (BIS)
The Export Administration Regulations (EAR) are issued by the United States Department of Commerce, Bureau of Industry and Security (BIS) under laws relating to the control of certain exports, reexports, transshipments and other activities.
The export control provisions of the EAR are intended to serve the national security, foreign policy, nonproliferation, and short supply interests of the United States and, in some cases, to carry out its international obligations. Some controls are designed to restrict access to dual use items by countries or persons that might apply such items to uses inimical to U.S. interests. These include controls designed to stem the proliferation of weapons of mass destruction and controls designed to limit the military and terrorism support capability of certain countries.
How do you determine your obligations under the EAR?
Part 732 of the EAR provides steps you may follow to determine your obligations under the EAR. You will find guidance to enable you to tell whether or not your transaction is subject to the EAR and, if it is, whether it qualifies for a License Exception or must be authorized through issuance of a license.
Are your items or activities subject to the EAR at all?
Part 734 of the EAR defines the items and activities that are subject to the EAR. Note that the definition of “items subject to the EAR” includes, but is not limited to, items listed on the Commerce Control List in part 774 of the EAR.
If subject to the EAR, what do the EAR require?
Part 736 of the EAR lists all the prohibitions that are contained in the EAR. Note that certain prohibitions (General Prohibitions One through Three) apply to items as indicated on the CCL, and others (General Prohibitions Four through Ten) prohibit certain activities and apply to all items subject to the EAR unless otherwise indicated.
How do you clear shipments with the U.S. Customs Service?
Part 758 of the EAR describes the requirements for clearance of exports.
Where do you find the rules on restrictive trade practices and boycotts?
Part 760 of the EAR deals with restrictive trade practices and boycotts.
Where are the rules on records-keeping and enforcement?
Part 762 of the EAR sets out your records-keeping requirements, and parts 764 and 766 of the EAR deal with violations and enforcement proceedings.
What is the effect of foreign availability?
Part 768 of the EAR provides rules for determining foreign availability of items subject to controls.
Does the EAR provide definitions and interpretations?
Part 770 of the EAR contains interpretations and part 772 of the EAR lists definitions used.
Office of Foreign Assets Control (OFAC) Regulations
U.S. Treasury Department
The Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury administers and enforces economic and trade sanctions against targeted foreign countries, terrorism sponsoring organizations, and international narcotics traffickers based on U.S. foreign policy and national security goals.
OFAC acts under Presidential wartime and national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze foreign assets under U.S. jurisdiction.
Many of the sanctions are based on United Nations and other international mandates, are multilateral in scope, and involve close cooperation with allied governments.
While the exporter still has to consult the appropriate agencies’ regulations for current, complete, and authoritative requirements, BIS maintains controls for OFAC in the Treasury Department and DTC in the Department of State in its Export Administration Regulations (EAR).
Directorate of Defense Trade Controls, International Traffic in Arms Regulations (ITAR)
U.S. State Department
In accordance with the Arms Export Control Act (AECA) and the International Traffic in Arms Regulations (ITAR), the Directorate of Defense Trade Controls (DTC) controls the export and temporary import of defense articles and services by taking final action on license applications and other requests for approval for defense trade exports and retransfers, and handling matters related to defense trade compliance, enforcement, and reporting.
DTC is responsible for registering all U.S. manufacturers and exporters of defense articles and/or services. The DTC administers and enforces the AECA and the ITAR through licensing, assurance of proper end-use of licensed exports, implementation of policies based on statutory and regulatory interpretations, and prevention and/or detection of unauthorized transfers.
DTC provides authoritative guidance to U.S. defense industry as well as other U.S. Government agencies regarding export policy, procedures, and practices, based on interpretation of the ITAR and pertinent laws, national interests, or multilateral activity.
While the exporter still has to consult the appropriate agencies’ regulations for current, complete, and authoritative requirements, BIS maintains controls for OFAC in the Treasury Department and DTC in the Department of State in its Export Administration Regulations (EAR).
Federal Register Rules and Notices
National Archives and Records Administration (NARA)
The Federal Register is the official daily publication of the National Archives and Records Administration (NARA). U.S. government departments and agencies are required to publish notices of proposed rule making in the Federal Register to enable citizens to participate in the decision making process of the government, together with final rules and orders once formulated. The register contains Federal agency regulations; proposed rules and notices; and Executive orders, proclamations and other Presidential documents.
The Federal Register informs citizens of their rights and obligations and provides access to a wide range of Federal benefits and opportunities for funding. NARA’s Office of the Federal Register prepares the Federal Register for publication in partnership with the Government Printing Office (GPO), which distributes it in paper, on microfiche, and on the Internet.
Visual Compliance re-publishes those Federal Register notices, orders, and rules relating to the Export Administration Regulations (EAR), the Office of Foreign Assets Control (OFAC), and the Directorate of Defense Trade Controls (DDTC) with summaries, and full texts in PDF format.
The Export Administration Act
U.S. Senate Banking Committee
The Export Administration Act of 2001 (January 23, 2001) establishes a new export control list for sensitive U.S. technologies, and authorizes the President to establish a President's Technology Export Council, as well as Export Control Advisory Committees. New National Security Controls, Foreign Policy Controls, and Agriculture Exemptions are also authorized, together with Export Licensing and Dispute Resolution Procedures, and International Arrangements, Penalties, and Enforcement.
The Export Administration Act of 2001 passed the United States Senate on September 6, 2001, but has failed to be approved by Congress. As a result, the Export Administration Act of 1979, as amended, has been in lapse since August 21, 2001. In the absence of an Export Administration Act, the U.S. dual-use export control system continues to be dependent on the President’s invocation of emergency powers under the International Emergency Economic Powers Act.
A new version, the Export Administration Act of 2003 (Bill H.R. 55) was introduced in Congress on January 7th, 2003 with three co-sponsors, and was referred to the House Committee on International Relations.
Other Agencies With Responsibilities for U.S. Export Controls
Visual Compliance also provides export compliance help, as well as contact information for other agencies involved with U.S. export controls, including:
- ATF Alcohol Import/Export Branch
- Office of Chemical and Biological COntrols and Treaty Compliance
- Department of Energy
- The Department of the Interior Chief Office of Management Authority
- The Drug Enforcement Agency (DEA) International Drug Unit and International Chemical Control Unit
- Environmental Protection Agency (EPA) – Office of Solid Waste, International and Special Projects Branch
- Fish and Wildlife Service
- The Food and Drug Administration (FDA)
- Patent and Trademark Office Licensing and Review
- Nuclear Regulatory Commission
Mandatory AES for USML and CCL goods
Notices and orders published in the U.S. Federal Register concerned with Mandatory Automated Export System (AES) Filing for all Shipments Requiring Shipper’s Export Declaration, together with its Statutory Authorities, are also posted at Visual Compliance.
