Record Keeping and Retention

All OHIO personnel involved in export, import, or shipping transactions must maintain accurate, complete, and consistent records of all exports for a minimum of five (5) years, as required by U.S. law. Records relating to individual exports should be organized and maintained in international shipping files for quick retrieval during audits. The following records must be retained:

  • Licenses, including any riders;
  • Terms and conditions;
  • Narrative statements;
  • License applications, and letters of explanation will be maintained by the ECO and the respective department(s);
  • Shipments made under a license including all associated provisos, re-export authorization, or license exceptions are monitored by the ECO and appropriate member of the ECC; 
  • Records of transactions regarding any exported items, software, or technology shipped under any license or license exception, including memorandums, contracts, invitations to bid, notes, correspondence, books of account, and financial records, will be maintained by the department for five (5) years following the transaction. Records include:
    • The full name and address of the recipient;
    • A full description of each item, units of quantity and value of each item, and the date of shipment or re-export;
    • Export control documents relating to these transactions, including license amendments, applications for international import certificates and supporting documents, and delivery verification certificates will be maintained by the OEC;
    • AES confirmations, SEDs, dock receipts or bills of lading, Air Waybills, commercial invoices, packing lists, shipping documents, including printed copies of email shipments, and customs documents will be maintained by the department.
    • For ITAR shipments, the ECO receives a copy of all shipping documents;
    • Customer destination control certificates maintained by the ECO;
    • All boycott related requests are maintained by the ECO.
    • All required written assurances for foreign national employees and other parties are retained in the individual employee’s personnel file and a copy retained by the ECO.