The United States Regulations for Export Research Guide
1. Solomon Abady, J.D. Candidate, Nova Southeastern University.
2. Created: 02/06/09, Updated: 04/30/09
3. Contents:
a. Outline of Sections
4.
General Overview
5.
List of Key Abbreviations/Organizations Involved
6.
Primary Resources
7.
Dictionaries and Directories
8.
Trade & Customs Statutes and Regulations
9.
Treaties
10.
United States Court of International Trade (Case Law)
11.
Journals
12.
Blogs
13.
Multimedia
14.
RSS Feeds
15.
Tutorials
16.
Research Guides
17.
Sample Research Questions
18.
Conclusion
19.
Suggested Further Reading
4. Overview
a. This Pathfinder
i. The purpose of this pathfinder is to provide a clear and organized method for
researchers to find the relevant regulations, journals, and other research
information revolving around the exportation of goods and services across
geographic borders. For example, a practitioner has a client who wants to
transport goods from the United States to a buyer in a different country. This
pathfinder will assist that practitioner in finding the relevant regulations and
agencies controlling such matters. Finally, this pathfinder also details how to The
Bureau of Industry and Security (BIS) is responsible for implementing and
enforcing the Code of Federal Regulations specifically Title 15 chapter VII,
subchapter C, also known as Export Administration Regulations (EAR); The
Department of State implementing and enforcing Title 22 Chapter I Subchapter M
also known as International Traffic in Arms Regulations (ITAR). Additionally, one
must be aware of Treasury Dept’s Office of Foreign Assets Control (OFAC) that
oversees embargoed and sanctioned prohibited countries. Due to the EAR,
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ITAR, and OFAC being legal codes. Therefore, this pathfinder will guide you how
to find the exact research needed for the numerous sections of export regulations.
b. The History of Export Controls
i. EAR
1. How were Export controls established? On September 5, 1774, the First
Continental Congress convened in Carpenter’s Hall in Philadelphia,
Pennsylvania and the following December, Congress declared the
importation of British goods to be illegal. Twelve months later the
Congress outlawed the export of goods to Great Britain, thus establishing
the first American export controls.
2. When was the EAR created? March 5, 1996.
3. What is the EAR? The Federal Register published a comprehensive
database of the Export Administration Regulations (EAR). The database
contains laws relating to the control of certain exports, reexports, and
activities.
4. Where can I find a list of prohibited parties to the EAR? Prohibited Parties
ii. ITAR
1. What led to the establishment of the ITAR? The Arms Export Control Act
of 1976 gives the President of the United States the authority to control
the import and export of defense articles and defense services. That
authority was delegated the Secretary of State by executive order, who
led the efforts to create the ITAR regulations that are primarily
administered by the Director of the Office of Munitions Control, Bureau of
Politico-Military Affairs, Department of State.
2. When was the ITAR enacted? June 30, 1976
3. What is the ITAR? ITAR regulations dictate that information and material
pertaining to defense and military related technologies with the goal to
advance national strategic objectives and U.S. foreign policy via the trade
controls.
iii. OFAC
1. What led to the establishment of OFAC? Dating back prior to the War of
1812, Secretary of the Treasury Gallatin administered sanctions imposed
against Great Britain for the harassment of American sailors. During the
Civil War, Congress approved a law which prohibited transactions with the
Confederacy, called for the forfeiture of goods involved in such
transactions, and provided a licensing regime under rules and regulations
administered by Treasury. OFAC is the successor to the Office of
Foreign Funds Control (the ``FFC''), which was established at the advent
of World War II following the German invasion of Norway in 1940.
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2. When was OFAC enacted? December 1950, following the entry of China
into the Korean War, when President Truman declared a national
emergency and blocked all Chinese and North Korean assets subject to
U.S. jurisdiction.
3. What is OFAC? The Office of Foreign Assets Control administers and
enforces economic sanctions programs primarily against countries and
groups of individuals, such as terrorists and narcotics traffickers. The
sanctions can be either comprehensive or selective, using the blocking of
assets and trade restrictions to accomplish foreign policy and national
security goals.
5. List of Key Abbreviations/List of Organizations & Institutions Involved
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.
p.
q.
r.
s.
t.
6.
EXIM – Export/Import Bank of the United States
FTC – Federal Trade Commission
FCSC- Foreign Claims Settlement Commission
CBP – Customs and Border Protection
ICC - International Chamber of Commerce
USTR – United States Trade Representative
USDOJ – United States Department of Justice
USITC – United States International Trade Commission
WTO – World Trade Organization
DOS – Department of State
BIS – Bureau of Industry and Security
DOC – Department of Commerce
DTSA – Defense Technology Security Administration
DOT – Department of Transportation
DEA – Drug Enforcement Administration
DSCA – Defense Security Cooperation Agency
DoHS – Department of Homeland Security
DOE – Department of Energy
NRC– Nuclear Regulatory Commission
DDTC – Directorate of Defense Trade Controls
Primary Resources
a. Primary Source: How to find the actual text
i. EAR
1. PRINT
a. These regulations can be found at library law schools, such
as Nova Southeastern University.
b. These regulations can be purchased online via GPO.gov or
Boskage.com.
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2. ONLINE
a. Direct Link - EAR DATABASE
b. *LEXIS
i. Research> CFR – Code of Federal Regulations>
TITLE 15 (COMMERCE AND FOREIGN TRADE) Chapter VII - Subchapter C
c. *WESTLAW
i. Westlaw Research> Code of Federal Regulations>
Table of Contents> TITLE 15 (COMMERCE AND
FOREIGN TRADE) - Chapter VII - Subchapter C
ii. ITAR
1. PRINT
a. These regulations can be found at library law schools, such
as Nova Southeastern University.
b. These regulations can be purchased online via MOSIS.com
or ESEB.RAYTHEON.com
2. ONLINE
a. Direct Link - ITAR
b. *LEXIS
i. Research>CFR – Code of Federal Regulations>TITLE
22 (DEPARTMENT OF STATE) - Chapter I Subchapter M
c. *WESTLAW
i. Westlaw Research>Code of Federal Regulations>
Table of Contents>TITLE 22 (DEPARTMENT OF
STATE) - Chapter I - Subchapter M
iii. OFAC
1. ONLINE
a. LINKS
i. Direct - OFAC
ii. Country Sanctions –
1. Balkans Sanctions
2. Belarus Sanctions
3. Burma Sanctions
4. Cote d'Ivoire (Ivory Coast)
Sanctions
5. Cuba Sanctions
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6. Democratic Republic of the
Congo Sanctions
7. Iran Sanctions
8. Iraq Sanctions
9. Former Liberian Regime of
Charles Taylor Sanctions
10. North Korea Sanctions
11. Sudan Sanctions
12. Syria Sanctions
13. Zimbabwe Sanctions
a. INSTANTOFAC - A FREE advanced search algorithm available
to search the OFAC SDN list without the need of expensive
compliance software.
2. ONLINE PURCHASE
a. OFAC Analyzer - OFAC Compliance Program ensures that data
scanned against the latest OFAC (Office of Foreign Asset
Control) and other Relevant Government lists complies with the
current regulations.
b. OFAC Compliance - Bridger offers a full suite of compliance
software solutions developed to meet the many challenges
organizations and institutions face when implementing an OFAC
policy and procedure program.
7. Dictionaries and Directories
b. PRINT
i. Dictionary of International Trade – The industry standard. Every business has
its own language, lexicon and lingo, and international trade is no exception. This
book is the most respected and largest-selling dictionary of trade in the world. It is
used by importers, exporters, bankers, shippers, logistics professionals, attorneys,
economists and government officials in more than 100 countries worldwide.
ii. Dictionary of International Trade - A Basic Guide to Exporting is the US
Department of Commerce's respected introduction to exporting. It is designed to
help US firms learn the costs and risks associated with exporting and develop a
strategy for success.
iii. Black’s Legal Dictionary
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1. Black’s Law Dictionary, 8th Edition: ISBN-10: 0-314-15199-0
2. Available at most public libraries, enter your zip code to find library closest
to your location: WORLDCAT
c. ONLINE
i. Free Online Business Dictionary - Most United States export terms are listed in
this dictionary.
ii. Export Bureau Dictionary - ExportBureau.com was established to provide a link
between manufacturers and importers around the world that was regionally
independent and provides a dictionary for Export, Trade and Shipping Terms.
iii. Black’s Legal Dictionary
1. *Westlaw: Directory--Black's Law Dictionary, 8th Edition (BLACKS)
2. *Thomson West: http://www.blackslawdictionary.com/
iv. http://www.fdi.net/ - FDI.net is a unique web portal that offers free, on-demand
country analysis and information on all things related to foreign direct investment
in 175 countries. The site combines business and public resources with World
Bank Group analysis to provide users with a single entry point for the full-spectrum
of information needed to make a decision about investing in a foreign country.
v. http://www.miga.org/ - MIGA's mission is to promote foreign direct investment
(FDI) into developing countries to help support economic growth, reduce poverty,
and improve people's lives.
vi. http://www.foreign-trade.com/ - FOREIGN TRADE ON-LINE, is a leading global
B2B trade portal, is a privately owned and operated business which helps provide
companies around the world with the opportunity to expand their business beyond
their own borders.
vii. http://www.importexporthelp.com/ - Website supplying hundreds of international
business and import export resources that can help a company earn greater
profits.
viii. http://www.exportcontrol.org/ - This site is dedicated as a resource for Export
Control information.
8. Trade & Customs Statutes and Regulations
a.
b.
c.
d.
e.
CFR Title 15 - Commerce and Foreign Trade
CFR Title 16 - Commercial Practices
CFR Title 46 - Shipping
U.S. Code, Title 15, Chapter 1 - Monopolies and Combinations in Restraint of Trade
U.S. Code, Title 15, Chapter 2 - Federal Trade Commission; Promotion of Export Trade
and Prevention of Unfair Methods of Competition
f. U.S. Code, Title 18, Chapter 27 - Customs Crimes and Criminal Procedure
g. U.S. Code, Title 19 - Customs Duties
9. Treaties
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a. NAFTA – The purpose of North American Free Trade Agreement (NAFTA) is to establish a
free-trade zone for Canada, Mexico and the United States. The agreement entered into
force on January 1, 1994.
b. GATT/WTO - The General Agreement on Tariffs and Trade (GATT) was an international
organization that promoted international trade and the reduction of trade barriers from
1947 to 1994. The World Trade Organization (WTO), the successor organization of the
GATT, was established following the eighth round of GATT negotiations (the Uruguay
Round) in 1995.
i. GATT - Over 30,000 public documents and 300 publications of the General
Agreement on Tariffs and Trade (GATT) are accessible from this site. A very small
number of WTO documents are also included - see WTO Documents Online for
these documents. The GATT published close to 60,000 documents between 19471994. De-restriction of some 10,000 of these documents has not yet occurred;
hence, public access to these is unavailable.
ii. WTO - This database provides access to the official documentation of the World
Trade Organization, including the legal texts of the WTO agreements. The
database contains WTO documentation from 1995 onwards and is updated daily.
It also contains selected material for the period 1986-1994, principally Uruguay
Round documents and a small number of GATT documents. There are currently
over 100,000 documents in the database in the three official languages of the
WTO.
iii. GATT to the WTO Research Guide (Georgetown Law Library)
c. CAFTA - The purpose of Central America Dominican Republic United States Free Trade
Agreement (CAFTA) is to create a trade free-zone between the United States and Central
America by eliminating tariffs and other trade barriers. After having passed in the U.S.
Senate, CAFTA passed in the U.S. House of Representatives by a narrow majority (217 to
215) on July 28, 2005. The seven members of CAFTA are: United States, Dominican
Republic, Honduras, Nicaragua, El Salvador, Costa Rica and Guatemala.
10. United States Court of International Trade (Case Law)
a. Information - This is to provide information about the United States Court of International
Trade and its role in the federal judicial system. Since the court serves an important
judicial function and has significant responsibilities in international trade. Congress, with
the Customs Courts Act of 1980, equipped the federal judicial system to deal effectively
and efficiently with the increasingly complex problems arising from international trade
litigation. In essence, the Act clarified and expanded the status, jurisdiction, and powers of
the former United States Customs Court and changed the name of the court to the United
States Court of International Trade. The new name more accurately describes the court's
expanded jurisdiction and its increased judicial functions relating to international trade
disputes.
i. Searching Slip Opinions:
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1. Provides links a list of cases dealing with U.S. court decisions:
a. International Trade Court - Slip Opinions
ii. *LEXIS and WESTLAW
1. *LEXIS
a. Legal>Area of Law by Topic>International
Trade>Cases>Interpreting US Law>US Customs Court Cases
b. Legal>Area of Law by Topic>International
Trade>Cases>Interpreting US Laws>US Court of International
Trade Cases
2. *Westlaw
a. United States Court of International Trade
11. Journals
a. The Journal of Commerce - Through its publications, Web sites, and data services, UBM
Global Trade is the leading supplier of business information for people involved in
transporting goods and commodities in the United States and internationally.
b. Estey Centre Journal of International Law and Trade Policy - A venue for the
exchange of ideas pertaining to the international commercial and legal environment. It
publishes high quality scholarly research to stimulate dialogue and debate on both topics
of current interest to the international community and longer-standing issues of
international relations. To ensure the timely and widespread dissemination of research, the
journal is published solely in an electronic (web based) format.
c. International Trade Reporter - BNA is the largest independent publisher of information
and analysis products for professionals in business and government.
12. Blogs
a. World Trade Law - This blog offers commentary on current developments and scholarship
in the field of international economic law and policy. It was started in January 2006 by Joel
Trachtman and WorldTradeLaw.net,
b. Trade Lawyers Blog - Trade Lawyers Blog is a forum for well known and respected
international trade lawyers around the world to share information about international trade
developments.
c. Customs Law - Semi-random postings on the state of American customs law,
international trade law, bicycle commuting, technology and whatever else strikes my fancy.
d. Trade Law News – News, analysis and information on export controls, customs law, the
FCPA, antidumping and other international trade issues.
13. Multimedia
a. VIDEO
i.
ii.
Export Controls Victory For US Manufacturers
Export Control and Related Border Security Assistance (EXBS) Program
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iii.
b. AUDIO
iv.
v.
Barnes Richardson Global Trade Law, Lawrence Friedman
A Primer on Export Controls
When is an Email an Export? The ABCs of U.S. Export Controls (Audio-Only
Program)
c. POWERPOINTS
vi.
U.S. Export Control Laws and Regulations
vii.
Export Controls 101
14. RSS Feeds
a. Small Business Advocate
b. Today on Entrepreneur
15. Tutorials
a. Introduction to Export Controls
b. Global Trade Tutorial
16. Research Guides
a. If new to export controls, Georgetown Law provides an extensive research guide in two
major areas of Export Law; Customs & Trade, and Arms Control. These guides are listed
at, the website below; this is copyrighted information of Georgetown Law School.
i.
International Customs Law Research Guide – The increase in amount of goods
and materials crossing national borders has prompted the need for research in
the international aspects of customs requirements. The focus of this research
guide is on both print and electronic sources for researching international
customs law. This includes sources from international organizations, major trade
agreements, as well as international law sources generally.
ii.
Arms Control Research Guide - This guide is intended as a starting point for
research in the law of arms control at Georgetown Law Library. It includes both
primary and secondary materials, in both print and electronic formats.
b. Columbia Law School provides an International Trade Law Guide: The purpose of this
guide is to provide an introduction to a variety of the resources available at the Diamond
Law Library and through subscription databases, as well as from the Internet. General
introductory resources will be discussed first. Then the guide will proceed through a
discussion of the major multilateral trade agreements, regional trade agreements and
United Nations trade bodies.
17. Sample Research Question
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a. Question: What are the resources a client should consult to export laptops to
Columbia?
i. Primary Research:
2. Are laptops governed under the EAR or ITAR?
a. EAR DATABASE = Controls “dual-use” items (Any
technology or information that has a both a military and
civilian use).
b. ITAR = Controls defense articles, defense services, and
related technical data, including most space-related articles.
c. Answer = EAR controls because laptops fall under the EAR
jurisdiction.
3. Does Columbia fall under the list of countries sanctioned by the United
States?
a. OFAC = Oversees embargoed and sanctioned prohibited
country lists.
b. Answer = Columbia is not listed as country embargoed or
sanctioned by the United States.
4. What Codes of Federal Regulation are applicable here?
a. CFR Title 15 - Commerce and Foreign Trade
b. CFR Title 16 - Commercial Practices
c. CFR Title 46 - Shipping
d. U.S. Code, Title 15, Chapter 1 - Monopolies and Combinations
in Restraint of Trade
e. U.S. Code, Title 15, Chapter 2 - Federal Trade Commission;
Promotion of Export Trade and Prevention of Unfair Methods of
Competition
f. U.S. Code, Title 18, Chapter 27 - Customs Crimes and Criminal
Procedure
g. U.S. Code, Title 19 - Customs Duties
5. Is their any case law on the topic of export controls on laptops?
a. International Trade Court - Slip Opinions
ii. Specific Research on Columbia Export Regulations:
a. Journals:
i. Search
1. Journal of Commerce for “Columbia and Export
Regulations”
2. Estey Centre for “Columbia and United States
Export Regulations”
3. Worldlii for “Columbia and United States Export
Regulations”
b. Blogs:
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i. Search for “Columbia and United States Export
Regulations”
c. Additional Sources
i. World Trade Organization
ii. International Customs Law Research Guide
iii. International Trade Law Guide
18. Conclusion
a. Export Pathfinder: A vast amount of resources exist regarding the exportation of goods
and services from the United States. This pathfinder synthesizes the information into a
practical and easy to use guide for direct EAR, ITAR, and OFAC resource searching.
b. Gaps or Weaknesses in this Area of Research: There are very few gaps regarding U.S.
Exportation research, because each resource refers you to different one if the information
is not provided for. This can be attributed to the fact that exportation of goods and
services from the United States to other countries is rapidly growing. Exportation from the
United States to sellers overseas requires the availability of substantial finances and
proper planning in order to complete. Accordingly, law making bodies spend resources
ensuring trade compliance within the international realm of commerce through import and
export of goods and services.
19. Suggested Further Reading
a. Managing Exports: Navigating the Complex Rules, Controls, Barriers, and Laws by
Frank Reynolds
b. Schmitthoff's Export Trade: The Law and Practice of International Trade by Leo
D'Arcy
c. Principles of Law Relating to Overseas Trade (Institute of Export) by Nicholas
Kouladis
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