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The Export Administration Regulations (EAR) are a set of United States
export An export in international trade is a good produced in one country that is sold into another country or a service provided in one country for a national or resident of another country. The seller of such goods or the service provider is a ...
guidelines and prohibitions. They are administered by the
Bureau of Industry and Security The Bureau of Industry and Security (BIS) is an agency of the United States Department of Commerce that deals with issues involving national security and high technology. A principal goal for the bureau is helping stop the proliferation of weap ...
, which regulates the export restrictions of sensitive goods. The EAR apply to most U.S. origin items, foreign-produced items that incorporate controlled U.S. items, and certain "foreign-produced direct products" of U.S. items or technology, (e.g., foreign-made
integrated circuits An integrated circuit (IC), also known as a microchip or simply chip, is a set of electronic circuits, consisting of various electronic components (such as transistors, resistors, and capacitors) and their interconnections. These components a ...
designed with U.S.
electronic design automation Electronic design automation (EDA), also referred to as electronic computer-aided design (ECAD), is a category of software tools for designing Electronics, electronic systems such as integrated circuits and printed circuit boards. The tools wo ...
software or manufactured with U.S.-made manufacturing equipment). In general, there are three types of controls applied by the EAR: # Technology controls: These are controls based on the item being exported, these are usually listed on the Commerce Control List. # End-user controls: These are controls based on the ultimate end user, many of these end users are listed on the Entity List. # End-use controls: These are controls based on the ultimate end use of the control.


Classification


Commerce Control List

The Commerce Control List (CCL) identifies specific items and technologies subject to export licensing requirements. Each item listed on the CCL is assigned an
alphanumeric Alphanumericals or alphanumeric characters are any collection of number characters and letters in a certain language. Sometimes such characters may be mistaken one for the other. Merriam-Webster suggests that the term "alphanumeric" may often ...
Export Control Classification Number (ECCN), such as 3A001, that describes it and indicates its licensing requirements. The CCL is divided into ten categories, each subdivided into five product groups.


EAR99

The EAR99 designation covers the majority of items that fall under the regulations but are not listed in the CCL. These items are generally low-technology consumer goods not requiring a license, with some exceptions such as items sent to an embargoed country or an
end-user In product development, an end user (sometimes end-user) is a person who ultimately uses or is intended to ultimately use a product. The end user stands in contrast to users who support or maintain the product, such as sysops, system administrato ...
of concern, or to be used for a prohibited end-use.


Definitions


Export

With a few exceptions, the EAR define ''export'' as: # A shipment or transmission out of the US, including sending or taking an item out of the US in any manner. # Releasing or transferring technology or
source code In computing, source code, or simply code or source, is a plain text computer program written in a programming language. A programmer writes the human readable source code to control the behavior of a computer. Since a computer, at base, only ...
(but not
object code In computing, object code or object module is the product of an assembler or compiler In computing, a compiler is a computer program that Translator (computing), translates computer code written in one programming language (the ''source'' ...
) to a foreign person in the US, which the EAR consider an export to the foreign person's most recent country of citizenship or residency. # The transfer of registration, control, or ownership of
spacecraft A spacecraft is a vehicle that is designed spaceflight, to fly and operate in outer space. Spacecraft are used for a variety of purposes, including Telecommunications, communications, Earth observation satellite, Earth observation, Weather s ...
by US personnel. #* A spacecraft subject to the EAR that is not eligible for an exception (i.e. spacecraft that provide space-based logistics, assembly or servicing of any spacecraft) to a person in or a national of any other country; or #* Any other spacecraft subject to the EAR to a person in or a national of a country subject to a US
arms embargo An arms embargo is a restriction or a set of sanctions that applies either solely to weaponry or also to "dual-use technology." An arms embargo may serve one or more purposes: * to signal disapproval of the behavior of a certain actor * to maintain ...
(group D:5).


Technology

The EAR define ''technology'' as information necessary for the development, production, use, operation, installation, maintenance, repair, overhaul, or refurbishing (or other terms specified in ECCNs on the CCL that cover technology) of an item. Technology may be tangible or intangible, and includes written or oral communications, blueprints, drawings, photographs, plans, diagrams, models, formulas, tables, engineering designs and specifications,
computer-aided design Computer-aided design (CAD) is the use of computers (or ) to aid in the creation, modification, analysis, or optimization of a design. This software is used to increase the productivity of the designer, improve the quality of design, improve c ...
files, manuals or documentation, and electronic media or information revealed through visual inspection.


Ten general prohibitions

The EAR include a list of ten general prohibitions, which are summarized as follows:


General prohibition 1

Items subject to the EAR cannot be exported nor can items of US-origin be re-exported to another country without a license or exception, if the items are controlled for a reason indicated by its ECCN, and export to the country requires a license, based on its country group.


General prohibition 2

A person cannot, without a license or exception, export or re-export foreign-made commodities, software, or technology that incorporates controlled US-origin commodities, software, or technology if the items require a license and incorporate or are combined with more than a minimal amount of controlled US content, as defined in Title 15 of the Code of Federal Regulations (15 CFR) section 734.4.


General prohibition 3

This prohibition applies to certain items that are produced outside of the US and that are the direct product of US technology or software, or they are developed from a plant that is the direct product of US technology or software. A person may not, without a license or exception, re-export any item that meets the direct product test to a destination in the ''national security'' country group (D:1), designated ''terrorist supporting countries'' (E:1), or
Cuba Cuba, officially the Republic of Cuba, is an island country, comprising the island of Cuba (largest island), Isla de la Juventud, and List of islands of Cuba, 4,195 islands, islets and cays surrounding the main island. It is located where the ...
(E:2). Additionally, foreign-made military commodities that meet the direct product test cannot, without a license or exception, be re-exported or exported from abroad to a country in group D:1, the ''chemical and biological'' group (D:3), the ''missile technology'' group (D:4), D:5, E:1, or E:2.


General prohibition 4

Actions cannot be taken that are prohibited by a denial order issued under 15 CFR section 766. Denial orders prohibit many actions in addition to direct exports by the person denied export privileges, including some transfers within a single country, either in the US or abroad, by other people. Any such person is responsible for ensuring that transactions which involve a person who is denied export privileges do not violate the order. Orders denying export privileges are legally binding documents that are published in the
Federal Register The ''Federal Register'' (FR or sometimes Fed. Reg.) is the government gazette, official journal of the federal government of the United States that contains government agency rules, proposed rules, and public notices. It is published every wee ...
. The BIS maintains a list of people denied export privileges and can, on an exceptional basis, authorize activity otherwise prohibited by a denial order.


General prohibition 5

Items subject to the EAR cannot be exported or re-exported without a license to an end-user or end-use prohibited by 15 CFR section 744.


General prohibition 6

Items subject to the EAR cannot be exported or re-exported to Cuba, North Korea, Russia (with respect to Russian oil and gas industries),
Crimea Crimea ( ) is a peninsula in Eastern Europe, on the northern coast of the Black Sea, almost entirely surrounded by the Black Sea and the smaller Sea of Azov. The Isthmus of Perekop connects the peninsula to Kherson Oblast in mainland Ukrain ...
, Iran, or Syria without a license or exception.


General prohibition 7

US persons cannot perform certain activities related to nuclear explosive devices, missiles, chemical or biological weapons, or semiconductor equipment.


General prohibition 8

Exported or re-exported items cannot pass through any of the following countries without a license: * Armenia * Azerbaijan * Belarus * Cambodia * Cuba * Georgia * Kazakhstan * Kyrgyzstan * Laos * Mongolia * North Korea * Russia * Tajikistan * Turkmenistan * Ukraine * Uzbekistan * Vietnam


General prohibition 9

The terms or conditions of a license, exception, or order issued under the EAR cannot be violated.


General prohibition 10

Items exported in a way that violates the EAR cannot be serviced. A license or exception that has been suspended or revoked cannot be relied upon.


Scope


General applicability

Besides exceptions, the EAR apply to the following categories: # All items in the US, including in a US Foreign Trade Zone or moving in transit through the US from one foreign country to another # All US-origin items # Foreign-made commodities that contain controlled US-origin commodities or are bundled with controlled US-origin software, foreign-made software that is combined with controlled US-origin software, and foreign-made technology that is combined with controlled US-origin technology in certain quantities # Certain foreign-made direct products of US origin technology or software # Certain commodities produced by a plant located outside the US that is a direct product of US-origin technology or software


Exceptions

The EAR do not apply to the following: # Items that are exclusively controlled for export or re-export by the following departments and agencies of the
US Government The Federal Government of the United States of America (U.S. federal government or U.S. government) is the national government of the United States. The U.S. federal government is composed of three distinct branches: legislative, execut ...
which regulate exports or re-exports for national security or foreign policy purposes: #* The Department of State: the ITAR administered by the Directorate of Defense Trade Controls relate to defense articles and defense services on the US Munitions List and section 38 of the Arms Export Control Act #* The
Office of Foreign Assets Control The Office of Foreign Assets Control (OFAC) is a financial intelligence and enforcement agency of the United States Department of the Treasury, United States Treasury Department. It administers and enforces economic and trade economic sanctions, ...
(OFAC) #* The
Nuclear Regulatory Commission The United States Nuclear Regulatory Commission (NRC) is an independent agency of the United States government tasked with protecting public health and safety related to nuclear energy. Established by the Energy Reorganization Act of 1974, the ...
(NRC), which controls the export and re-export of commodities related to nuclear reactor vessels, per the Atomic Energy Act of 1954 #* The Department of Energy (DOE), which controls the export and re-export of technology related to the production of special nuclear materials, per the Atomic Energy Act of 1954 #* The Patent and Trademark Office (PTO), which controls the export of unclassified technology in the form patent applications or amendments, modifications, supplements, or divisions of patents. The BIS has delegated authority under the Export Administration Act to the PTO. #* The
Department of Defense The United States Department of Defense (DoD, USDOD, or DOD) is an executive department of the U.S. federal government charged with coordinating and supervising the six U.S. armed services: the Army, Navy, Marines, Air Force, Space Force, ...
(DoD) and Department of State
Foreign Military Sales Foreign Military Sales (FMS) is a security assistance program of the United States government to facilitate the purchase of U.S. arms, defense equipment, design and construction services, and military training to foreign governments. FMS is a gove ...
(FMS) program: items that are sold, leased, or loaned by the DoD to a foreign country or international organization under the FMS program are subject to the Arms Export Control Act instead of the EAR. # Prerecorded phonograph records that include the content of printed books, pamphlets, and other publications. # Information and software that are published as described in 15 CFR section 734.7, arise or result from fundamental research, are released by instruction in a course or laboratory of an
academic institution An academic institution is an educational institution dedicated to education and research, which grants academic degrees. See also academy and university. Types * Primary schools – (from French ''école primaire'') institutions where childre ...
, appear in patents or published patent applications, unless covered by an invention secrecy order or other exception, are non-proprietary system descriptions, or are
telemetry Telemetry is the in situ collection of measurements or other data at remote points and their automatic transmission to receiving equipment (telecommunication) for monitoring. The word is derived from the Greek roots ''tele'', 'far off', an ...
data.


Export regulations into China

Since 2018,
Congress A congress is a formal meeting of the representatives of different countries, constituent states, organizations, trade unions, political parties, or other groups. The term originated in Late Middle English to denote an encounter (meeting of ...
and the
executive branch The executive branch is the part of government which executes or enforces the law. Function The scope of executive power varies greatly depending on the political context in which it emerges, and it can change over time in a given country. In ...
have revisedthrough legislation, regulation, and licensing practicesthe export control system that regulates dual-use exports. Much of the reform has focused on controlling emerging and foundational technologies, strengthening other technology controls and licensing practices, engaging multilaterally to ensure US controls are effective, and considering the impact of controls on the economy, including the foreign availability of US products subject to control. Export control covers the whole territory of the People's Republic of China, including
Hong Kong Hong Kong)., Legally Hong Kong, China in international treaties and organizations. is a special administrative region of China. With 7.5 million residents in a territory, Hong Kong is the fourth most densely populated region in the wor ...
and
Macau Macau or Macao is a special administrative regions of China, special administrative region of the People's Republic of China (PRC). With a population of about people and a land area of , it is the most List of countries and dependencies by p ...
.


See also

* International Traffic in Arms Regulations * Denied trade screening *
United States sanctions United States government sanctions are financial and trade restrictions imposed against individuals, entities, and jurisdictions whose actions contradict U.S. foreign policy or national security goals. Financial sanctions are primarily administ ...
* Export Control Act


Notes


References

* {{USGovernment, url=https://ecfr.gov/cgi-bin/text-idx?SID=528d04078190a7e525e02e994ef8abc2&mc=true&node=pt15.2.734&rgn=div5#se15.2.734, title=PART 734—SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS, work=Electronic Code of Federal Regulations


External links


Export Control Classification Number
– US Department of Commerce
Lists of Parties of Concern
– US Department of Commerce United States Department of Commerce Military technology Identifiers Export and import control United States administrative law