U.S. Department of Commerce
Bureau of Industry and Security
BIS Homepage

Exporter Counselling Division
U.S. Department of Commerce
14th and Pennsylvania Avenue, N.W., Room H1099D
Washington, D.C., 20230
Telephone number: (202) 482-4811
Facsimile number: (202) 482-3617

Western Regional Office
U.S. Department of Commerce
3300 Irvine Avenue, Suite 345
Newport Beach, California 92660
Telephone number: (949) 660-0144
Facsimile number: (949) 660-9347

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U.S. Department of Commerce
Bureau of Industry and Security
101 Park Center Plaza, Suite 1001
San Jose, CA 95113
Telephone number: (408) 998-7402
Facsimile number: (408) 998-7470

How are the EAR organized?

The Export Administration Regulations (EAR) are structured in a logical manner. In dealing with the EAR you may find it helpful to be aware of the overall organization of these regulations. In order to determine what the rules are and what you need to do, review the titles and the introductory sections of the parts of the EAR.

How do you go about determining 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.

Do you need a license for your item or activity? What policies will BIS apply if you do need to submit license application?

The EAR have four principal ways of describing license requirements:

1. The EAR may require a license to a country if your item is listed on the CCL and the Country Chart in part 738 of the EAR tells that a license is required to that country. Virtually all Export Control Classification Numbers (ECCN) on the CCL are covered by the Country Chart in part 738 of the EAR. That part identifies the limited number of entries that are not included on the Chart. These ECCNs will state the specific countries that require a license or refer you to a self-contained section, i.e., Short Supply in part 754 of the EAR, or Embargoes in part 746 of the EAR. If a license is required, you should consult part 740 of the EAR which describes the License Exception that may be available for items on the CCL. Part 742 of the EAR describes the licensing policies that BIS will apply in reviewing an application you file. Note that part 754 of the EAR on short supply controls and part 746 on embargoes are self-contained parts that include the available exceptions and licensing policy.

2. A license requirement may be based on the end-use or end-user in a transaction, primarily for proliferation reasons. Part 744 of the EAR describes such requirements and relevant licensing policies and includes both restrictions on items and restrictions on the activities of U.S. persons.

3. A license is required for virtually all exports to embargoed destinations, such as Cuba. Part 746 of the EAR describes all the licensing requirements, license review policies and License Exceptions that apply to such destinations. If your transaction involves one of these countries, you should first look at this part. This part also describes controls that may be maintained under the EAR to implement UN sanctions.

4. In addition, under §736.2(b)(9) and (10) of the EAR, you may not engage in a transaction knowing a violation is about to occur or violate any orders, terms, and conditions under the EAR. Part 764 of the EAR describes prohibited transactions with a person denied export privileges or activity that violates the terms or conditions of a denial order.

How do you file a license application and what will happen to the application once you do file it? What if you need authorization for multiple transactions?

Parts 748 and 750 of the EAR provide information on license submission and processing. Part 752 of the EAR provides for a Special Comprehensive License that authorizes multiple transactions. If your application is denied, part 756 of the EAR provides rules for filing appeals.

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 recordkeeping and enforcement?

Part 762 of the EAR sets out your recordkeeping 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.

Do the EAR provide definitions and interpretations?

Part 770 of the EAR contains interpretations and part 772 of the EAR lists definitions used.

Why the EAR are so detailed?

Some people will find the great length of the EAR and their extensive use of technical terms intimidating. BIS believes, however, that such detail and precision can and does serve the interests of the public. The detailed listing of technical parameters in the CCL establishes precise, objective, criteria. This should, in most cases, enable you to ascertain the appropriate control status. Broader, more subjective criteria would leave exporters and reexporters more dependent upon interpretations and rulings by BIS officials. Moreover, much of the detail in the CCL is derived from multilaterally adopted lists, and the specificity serves to enhance the uniformity and effectiveness of international control practices and to promote a "level playing field". The detailed presentation of such elements as licensing and export clearance procedures enables you to find in one place what you need to know to comply with pertinent requirements. Of special importance is the detailed listing of License Exception criteria, as these will enable you to determine quickly, and with confidence, that you may proceed with a transaction without delay. Finally, some of the detail results from the need to draft the EAR with care in order to avoid loop-holes and to permit effective enforcement.

How do I obtain a classification of my item or get advise about my export?

In light of your responsibility to classify your item, you may ask BIS to provide you with the correct Export Control Classification Number (ECCN) to the paragraph (or subparagraph if appropriate). BIS will advise you whether or not your item is subject to the EAR and, if applicable, the appropriate ECCN. This type of request is commonly referred to as a "Classification Request". If requested, for a given end-use, end-user, and/or destination, BIS will advise you whether a license is required, or likely to be granted, for a particular transaction. Note that these responses do not bind BIS to issuing a license in the future. This type of request, along with requests for guidance regarding other interpretations of the EAR are commonly referred to as "Advisory Opinions".

Classification requests

You must submit your Classification Request using Form BIS-748P or its electronic equivalent. See the instructions contained in Supplement No. 1 to part 748 to complete the Blocks identified for this type of request. Classification Requests must be sent to BIS at one of the addresses listed above or submitted electronically. Be certain that your request is complete and does not omit any essential information.

Each Classification Request must be limited to 5 items. Exceptions may be granted by BIS on a case-by-case basis for several related items if the relationship between the items is satisfactorily substantiated in the request. Classification requests must be supported by any descriptive literature, brochures, precise technical specifications or papers that describe the items in sufficient technical detail to enable classification by BIS.

You must complete Blocks 1 through 5, 14, 22(b)(c)(d) and (i) (enter your recommended classification information in these blocks), 24 and 25 on the application when submitting a Classification request. If you are requesting BIS to classify an item for which precise specifications are identified in §748.8, these specifications must be addressed in, or attached to, your application.

Classification requests for a one-time Department of Commerce review of encryption software transferred from the U.S. Munitions List consistent with E.O. 13026 of November 15, 1996 (61 FR 58767) and pursuant to the Presidential Memorandum of that date are required prior to export to determine eligibility for release from EI controls. Refer to Supplement No. 6 to part 742 for instructions on submitting such requests for mass market encryption software. For requests for Key Escrow, Key Recovery, or Recovery encryption products, include the word "Encryption" in Block 24: Additional Information.

Advisory Opinions

Advisory Opinions must be submitted in writing to the address listed above or e-mailed via this web page. Both your letter and envelope must be marked "Advisory Opinion".

Your letter must contain the following information if you are requesting guidance regarding interpretations of the EAR:

• The name, title, and telephone and facsimile numbers of the person to contact;
• Your complete address comprised of street address, city, state, country, and postal code;

and

If you are requesting BIS to determine whether a license is required, or the licensing policy related to a particular end-use, end-user, and/or destination, in addition to the information required above you must also include:

• All available information on the parties to the transaction and the proposed end-use or end-user;
• The model number for each item, where appropriate;
• The Export Control Classification Number, if known, for each item; and
• Any descriptive literature, brochures, technical specifications or papers that describe the items in sufficient technical detail to enable BIS to verify the correct classification.