Regulations and Procedures
The following regulation and procedure resources are provided to help ECU students, faculty and staff with their export controls and customs questions.
ECU Policy
ECU’s policy regarding Export Controls and Customs is located here.
ECU Policy-Related Standard Operating Procedures
The Office of Export Controls and Customs has implemented numerous Standard Operating Procedures to facilitate compliance. These are available for download below.
| Procedure Name | Procedure Number |
|---|---|
| Foreign Donors and Suppliers | RPS002.0 |
| International Collaborations | COL001.0 |
| International Shipments (Exports) | SHP001.0 |
| International Shipments (Imports) | SHP002.0 |
| International Travel | TRA001.0 |
| Sponsored Research Collaborations | SPR001.0 |
| Visiting International Students, Scholars, Employees | RPS001.0 |
OFAC Sanctions
The US Office of Foreign Assets Control prohibits working with any person, government or entity for which an active U.S. sanction or embargo exists, or for any individual or entity designated on various restricted party lists, unless there is a relevant OFAC license that authorizes the activity.
OFAC publishes sanctions and embargoes information on its website.
While the following list includes active sanctions as of early 2018, you should check OFAC’s site for the latest information.
- Balkans-Related SanctionsBelarus SanctionsBurundi SanctionsCountering America's Adversaries Through Sanctions Act of 2017Central African Republic SanctionsCounter Narcotics Trafficking SanctionsCounter Terrorism SanctionsCuba SanctionsCyber-related SanctionsDemocratic Republic of the Congo-Related Sanctions
Department of State
The U.S. Department of State’s Directorate of Defense Trade Controls regulates defense articles and defense services via the International Traffic in Arms Regulations.
Department of Commerce
The Export Administration Regulations of the U.S. Department of Commerce’s Bureau of Industry and Security exist to advance national security, foreign policy and economic objectives.
See the following U.S. Department of Commerce summary table for fiscal year 2016 criminal fines and imprisonment, as well as administrative actions, issued for violations of the Export Administration Regulations.
| Fiscal Year | Criminal Penalties* | Administrative Penalties |
|---|---|---|
| 2016 | 32 individuals and businesses convicted $274,500 in criminal fines $79,077,400 in forfeitures 883 months of imprisonment | 35 administrative cases $23,055,000 in administrative penalties |
*Criminal penalties can reach $1,000,000 and 20 years imprisonment per violation and the administrative penalties can reach the greater of $250,000 per violation or twice the amount of the transaction that is the basis of the violation. Source: https://www.bis.doc.gov/index.php/enforcement/oee/penalties.
Code of Federal Regulations
Various U.S. federal regulations can be found online.
Some of the most relevant for export compliance purposes include:
- Title 15, Commerce and Foreign Trade
- Part 30 contains helpful export reporting regulations
- Parts 730-774 contain the Export Administration Regulations, commonly called EAR
- Title 19 Customs Duties
- Title 22 Foreign Relations
- Parts 120-130 contain the International Traffic in Arms Regulations, commonly called the ITAR
- Title 31 Money and Finance: Treasury
- Parts 500-599 contain the Office of Foreign Assets Controls regulations that include various sanctions, embargoes and restricted parties
U.S. Fish and Wildlife Service
The U.S. Fish and Wildlife Service administers various import and export permits for various plants and animals, including specimens. For example, FWS issues CITES (Convention on International Trade in Endangered Species of Wild Fauna and Flora) permits, as well as APHIS (Animal Plant Health Inspection Service) permits. Permits may be required for not only the import or export of certain biologics, but also for domestic transport. Most regulations related to the permitting process are located in Title 50 of the Code of Federal Regulations. A summary is provided here.
U.S. Environmental Protection Agency
The U.S. Environmental Protection Agency administers various regulations related to chemicals that may be imported, as well as other items. For example, EPA administers the Toxic Substances Control Act. It’s common for chemicals used in scientific laboratories to trigger a question about whether or not TSCA applies.