There’s No Such Thing as an Exporter of Record—Here’s Who’s Actually Responsible

When exporters ask who is the “exporter of record,” they’re usually trying to determine who holds responsibility for export compliance—who decides if an export license is required, who files the Electronic Export Information (EEI), and who the government holds accountable if something goes wrong.

But here’s the thing: under U.S. export laws, there’s actually no such thing as an exporter of record.

That term appears nowhere in the Export Administration Regulations (EAR), Foreign Trade Regulations (FTR) or International Traffic in Arms Regulations (ITAR). Instead, those regulations use legally defined roles—like exporter, U.S. Principal Party in Interest (USPPI) and Foreign Principal Party in Interest (FPPI)—to assign responsibilities.

Let’s unpack what that means, how it compares to other countries’ usage of exporter of record, and how you can determine who’s responsible in your own transactions.

Exporter of Record vs. Exporter: What’s the Difference?

Many trade professionals are familiar with the phrase “importer of record.” That’s a legally recognized role under U.S. customs law—the person or company responsible for ensuring that imported goods comply with U.S. regulations and for paying import duties.

By contrast, there is no corresponding exporter of record in U.S. law. You’ll sometimes see the term in international trade or logistics contracts, or used informally by freight forwarders, but it doesn’t appear in any of the three primary U.S. export-control regimes:

• Export Administration Regulations (EAR): 15 C.F.R. Parts 730–774
• Foreign Trade Regulations (FTR): 15 C.F.R. Part 30
• International Traffic in Arms Regulations (ITAR): 22 C.F.R. Parts 120–130

In other words, when U.S. agencies talk about who is responsible for compliance, licensing or filings, they don’t look for an exporter of record. They look for the exporter, USPPI or, in certain routed transactions, the FPPI’s authorized agent.

How the Major U.S. Export Regulations Define the Key Players

1. Export Administration Regulations (EAR)

Under the EAR, the exporter is defined as the person in the United States who has the authority of a principal party in interest to determine and control the sending of items out of the country (15 C.F.R. § 758.3(b)).

That person or company—often the U.S. seller (USPPI)—is responsible for:

• Determining whether the item is subject to the EAR
• Assigning the correct Export Control Classification Number (ECCN)
• Deciding if an export license is required or if a license exception applies
• Ensuring the export complies with any license conditions
• Overseeing the EEI filing (usually through a freight forwarder or agent)

In a non-routed export, the U.S. seller/USPPI is usually the exporter under the EAR. In a routed export transaction, the Foreign Principal Party in Interest (FPPI)—typically the overseas buyer—can authorize a U.S. forwarding or logistics agent to act as the exporter. This must be documented through a power of attorney or written authorization under 15 C.F.R. § 758.3(d).

2. Foreign Trade Regulations (FTR)

The FTR governs the EEI filing process in the Automated Export System (AES), not licensing or jurisdiction. It defines:

• USPPI: “The person in the United States that receives the primary benefit, monetary or otherwise, from the export transaction.” (15 C.F.R. § 30.1)

The FTR assigns responsibilities for preparing and submitting the EEI:

• In non-routed exports, the USPPI (or its agent) files the EEI.
• In routed exports, the FPPI’s U.S. agent files the EEI, but the USPPI must provide key data elements—like ECCN, license number, and ultimate consignee information—to that agent (15 C.F.R. § 30.3(e)).

3. International Traffic in Arms Regulations (ITAR)

For defense articles and technical data, the ITAR takes precedence. It requires exporters to:

• Determine whether the item is subject to the ITAR or the EAR—a process called a jurisdiction determination (22 C.F.R. § 120.4)
• Be registered with the Directorate of Defense Trade Controls (DDTC) (22 C.F.R. § 122.2)
• Apply for the correct export license or exemption (22 C.F.R. § 123.1)

The person who certifies and signs export license applications must be an empowered official (22 C.F.R. § 120.67), someone with authority to legally bind the company and with personal knowledge of the facts and compliance obligations.

Who Determines Jurisdiction and License Requirements?

This is one of the most critical responsibilities in export compliance, and it falls squarely on the exporter as defined by the applicable regulations.

Who Is the Exporter Under Different Scenarios?

The table below summarizes how the EAR and FTR assign export responsibilities in common situations.

Why It Matters

If you mistakenly assign export responsibilities—or rely on an informal exporter of record label—you could easily violate U.S. export laws.

For example:

• If you’re a U.S. manufacturer selling under Incoterms 2020 term FCA but allow your foreign customer’s freight forwarder to handle export formalities without proper documentation, you might think you’ve shifted responsibility. In reality, you’re still the exporter under the EAR unless the FPPI’s agent has a valid power of attorney.
• If your item is controlled under the ITAR, it doesn’t matter what your purchase order says—the company registered with the DDTC is responsible for licensing and jurisdiction, not whoever claims to be the exporter of record.

The stakes are high: violations can result in substantial fines, loss of export privileges and even criminal penalties.

How to Stay Compliant

1. Identify the correct regulatory role. Know whether you are the USPPI, FPPI, exporter or registered ITAR exporter.
2. Document responsibility clearly. For routed exports, get written authorization from the FPPI and its U.S. agent.
3. Classify every product correctly. Assign the right Export Control Classification Number (ECCN) or determine it to be EAR99.
4. Check license requirements and exceptions. Use the Commerce Control List (CCL) and Country Chart under the EAR, or DDTC guidance for ITAR items.
5. File the EEI accurately. Make sure the filer has all required data elements, including license information.
6. Maintain export records for at least five years. Keep documentation of jurisdiction, licensing decisions and EEI filings.

Key Takeaways

• U.S. export regulations do not define or assign any role called "exporter of record."
• The EAR, FTR and ITAR assign export responsibilities to the exporter, USPPI or FPPI’s U.S. agent, depending on the transaction type.
• The exporter—as defined under the EAR—is responsible for determining jurisdiction, classification, licensing and compliance.
• Using the phrase exporter of record in contracts or communications may be fine informally, but it carries no legal weight under U.S. export law.

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