cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
7 rows where part_number = 762 and title_number = 15 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 15:15:3.1.1.1.11.0.1.1 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.1 Scope. | BIS | [61 FR 12900, Mar. 25, 1996, as amended at 70 FR 22249, Apr. 29, 2005; 78 FR 13471, Feb. 28, 2013; 87 FR 57106, Sept. 16, 2022] | 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: (1) Transactions involving restrictive trade practices or boycotts described in part 760 of the EAR; (2) Exports of commodities, software, or technology from the United States and any known reexports, transfers (in-country), transshipment, or diversions of items exported from the United States; (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 (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 to lead to a violation of the EAA, the EAR or any order, license or authorization issued thereunder. (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. | |||||
| 15:15:3.1.1.1.11.0.1.2 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.2 Records to be retained. | BIS | [61 FR 12900, Mar. 25, 1996] | (a) Records required to be retained. The records required to be retained under this part 762 include the following: (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) Memoranda; (3) Notes; (4) Correspondence; (5) Contracts; (6) Invitations to bid; (7) Books of account; (8) Financial records; (9) Restrictive trade practice or boycott documents and reports; (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 ECCNs 0A501.a, 0A506, or 0A507 and for shotguns with barrel length less than 18 inches controlled in 0A502 and 0A508 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) Section 734.9(h), Foreign Direct Product (FDP) supply chain certification; (4) Part 736, General Prohibitions; (5) § 740.1, Introduction (to License Exceptions); (6) § 740.9(a)(3)(i)(B), Tools of trade: Temporary exports, reexports, and transfers (in country) of technology by U.S. persons (TMP); (7) § 740.10(c), S… | |||||
| 15:15:3.1.1.1.11.0.1.3 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.3 Records exempt from recordkeeping requirements. | BIS | [61 FR 12900, Mar. 25, 1996, as amended at 62 FR 25469, May 9, 1997; 85 FR 4180, Jan. 23, 2020; 89 FR 34710, Apr. 30, 2024] | (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 ECCNs 0A501.a or .b, 0A506 or 0A507 and for shotguns with barrel length less than 18 inches controlled in 0A502 or 0A508; (6) Guarantee certificate; (7) Packing material certificate; (8) Goods quality certificate; (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) Check 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. (b) [Reserved] | |||||
| 15:15:3.1.1.1.11.0.1.4 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.4 Original records required. | BIS | [61 FR 12900, Mar. 25, 1996, as amended at 75 FR 17055, Apr. 5, 2010] | 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 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. | |||||
| 15:15:3.1.1.1.11.0.1.5 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.5 Reproduction of original records. | BIS | (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. (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. (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.) (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… | ||||||
| 15:15:3.1.1.1.11.0.1.6 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.6 Period of retention. | BIS | [61 FR 12900, Mar. 25, 1996, as amended at 72 FR 3946, Jan. 29, 2007; 87 FR 57106, Sept. 16, 2022] | (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; (2) Any known reexport, transfer (in-country), transshipment, or diversion of such item; (3) Any other termination of the transaction, whether formally in writing or by any other means; or (4) In the case of records of pertaining to transactions involving restrictive trade practices or boycotts described in part 760 of the EAR, the date the regulated person receives the boycott-related 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. | |||||
| 15:15:3.1.1.1.11.0.1.7 | 15 | Commerce and Foreign Trade | VII | C | 762 | PART 762—RECORDKEEPING | § 762.7 Producing and inspecting records. | BIS | [85 FR 73416, Nov. 18, 2020] | (a) Persons located in the United States. Persons located in the United States may be asked to produce books, records, and other information 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 official of the BIS, or any other official of the United States designated by BIS, without any charge or expense to such official. OEE and the Office of Antiboycott Compliance encourage voluntary cooperation with such requests. When voluntary cooperation is not forthcoming, OEE and the Office of Antiboycott Compliance are authorized to issue subpoenas requiring persons to appear and testify, or to 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 the subpoena enforced. (b) Persons located outside of the United States. Persons located outside of the United States that are required to keep books, records, and other information by any provision of the EAR or by any license, order, or authorization issued thereunder shall produce all books, records, and other information required to be kept, or reproductions thereof, and make them available for inspection and copying upon request by an authorized official of BIS without any charge or expense to such official. BIS may designate any other official of the United States to exercise the authority of BIS under this subsection. |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);