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Drafts an audit-ready Export Compliance Program manual covering EAR, ITAR, and OFAC requirements. Use when creating or updating an export compliance policy, international trade compliance program, or preparing enforcement defense documentation for regulatory review.
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| name | ecp-manual |
| title | Export Compliance Program (ECP) Manual |
| description | Drafts an audit-ready Export Compliance Program manual covering EAR, ITAR, and OFAC requirements. Use when creating or updating an export compliance policy, international trade compliance program, or preparing enforcement defense documentation for regulatory review. |
| author | CaseMark |
| author_url | https://github.com/CaseMark/skills/tree/main/skills/legal/ecp-manual |
| license | Apache-2.0 |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | sanctions |
| language | en |
Drafts a tailored ECP Manual establishing policies, procedures, and controls for compliance with U.S. export control laws (EAR, ITAR, OFAC) and applicable foreign regimes.
Gather before drafting:
Search uploaded documents for org charts, product catalogs, customer lists, prior licenses, agency correspondence, and audit findings. Tailor the manual to extracted details rather than producing a generic template.
[VERIFY] for attorney review| Dimension | Key Factors |
|---|---|
| Item sensitivity | Dual-use (EAR/ECCN), defense article (ITAR/USML), deemed export exposure |
| Destination risk | Country tier, embargo status, proliferation concerns, sanctions programs |
| End-user/end-use | Ownership structure, diversion indicators, end-use information willingness |
Cadence: Enterprise-level annually (+ triggered by new products, markets, acquisitions, regulatory changes). Transaction-level per-deal with escalation criteria.
Red flags triggering enhanced due diligence:
EAR path:
ITAR path:
Retain classification worksheets, technical analyses, and CJ determinations. Review periodically as products or regulations change.
| Scenario | Action |
|---|---|
| EAR-controlled | Check Commerce Country Chart (ECCN × destination) |
| License exception available | Verify all conditions; document exception basis |
| EAR99 / unrestricted | No license required; document determination |
| ITAR-controlled | Determine DSP-5, DSP-73, TAA, or MLA; submit via DECCS |
| OFAC nexus | Confirm general license or obtain specific OFAC license |
Also address: temporary exports, re-exports, deemed exports to foreign nationals, encryption items, multi-country transactions. Track all license conditions, validity periods, and reporting obligations.
Required lists (minimum): OFAC SDN List, BIS Entity List, BIS Denied Persons List, BIS Unverified List, BIS MEU List, State Dept AECA Debarred List, Consolidated Screening List (CSL).
Protocol:
OFAC 50% rule: Entities 50%+ owned by an SDN are blocked even if not separately listed.
| Record Category | Retention |
|---|---|
| Export licenses & authorizations | Permanent (or license life + 5 yr) |
| Classification determinations | Product life + 5 yr |
| Screening results | 5 yr from transaction |
| Shipping docs (invoice, B/L, EEI/AES) | 5 yr from export |
| License exception docs | 5 yr from export |
| Technology transfer agreements | 5 yr from expiration |
| Training records | Employment + 5 yr |
| VSD correspondence | Permanent |
Regulatory minimums: EAR 5 yr [15 C.F.R. § 762.6 [VERIFY]]; ITAR 5 yr [22 C.F.R. § 122.5 [VERIFY]]; OFAC 5 yr [31 C.F.R. § 501.601 [VERIFY]].
Ensure efficient retrieval, access controls, backup, and disaster recovery. Involve legal counsel before producing records to government.
| Tier | Audience | Topics |
|---|---|---|
| Awareness | All employees | Overview, violation consequences, reporting, no-retaliation |
| Intermediate | Sales, shipping, customer service | Red flags, screening, escalation, documentation |
| Advanced | Compliance specialists | Classification, licensing, deemed exports, sanctions analysis |
| Technical | Engineers, scientists, IT | Deemed export rules, technology/technical data definitions, authorization requirements |
Deliver via instructor-led, web-based, and scenario exercises. Track: attendee, date, topics, assessment scores. Retain as audit evidence.
Scope: Classification accuracy, license compliance, screening completeness, recordkeeping adequacy, procedural adherence.
Cadence: Comprehensive annually; focused audits triggered by new markets/products/regulatory changes; risk-weighted transaction sampling.
Output: Severity-rated findings → root cause analysis → corrective action plan (named owners, firm deadlines) → follow-up verification.
Reporting: Findings to CCO/GC and business unit leaders; material findings escalated to CEO and board/audit committee.
Upon discovery:
VSD submission routes:
| Regime | Agency | Mechanism |
|---|---|---|
| EAR | BIS Office of Export Enforcement | Written narrative + documentation |
| ITAR | DDTC | Per 22 C.F.R. Part 127 [VERIFY] |
| OFAC | OFAC | Per OFAC Enforcement Guidelines |
VSD decision factors: Severity, willfulness, national security harm, likelihood of independent discovery, mitigating factors, prior history.
Discipline: Minor/inadvertent → training. Moderate → written warning/PIP. Serious/intentional → suspension, termination, prosecution referral. Apply consistently across all levels.