Export Compliance Program Fourth Element: Recordkeeping
July 21, 2021
(The Exporting Source)
by Blake Gill *
In our last discussion, we reviewed the third
element of Export Authorization. Once you
have determined your path to exporting an item
in a legal, compliant manner, you must keep the
supporting documentation. Recordkeeping is
mundane, I’m sure we can all agree upon that,
yet is critical in protecting you in the
future. If an issue arises but you have
documentation to support your decision, you
face a much easier path than had you been
“winging” it!
The Export Administration Regulations
(EAR) dictates recordkeeping in part 762. In
this part, the regulations describe how long to
keep records, what type of records to keep, how
to reproduce records if they are requested, and
which documents are exempt from retention.
While part 762 guides you on recordkeeping, it
is not all-encompassing. Some documentation
may not be required but is in the best interest
of the company to be retained.
Creating a recordkeeping system will
help the organization be consistent in
successful recordkeeping. The system will be
dictated by the company putting it to use;
sometimes an electronic system is the best
solution for a company, others will find
greater success in a paper hard copy system.
Each system will have its own set of pros and
cons; however, most important is that the
process is consistent, reviewed frequently, and
audited.
While some elements of recordkeeping
are up to the organization to determine, others
are not. Section 762.6 of the EAR advises that
parties are required to keep export records for
“five years from the latest date of export or
reexport activity” from the U.S. It is
incredibly important for you and your company
to understand what actions justify the
definition of this activity.
Now that you and your organization
understand what to record and when to record
it, roles and responsibilities must be
established within your organization that
determine who is responsible for these actions.
Procedures for who will do the recording, when
the recording will occur, and where the records
will be kept is critical for successful
recordkeeping.
Keep in mind that recordkeeping is not
synonymous with physical shipments. Deemed
exports and transfers of technology also
require records to be kept. This includes
hiring foreign nationals, visitor sign-in
sheets, employee training, and company provided
services. Also remember that each regulatory
body has their own set of requirements.
* Blake Gill is an experienced International Trade Compliance professional with a demonstrated history of work in the technology industry. He has many years of experience working with export control, customer screening and item classification over a wide variety of products. Additionally, Blake has performed the duties of Empowered Official at multiple international companies.
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