EAR Part 762

Recordkeeping

Part 762--page 1

Table of Contents
§ 762.1 SCOPE ........................................... 1
§ 762.2 RECORDS TO BE RETAINED .... 1
§ 762.3 RECORDS EXEMPT FROM
RECORDKEEPING REQUIREMENTS ... 3
§ 762.4 ORIGINAL RECORDS
REQUIRED ................................................ 4
§ 762.5 REPRODUCTION OF ORIGINAL
RECORDS .................................................. 4

(4) Any other transactions subject to the EAR,
including, but not limited to, the prohibitions
against servicing, forwarding and other actions
for or on behalf of end-users of proliferation
concern contained in §§736.2(b)(7) and 744.6 of
the EAR.
This part also applies to all
negotiations connected with those transactions,
except that for export control matters a mere
preliminary inquiry or offer to do business and
negative response thereto shall not constitute
negotiations, unless the inquiry or offer to do
business proposes a transaction that a reasonably
prudent exporter would believe likely lead to a
violation of the EAA, the EAR or any order,
license or authorization issued thereunder.

§ 762.6 PERIOD OF RETENTION............ 5
§ 762.7 PRODUCING AND INSPECTING
RECORDS .................................................. 6
§ 762.1 SCOPE
In this part, references to the EAR are references
to 15 CFR chapter VII, subchapter C.
(a) Transactions subject to this part
The recordkeeping provisions of this part apply
to the following transactions:

(b) Persons subject to this part
Any person subject to the jurisdiction of the
United States who, as principal or agent
(including a forwarding agent), participates in
any transaction described in paragraph (a) of this
section, and any person in the United States or
abroad who is required to make and maintain
records under any provision of the EAR, shall
keep and maintain all records described in §762.2
of this part that are made or obtained by that
person and shall produce them in a manner
provided by §762.7 of this part.

(1) Transactions involving restrictive trade
practices or boycotts described in part 760 of the
EAR;

§ 762.2 RECORDS TO BE RETAINED

(2)
Exports of commodities, software, or
technology from the United States and any
known reexports, transshipment, or diversions of
items exported from the United States;

The records required to be retained under this part
762 include the following:

(3) Exports to Canada, if, at any stage in the
transaction, it appears that a person in a country
other than the United States or Canada has an
interest therein, or that the item involved is to be
reexported, transshipped, or diverted from
Canada to another foreign country; or

Export Administration Regulations

(a) Records required to be retained

(1) Export control documents as defined in part
772 of the EAR, except parties submitting
documents electronically to BIS via the SNAP-R
system are not required to retain copies of
documents so submitted;
(2)
(3)
(4)
(5)

Memoranda;
Notes;
Correspondence;
Contracts;

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Recordkeeping

(6) Invitations to bid;
(7) Books of account;
(8) Financial records;
(9) Restrictive trade
documents and reports;

Part 762--page 2

practice

or

boycott

(10) Notification from BIS of an application
being returned without action; notification by BIS
of an application being denied; notification by
BIS of the results of a commodity classification
or encryption review request conducted by BIS;
(11) The serial number, make, model, and caliber
for any firearm controlled in ECCN 0A501.a and
for shotguns with barrel length less than 18 inches
controlled in 0A502 that have been exported.
The “exporter” or any other party to the
transaction (see § 758.3 of the EAR), that creates
or receives such records is a person responsible
for retaining this record; and
(12) Other records pertaining to the types of
transactions described in §762.1(a) of this part,
which are made or obtained by a person described
in §762.1(b) of this part.
(b) Records retention references
Paragraph (a) of this section describes records
that are required to be retained. Other parts,
sections, or supplements of the EAR which
require the retention of records or contain
recordkeeping provisions, include, but are not
limited to the following:
(1) §732.6, Steps for other requirements;
(2) §734.4(g), de minimis calculation
(method);
(3) Part 736, General Prohibitions;
(4) §740.1, Introduction (to License
Exceptions);
(5) § 740.9(a)(3)(i)(B), Tools of trade:
temporary exports, reexports, and transfers
(in country) of technology by U.S. persons
(TMP);
(6) §740.10(c), Servicing and replacement of
parts and equipment (RPL);
Export Administration Regulations

(7) § 740.11(b)(2)(iii) and (iv), Exports,
reexports and transfers (in-country) made
for or on behalf of a department or agency
of the U.S. Government and Items exported
at the direction of the U.S. Department of
Defense (GOV);
(8) §740.12, Humanitarian donations (GFT);
(9) §740.13(h), Technology and software—
unrestricted (TSU);
(10) § 740.20(g), Responses to License
Exception STA eligibility requests for “600
series” end items (STA);
(11) §743.1, Wassenaar reports;
(12) §743.2, High Performance Computers;
(13) § 743.4(c)(1) and (c)(2), Conventional arms
reporting;
(14) §745.1, Annual reports;
(15) §745.2, End-use certificates;
(16) §746.3 Iraq;
(17) [Reserved];
(18) §748.1(d)(2), Procedure for requesting
authorization to file paper applications,
notifications, or requests;
(19) §748.4(b), Disclosure of parties on license
applications and the power of attorney;
(20) §748.6, General instructions for license
applications;
(21) §748.9, Support documents for license
applications;
(22) §748.10, PRC End-User Statement;
(23) §748.11, Statement by Ultimate Consignee
and Purchaser;
(24) §748.12, Firearms Convention (FC) Import
Certificate;
(25) [RESERVED]
(26) Supplement No. 2 to Part 748 paragraph
(c)(2), Security Safeguard Plan
requirement;
(27) §750.7, Issuance of license and
acknowledgment of conditions;
(28) §750.8, Revocation or suspension of
license;
(29) §750.9, Duplicate licenses;
(30) §750.10, Transfer of licenses for export;
(31) – (39) [Reserved]
(40) §754.4, Unprocessed western red cedar;
(41) §758.1 and §758.2, Automated Export
System record;

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Recordkeeping

(42)
(43)
(44)
(45)
(46)
(47)
(48)
(49)
(50)

(51)

(52)

(53)
(54)
(55)

Part 762--page 3

§758.1(h), Record and proof of agent's
authority;
§758.3(b), Routed Export Transactions;
§758.6, Destination control statements;
§760.5, Reporting requirements;
§762.2, Records to be retained;
§764.2, Violations;
§764.5, Voluntary self-disclosure;
§766.10, Subpoenas;
§ 772.2, “Specially designed” definition,
note to paragraphs (b)(4), (b)(5), and
(b)(6);
§ 740.20, note to paragraph (c)(1),
License Exception STA prior approval on
a BIS or DDTC license (STA);
§ 744.15(b), UVL statement as well as any
logs or records created for multiple
exports, reexports, and transfers (incountry);
§ 750.7(c)(2), Notification of name
change by advisory opinion request;
§ 748.13 Certain Hong Kong import and
export licenses;
Supplement No. 7 to part 744, Temporary
General License Certification Statements
and logs or other records required,
including
any
additional
support
documentation needed to substantiate the
certification statement, under paragraph
(d) of Supplement 7 to part 744 of this
chapter.

(c) Special recordkeeping requirement
(1) Libya. Persons in receipt of a specific
license granted by the Department of the
Treasury’s Office of Foreign Assets Control
(OFAC) for the export to Libya of any item
subject to the EAR must maintain a record of
those items transferred to Libya pursuant to such
specific license and record when the items are
consumed or destroyed in the normal course of
their use in Libya, reexported to a third country
not requiring further authorization from BIS, or
returned to the United States. This requirement
applies only to items subject to a license
requirement under the EAR for export to Libya as
Export Administration Regulations

of April 29, 2004. These records must include
the following information:
(i) Date of export or reexport and related details
(including means of transport);
(ii) Description of items (including ECCN) and
value of items in U.S. Dollars;
(iii) Description of proposed end-use and
locations in Libya where items are intended to be
used;
(iv) Parties other than specific OFAC licensee
who may be given temporary access to the items;
and
(v) Date of consumption or destruction, if the
items are consumed or destroyed in the normal
course of their use in Libya, or the date of
reexport to a third country not requiring further
authorization from BIS, or return to the United
States.
(2) [RESERVED].

§ 762.3 RECORDS EXEMPT FROM
RECORDKEEPING REQUIREMENTS
(a) The following types of records have been
determined to be exempt from the recordkeeping
requirement procedures:
(1) Export information page;
(2) Special export file list;
(3) Vessel log from freight forwarder;
(4) Inspection certificate;
(5) Warranty certificate, except for a warranty
certificate issued for an address located outside
the United States for any firearm controlled in
ECCN 0A501.a and for shotguns with barrel
length less than 18 inches controlled in 0A502;
(6) Guarantee certificate;
(7) Packing material certificate;
(8) Goods quality certificate;

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(9)
Notification to customer of advance
meeting;
(10) Letter of indemnity;
(11) Financial release form;
(12) Financial hold form;
(13) Export parts shipping problem form;
(14) Draft number log;
(15) Expense invoice mailing log;
(16) Financial status report;
(17) Bank release of guarantees;
(18) Cash sheet;
(19) Commission payment back-up;
(20) Commissions payable worksheet;
(21) Commissions payable control;
(22) C heck request forms;
(23) Accounts receivable correction form;
(24) Check request register;
(25) Commission payment printout;
(26) Engineering fees invoice;
(27) Foreign tax receipt;
(28) Individual customer credit status;
(29) Request for export customers code forms;
(30) Acknowledgement for receipt of funds;
(31) Escalation development form;
(32) Summary quote;
(33) Purchase order review form;
(34) Proposal extensions;
(35) Financial proposal to export customers; and
(36) Sales summaries.

SNAP-R, either an electronically stored copy in a
format that makes the document readable with
software possessed by that party or a paper print
out of the complete document is deemed to be an
original record for purposes of this section.

(b) [RESERVED]

(2) The system must record and be able to
reproduce all marks, information, and other
characteristics of the original record, including
both obverse and reverse sides of paper
documents in legible form.

§ 762.4 ORIGINAL RECORDS
REQUIRED
The regulated person must maintain the original
records in the form in which that person receives
or creates them unless that person meets all of the
conditions of §762.5 of this part relating to
reproduction of records. If the original record
does not meet the standards of legibility and
readability described in §762.5 of this part and the
regulated person intends to rely on that record to
meet the recordkeeping requirements of the EAR,
that person must retain the original record. With
respect to documents that BIS issues to a party in
Export Administration Regulations

§ 762.5 REPRODUCTION OF
ORIGINAL RECORDS
(a) The regulated person may maintain
reproductions instead of the original records
provided all of the requirements of paragraph (b)
of this section are met.
(b) In order to maintain the records required by
§762.2 of this part, the regulated persons defined
in §762.1 of this part may use any photographic,
photostatic,
miniature
photographic,
micrographic, automated archival storage, or
other process that completely, accurately, legibly
and durably reproduces the original records
(whether on paper, microfilm, or through
electronic digital storage techniques).
The
process must meet all of the following
requirements, which are applicable to all systems:
(1) The system must be capable of reproducing
all records on paper.

(3) When displayed on a viewer, monitor, or
reproduced on paper, the records must exhibit a
high degree of legibility and readability. (For
purposes of this section, legible and legibility
mean the quality of a letter or numeral that enable
the observer to identify it positively and quickly
to the exclusion of all other letters or numerals.
Readable and readability mean the quality of a
group of letters or numerals being recognized as
complete words or numbers.)

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(4) The system must preserve the initial image
(including both obverse and reverse sides of
paper documents) and record all changes, who
made them and when they were made. This
information must be stored in such a manner that
none of it may be altered once it is initially
recorded.
(5) The regulated person must establish written
procedures to identify the individuals who are
responsible for the operation, use and
maintenance of the system.
(6) The regulated person must establish written
procedures for inspection and quality assurance
of records in the system and document the
implementation of those procedures.
(7) The system must be complete and contain all
records required to be kept by this part or the
regulated person must provide a method for
correlating, identifying and locating records
relating to the same transaction(s) that are kept in
other record keeping systems.

and reproduce all records relating to a particular
transaction based on any one of the following
criteria:
(1) The name(s) of the parties to the transaction;
(2)
Any country(ies) connected with the
transaction; or
(3) A document reference number that was on
any original document.

(d) Requirements applicable to a system based
on photographic processes
For systems based on photographic, photostatic,
or miniature photographic processes, the
regulated person must maintain a detailed index
of all records in the system that is arranged in
such a manner as to allow immediate location of
any particular record in the system.

§ 762.6 PERIOD OF RETENTION
(8) The regulated person must keep a record of
where, when, by whom, and on what equipment
the records and other information were entered
into the system.
(9) Upon request by the Office of Export
Enforcement, the Office of Antiboycott
Compliance, or any other agency of competent
jurisdiction, the regulated person must furnish, at
the examination site, the records, the equipment
and, if necessary, knowledgeable personnel for
locating, reading, and reproducing any record in
the system.

(a) Five year retention period
All records required to be kept by the EAR must
be retained for five years from the latest of the
following times:
(1) The export from the United States of the
item involved in the transaction to which the
records pertain or the provision of financing,
transporting or other service for or on behalf of
end-users of proliferation concern as described in
§§736.2(b)(7) and 744.6 of the EAR;

(c) Requirements applicable to systems based
on the storage of digital images

(2) Any known reexport, transshipment, or
diversion of such item;

For systems based on the storage of digital
images, the system must provide accessibility to
any digital image in the system. With respect to
records of transactions, including those involving
restrictive trade practices or boycott requirements
or requests. The system must be able to locate

(3) Any other termination of the transaction,
whether formally in writing or by any other
means; or

Export Administration Regulations

(4) In the case of records of pertaining to
transactions involving restrictive trade practices

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Part 762--page 6

or boycotts described in part 760 of the EAR, the
date the regulated person receives the boycottrelated request or requirement.
(b) Destruction or disposal of records
If the Bureau of Industry and Security or any
other government agency makes a formal or
informal request for a certain record or records,
such record or records may not be destroyed or
disposed of without the written authorization of
the agency concerned. This prohibition applies
to records pertaining to voluntary disclosures
made to BIS in accordance with § 764.5(c)(4)(ii)
and other records even if such records have been
retained for a period of time exceeding that
required by paragraph (a) of this section.

§ 762.7 PRODUCING AND
INSPECTING RECORDS
(a) Persons located in the United States
Persons located in the United States may be asked
to produce records that are required to be kept by
any provision of the EAR, or any license, order,
or authorization issued thereunder and to make
them available for inspection and copying by any
authorized agent, official, or employee of the
Bureau of Industry and Security, the U.S.

Export Administration Regulations

Customs Service, or any other agency of the U.S.
Government, without any charge or expense to
such agent, official, or employee. The Office of
Export Enforcement and the Office of
Antiboycott Compliance encourage voluntary
cooperation with such requests. When voluntary
cooperation is not forthcoming, the Office of
Export Enforcement and the Office of
Antiboycott Compliance are authorized to issue
subpoenas requiring persons to appear and
testify, or produce books, records, and other
writings. In instances where a person does not
comply with a subpoena, the Department of
Commerce may petition a district court to have a
subpoena enforced.
(b) Persons located outside
of the United States
Persons located outside of the United States that
are required to keep records by any provision of
the EAR or by any license, order, or authorization
issued thereunder shall produce all records or
reproductions of records required to be kept, and
make them available for inspection and copying
upon request by an authorized agent, official, or
employee of the Bureau of Industry and Security,
the U.S. Customs Service, or a Foreign Service
post, or by any other accredited representative of
the U.S. Government, without any charge or
expense to such agent, official or employee.

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