CE Export Controls & Sanctions Compliance Flashcards

Which U.S. agency administers the Export Administration Regulations (EAR) and controls dual-use items?

Answer: Bureau of Industry and Security (BIS), Department of Commerce

BIS administers the EAR, which controls the export of commercial and dual-use goods, software, and technology that have both civilian and potential military applications.

What is an Export Control Classification Number (ECCN) and where is it found?

Answer: An alphanumeric code on the Commerce Control List (CCL) that identifies dual-use items subject to EAR export controls

The ECCN classifies a product's technical characteristics on the Commerce Control List, determining what export license requirements apply based on destination, end-user, and end-use.

What does EAR99 mean for an exported product?

Answer: The item is subject to EAR but not listed on the Commerce Control List, and therefore generally may be exported without a license to most destinations

EAR99 items are low-technology goods not specifically controlled on the CCL; they can typically be exported without a license except to embargoed countries or for prohibited end-uses.

What is ITAR and which types of goods does it control?

Answer: International Traffic in Arms Regulations; it controls defense articles, defense services, and related technical data on the U.S. Munitions List

ITAR, administered by DDTC (State Department), controls items specifically designed or modified for military use that appear on the U.S. Munitions List (USML).

What is the Entity List maintained by BIS and what does it mean if a party is listed?

Answer: A list of foreign persons, companies, and government entities that require a BIS license for exports of items subject to the EAR due to proliferation or security concerns

The Entity List identifies foreign parties that pose export control concerns; exporters must obtain a BIS license before shipping EAR-controlled items to any listed entity.

What is OFAC and what sanctions programs does it administer?

Answer: Office of Foreign Assets Control; it administers economic and trade sanctions programs against targeted countries, entities, and individuals (e.g., Iran, Russia, North Korea, SDNL)

OFAC (Treasury Department) administers U.S. economic sanctions programs, prohibiting most transactions with sanctioned countries (Iran, Cuba, North Korea, Syria, Russia) and designated individuals on the SDN List.