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Export Compliance Toolkit

BIS recommends utilizing effective Export Compliance Plans (ECPs) to enable compliance with the Export Administration Regulations (EAR). As your organization evaluates how to address the Eight Elements of an Effective ECP, we encourage you to utilize supplementary BIS website guidance, including the tools identified here.  

Consider how to build and maintain your ECP, perform risk assessments, conduct screening, address technology controls, manage deemed exports, report violations, implement corrective actions, and handle other key compliance requirements. 

Quick links

  • Export Compliance Guidelines

    Review and download a copy of BIS’ Export Compliance Guidelines, featuring the Eight Elements of an Effective ECP and an Audit Module which can be used to help develop or revise an ECP.

  • BIS Training Videos

    BIS’ training videos cover foundational EAR topics, such as creating an effective ECP. As you develop or revise your export compliance training program, consider incorporating these videos along with other tools and resources. 

     

  • ECP Best Practices

    Review this summary of BIS’ suggestions and best practices to help improve your ECP, whether you are building one for the first time or updating an existing ECP. 

  • Supplement No. 3 to Part 732 of the EAR - BIS’s “Know Your Customer” Guidance and Red Flags

    BIS strongly recommends including Know your Customer and Red Flags guidance in an ECP. This supplement explains how EAR requirements depend on knowledge of the end-use, end-user, ultimate destination, and other facts related to a transaction. 

  • Consolidated Screening List (CSL)

    The CSL is used to search consolidated screening lists from the Departments of Commerce, State, and Treasury to identify parties of concern and other entities that may require additional authorization regarding EAR subject activities. As described in the Export Compliance Guidelines, screening should be completed throughout the export authorization process. 

  • Guidance to Industry on BIS Actions Identifying Transaction Parties of Diversion Risk

    Learn how BIS informs exporters about parties of concern beyond those identified on our screening lists. Use this guidance to assess your organization’s risks and related export authorization requirements. 

  • Freight Forwarder Guidance

    Review this guidance to assess risks and understand responsibilities pertaining to the use of freight forwarders in export, reexport, and transfer (in-country) activities subject to the EAR. This information can be used in risk assessment activities relating to your ECP. 

  • Export Compliance Resources for Academic Institutions

    This collection of resources includes BIS and non-BIS tools that can be used to manage academic export compliance considerations, as well as recent enforcement actions with academic institutions. Use these tools in your compliance program and consider what other resources may further strengthen your ECP.  

  • FAQ: Revisions to Definitions in the EAR

    This FAQ published by BIS addresses the scope of fundamental research as defined in the EAR and other clarifications regarding EAR definitions. Use this information to assess what activities may require individual export authorizations and what may be considered fundamental research. Explain how to document such analyses in your ECP. 

  • Guidelines for Preparing Export License Applications Involving Foreign Persons

    Utilize this BIS guidance to learn the specific requirements associated with deemed export and deemed reexport license applications. If your organization engages in deemed exports or reexports, incorporate the necessary details in your ECP’s export authorization procedures. 

  • SNAP-R

    SNAP-R allows users to submit and track Export License Applications, Commodity Classification Requests, Reexport License Applications, and License Exception Agricultural Commodity requests, in addition to submitting certain condition reports. Include guidance in your ECP regarding the use of SNAP-R, including preparation of applications and administrator responsibilities. 

  • Don’t Let This Happen to You

    The case studies in this publication illustrate possible compliance pitfalls and the consequences of noncompliance. Use these real-world examples to explain why EAR compliance matters and how an effective ECP helps mitigate risk. 

  • Part 764.5 of the EAR - Voluntary Self-Disclosure (VSD)

    This EAR excerpt explains the obligations and process for submitting VSDs and requests for treatment of unlawfully exported items to BIS (764.5(g) requests). Use this information to develop ECP guidance for VSD and 764.5(g) request submissions to BIS. 

  • Supplement No. 1 to Part 766 of the EAR - Guidance on Charging and Penalty Determinations in Settlement of Administrative Enforcement Cases

    This supplement explains how BIS’ Office of Export Enforcement responds to EAR violations and how OEE makes penalty determinations, some of which may be mitigated by having an effective ECP in place.