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EAR Compliance Checklist

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EAR Compliance Checklist

EAR Compliance Red Flags

Is the customer or its address similar to one of the parties found on the Commerce Department's [BIS'] list of denied persons?

Is the customer or purchasing agent reluctant to offer information about the end-use of the item?

Do the product's capabilities not fit the buyer's line of business (such as an order for sophisticated computers for a small bakery)?

Is the item ordered incompatible with the technical level of the country to which it is being shipped (such as semiconductor manufacturing equipment being shipped to a country that has no electronics industry)?

Is the customer willing to pay cash for a very expensive item when the terms of sale would normally call for financing?

Does the customer have little or no business background?

Is the customer unfamiliar with the product's performance characteristics but still wants the product?

Are routine installation, training, or maintenance services declined by the customer?

Are delivery dates are vague, or deliveries planned for out of the way destinations?

Is a freight forwarding firm listed as the product's final destination?

Is the shipping route abnormal for the product and destination?

Is packaging inconsistent with the stated method of shipment or destination?

When questioned, is the buyer evasive and especially unclear about whether the purchased product is for domestic use, for export, or for reexport?

Select Security & Screening Procedures:

Denied Persons List (DPL)

Is there a written procedure to ensure screening of orders/shipments to customers covering servicing, training, and sales of items against the DPL?

Are personnel/positions identified who are responsible for DPL screening (consider domestic and international designee)?

Is there a procedure to stop orders if a customer and/or other parties are found on the DPL?

Is there a procedure to report all names of customers and/or other parties found on the DPL?

Do the procedures include a process for what is used to perform the screening, and if distribution of hard copies is required, who is responsible for their update and distribution?

Is the DPL checked against your customer-base?

Are both the customer name and the principal checked?

Is there a method for keeping the customer-base current?

Is there a method for screening new customers?

Is the DPL checked on a transaction-by-transaction basis?

Is the name of the ordering party’s firm and principal checked?

Is the end-user’s identity available? If so, is a DPL check done on the end-user?

Is the check performed at the time an order is accepted and/or received?

Is the check performed at the time of shipment?

Is the check performed against backlog orders when a new or updated DPL is published?

Does documentation of screen (whether hard copy or electronic signature) include names of individuals performing the checks, dates screen-checks performed, and the date of current denied person’s information used to perform the check?

Is the date of the DPL used to check the transaction documented and is it current?

Are other trade-related sanctions, embargoes, and debarments imposed by agencies other than the Department of Commerce checked?

A.) Department of Treasury (Office of Foreign Assets Control): 1.) Specially Designated Terrorists 2. Specially Designated Nationals and Foreign Terrorist Organizations B.) Department of State: 1.) Trade-related sanctions (Bureau of Politico-Military Affairs) 2.) Suspensions & debarments (Center for Defense Trade, Office of Defense Trade Controls)

Are domestic transactions screened against the DPL?

Entity List

Is there a written procedure to screen transactions against the Entity List to determine whether there are any license requirements in addition to normal license requirements for exports or reexports of specified items to specified end-users, based on BIS’ determination that there is an unacceptable risk of use in, or diversion to, prohibited proliferation activities?

Is the screening documented?

Including the following: A.) The firm’s name B.) Names/initials of individuals performing the check C.) Date checks are performed D.) Is screen check combined and performed with another check (e.g. Denied Persons List check)

Is the Federal Register monitored daily for the addition of new entities to the Entity List?

If matches occur, is there a “hold” function implemented within the order processing system that stops the order until a decision is made as to license requirements?

Prohibited Nuclear End-uses/users

Are there written procedures for reviewing exports and reexports of all items subject to the EAR to determine, prior to exporting, whether they might be destined to be used directly or indirectly in any one or more of the prohibited nuclear activities?

Are personnel/positions identified who are responsible for ensuring screening of customers and their activities against the prohibited end-uses?

Does the procedure describe when the nuclear screen should be performed?

Is your nuclear screen completed on a transaction-by-transaction basis?

Is the screen conducted against an established customer base? If yes, is there a procedure for screening each new customer before the new customer is added to that customer base?

Is the nuclear screen completed before a new customer is approved?

Is there a list of all employees responsible for performing nuclear screening?

Does the check include documentation with the signature/initials of the person performing the check, and the date performed, to verify consistent operational performance of the check?

Is the customer base checked and the check documented at least annually in the Customer Profiles?

Is it clear who is responsible for the annual check?

Is there a procedure to verify that all responsible employees are performing the screening?

Are nuclear checklists (and/or other tools) distributed to appropriate export-control personnel for easy, efficient performance of the review?

Have export/sales personnel been instructed on how to recognize situations that may involve prohibited nuclear end-use activities?

Does the procedure include what to do if it is known that an item is destined to a nuclear end-use/user?

Prohibited Rocket Systems, Unmanned Air Vehicles & Missiles End-uses/users

Are there written procedures for reviewing exports and reexports of all items subject to the EAR to determine, prior to exporting, whether the items are destined for a prohibited end-use?

Are personnel/positions identified who are responsible for ensuring screening of customers and their activities against the prohibited end-users/users?

Does the procedure describe when the missile systems and unmanned air vehicles screen should be performed?

Does the procedure include a check against the Entity List?

Is there a procedure to maintain documented Entity List screen decisions on file to verify consistent operational review?

Is your rocket/UAV screen completed on a transaction-by-transaction basis?

Is the screen conducted against an established customer base?

Is there a procedure for screening each new customer before the new customer is added to that customer base?

Is the rocket/UAV screen completed before the new customer is approved?

Does the check include documentation with the signature/initials of the person performing the check, and the date performed, to verify consistent operational performance of the check?

Is the customer base checked and the check documented at least annually in the Customer Profiles?

Is it clear who is responsible for the annual check?

Is there a list of all employees responsible for the annual check?

Is there a procedure to verify that all responsible employees are performing the screening?

Are missile systems and unmanned air vehicles checklists (and/or other tools) distributed to appropriate export-control personnel for easy, efficient performance of the review?

Have export/sales personnel been instructed on how to recognize prohibited missile systems and unmanned air vehicles end-use activities?

Does the procedure include what to do if it is known that an item is destined to a prohibited end-use/user?

Prohibited Chemical & Biological Weapons (CBW) End-uses/user

Are there written procedures for reviewing exports and reexports of all items subject to the EAR for license requirements, prior to exporting, if the item can be used in the design, development, production, stockpiling, or use of chemical or biological weapons?

Are personnel/positions identified who are responsible for ensuring screening of customers and their activities against the prohibited end-use/users?

Does the procedure describe when the chemical & biological weapons screen should be performed?

Is your chemical & biological weapons screen completed on a transaction-by-transaction basis?

Is the screen conducted against an established customer base?

Is there a procedure for screening each new customer before the new customer is added to that customer base?

Is your chemical & biological weapons screen completed before the new customer is approved?

Does the check include documentation with the signature/initials of the person performing the check, and the date performed, to verify consistent operational performance of the check?

Is the customer base checked and the check documented at least annually in the Customer Profiles?

Is it clear who is responsible for the annual check?

Is there a list of all employees responsible for performing chemical & biological weapons screening?

Is there a procedure to verify that all responsible employees are performing the screening?

Are chemical & biological weapons checklists (and/or other tools) distributed to appropriate export-control personnel for easy, efficient performance of the review?

Have export/sales personnel been instructed on how to recognize prohibited chemical & biological weapons end-use activities?

Does the procedure include what to do if it is known that an item is destined to a prohibited end-use/user?

Sign Off

Additional Observations

Compliance Manager Name & Signature

Department

Name & Signature

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Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.