Export Compliance and Controls
Guidance Software products are subject to Export Administration Regulations (EAR) which are the export control laws administered by the United States Department of Commerce, Bureau of Industry and Security (BIS).
Guidance Software strongly suggests consultation with the United States Department of Commerce BIS or independent legal counsel for interpretation or clarification of any declared regulations or requirements.
In compliance with rules established by the United States Departments of Commerce, Treasury and State, Guidance Software will not ship product to (or for use in) embargoed countries. Embargoed Countries are:
- Iran (Islamic Republic of Iran)
- Korea, North (Democratic People's Republic of Korea)
- Syria (Syrian Arab Republic)
For the most complete information regarding restricted destinations, please see the BIS Country Guidance webpage.
In compliance with rules established by the United States Departments of Commerce, Treasury and State, Guidance Software will not ship product to entities (Agencies, Organizations, and Contacts) considered Denied, Debarred, Unverified, or Specially Designated Nationals. For more information, see this BIS link, Lists to Check.
|Software Licenses||ECCN||Schedule B||CCATS||License/Exception|
|EnCase® Endpoint Investigator||5D002||G151823||ENC(1)|
|Hardware Devices||ECCN||Schedule B||CCATS||License/Exception|
|Tableau® Password Recovery***||5A002||G141220||ENC(2)|
|Tableau® TD2u Forensic Duplicator||5A002||G163450||ENC(1)|
*EnCase® Forensic includes EnCase® Portable, EnCase® Processor, and EnCase® Decryption Suite (EDS).
These products are eligible for license exception ENC to commercial and government end users in all countries (excluding embargoed countries).
**EnCase® Enterprise includes EnCase® Enterprise for External Investigations, EnCase® eDiscovery, EnCase® Cybersecurity, EnCase® Analytics, and EnCase® Endpoint Security. These products are eligible for license exception ENC to commercial and government end users in all countries (excluding embargoed countries).
***Tableau Password Recovery includes Passware and Tableau® Accelerator components.
(1)License Exception ENC is allowed for commercial and government end use / end users in all countries (excluding embargoed countries).
(2)License Exception ENC is allowed for commercial end use / end users in all countries (excluding embargoed countries) and government end use / end users in Canada. An export license is required for government end use / end users in countries outside of the U.S. and Canada.
Additional Export Information
Per 15 CFR 772.1 – Definition of "government end-user":
A "government end-user" is defined as "any foreign central, regional or local government department, agency, or other entity performing governmental functions; including governmental research institutions, governmental corporations or their separate business units (as defined in part 772 of the EAR) which are engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List, and international governmental organizations. This term does not include: utilities (including telecommunications companies and Internet service providers); banks and financial institutions; transportation; broadcast or entertainment; educational organizations; civil health and medical organizations; retail or wholesale firms; and manufacturing or industrial entities not engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List."
Per 15 CFR 772.1 – Definition of "export":
An "export" is defined as an actual shipment or transmission of items out of the United States. (See §734.2(b) of the EAR.)
EAR Part 740.17
- 740.17(A) and (B)(3)(iii): License Exception ENC permits exports to “all end-users” in all countries. —EXCEPT EMBARGOED COUNTRIES.
- 740.17(b)(2)(ii): License Exception ENC permits exports to “non-government end-users” located or headquartered in a country listed on EAR Part 740 Supplement 3.
Required Documents and Contact Information
It is Guidance Software’s policy to verify product end use will not violate existing U.S. Export laws. As such, end customers may be asked to complete the GSI Export Document Set which includes a "Statement by Ultimate Consignee" and "End Use Verification". Both documents are required to be completed by the product end user and include fields to indicate if the end user received assistance to complete the form. Please see the UC Form Guidelines document for help with completing the "Statement by Ultimate Consignee".
Frequently Asked Questions
Q. Why is my order on export hold?
A. Each transaction is screened for product restrictions, country restrictions, and party restrictions. If your order meets restriction criteria, your order may be placed on export hold and you may be contacted to provide further information.
Q. What is an ECCN?
A. An ECCN (Export Control Classification Number ) is the numbering system which identifies individual categories of items on the Commerce Control List (CCL). The ECCN determines the level of control applicable to the item. It is a five digit, alpha/numeric character classification system used to determine export licensing requirements for products.
Q. What is an HTS / Schedule B Number?
A. An HTS (Harmonized Tariff Schedule) number is the classification of items according to the International Nomenclature of the Harmonized System. It consists in harmonizing the levels of the national customs duty rates on all imports from any third country. Duty rates and commodity classifications can be changed at any time. HTS defines the customs duty rate applicable to the product.
Schedule B is the United States Census Bureau equivalent to the HTS Number.
Q. What is an Ultimate Consignee?
A. The Ultimate Consignee is the entity (agency or organization) who will be the final purchaser and product user.
Q. Why does the Export Document Set ask for so much information?
A. There are two forms in the Export Document Set: "Statement by Ultimate Consignee" and "End Use Verification".
The Statement by Ultimate Consignee is provided by the United States Department of Commerce to aid in the proper identification of product end customers. If you have questions about how to complete this document, please see the UC Form Guidelines.
The End Use Verification is a form created by the Guidance Software Export Team to aid in export license determination.
In addition, Guidance Software is required to report exports for all Various Use Export Licenses and for License Exception ENC to destinations, twice per year. The information from the Export Document Set confirms this information for our reports:
- End Customer name, physical address, and telephone number;
- End Customer contact name and email address;
- Distributor, Partner, or Reseller name and address.
Q. I’ve already completed the Export Document Set. Why am I being asked to complete it again?
A. If you completed the Export Document Set recently, we may not have received them. You can email them to firstname.lastname@example.org.
If it has been more than 12 months since you completed the Export Document Set, we’ll ask for an updated set to be returned to us. Guidance Software Export Team maintains a protocol stating that end customer information documents more than 12-months old are required to be replaced.
Q. Do all shipments or transfers outside the United States require an export license?
A. No. Export license determination is based on the product and end use location. Some products require no license at all and others may qualify for an Export License Exception or a Various Use License. The Guidance Software Export Team makes the license determination on an order by order basis.
Q. How long does it take for an export license application to be processed?
A. After the Guidance Software Export Team completes the application for an export license, the estimated waiting period is 35-45 days. When the license is received by the Guidance Software Export Team, conditions are fulfilled.
A common condition on the export license is that Guidance Software must ensure the end customer has been notified of the license conditions. The Guidance Software Export Team will email the license to our end customer and ask for a response to prove it’s been received. At this point, most orders can be fulfilled.
Some licenses require a 15 day pre-shipment notification from Guidance Software to US Department of Commerce –BIS.
Q. How can I determine whether an export license is required for my order?
A. An export license is needed when:
- the order contains restricted encryption or decryption products AND:
- the end user is a government/military entity AND;
- the end user is located in a country not listed on EAR Part 740 Supplement 3.
Q. Can Guidance Software expedite the export license application process?
A. No. The U.S. government does not provide any expedite procedure associated with the export license application process.
Q. How can I help speed up the overall export process?
A. Incomplete documentation and lack of responsiveness are often reasons for excessive delay. Timely, complete, and accurate responses are key in allowing the Guidance Software Export Team to complete due diligence and, when necessary, prepare a valid export license application. Vague and inaccurate responses lead to follow up questions and unnecessary delays. Inaccurate information can also invalidate an export license should one be required / granted.
Q. I’m a US entity. Can I ship items to an embargoed destination?
A. No. Shipments to embargoed destinations are strictly prohibited without an export license. Export licenses for transactions destined to or for use in embargoed countries are presumed denied.
Q. Why do some EnCase® and Tableau® products require an export license?
A. Many products from Guidance Software include encryption and/or decryption elements. Items containing strong encryption are controlled by the United States Department of Commerce and, depending on the end use location and purpose, may require a license. Strong encryption has a symmetric key length greater than 64-bits such as AES or 3DES.
Q. I am an EnCase® user in the United States. Can I ship my EnCase® license to a user in a different country?
A. For assistance with exporting Guidance Software products from within the United States, please contact the Guidance Software Export Team.
Q. I am an EnCase® user outside of the United States – can I ship my EnCase® license to a user in a different country?
A. Shipping an export restricted product to another country is considered a re-export. For assistance with this, please contact the Guidance Software Export Team.
Q. Is deployment of EnCase® Enterprise Servlets / Nodes considered an “export” or “re-export”?
A. No. A servlet is a component of EnCase® Enterprise and is not classified separately. Servlets do not contain any encryption technology or other controlled element.