Download CUSECO TRAINING STUDY GUIDE and more Study Guides, Projects, Research Trade and Commerce in PDF only on Docsity!
1 / 20
CUSECO TRAINING STUDY GUIDE
1. A Commerce License is not required if:: A License Exception applies, NLR applies, or an Encryption Licensing Arrangement applies.
2. What is the new DDTC electronic defense trade licensing system:: D-Trade- 2
3. The Destincation Control Statements under the ITAR and EAR are required to be on:: the shipping label, the bill of lading, the AES filing.
4. Application for licenses for temporary export of classified articles are to be made on form:: DSP - 85
5. Registration is required if we are producing or exporting articles on the:: USML
6. An ITAR license application for a permanent export requires:: name and address of
foreign end-user, name and address of foreign consignee, name and address of foreign intermediate consignee (if any).
7. A routed transaction, under the EAR is:: documentation by which the FPPI is to assume
responsibility for export compliance
8. The agency most responsible for AES is: US Census Bureau
9. If we are exporting under exemption, we are working with:: The EAR
10. Employees at DDTC registered entities with the ability to manage access to the D-Trade portal, including
adding and removing users and assigning user roles are:: Super Users
11. Which of the following statements is true:: The DCS in the EAR is ditterent than the DCS in the
ITAR
12. Form DSP-83 is required with license applications for exports of:: Classified technical data, classified defense articles.
significant military equipment
13. What resource is the most authoritative and best way to keep track of pro- posed and final regulatory changes
2 / 20 regarding US trade controls?: Federal Register
14. The USML is in the:: ITAR
15. Under the ITAR, a DSP-83 is:: A non-transfer and use certificate
16. A BIS license application for National Security items to Indonesia will gener- ally require:: A Statement by Ultimate
Consignee and Purchaser. And an Import/End-user Certificate issued by the IC/DV authority of the country.
17. A Schedule B Number is entered on the:: AES filing
18. An ELA requires: that all (foreign) consignees receiving items under the ELA be pre-approved.
19. The EAR and the FTSR have a different definition of a exporter: when the export is a "routed transaction"
20. An ITAR DA is:: A contract to distribute defense articles from the US to an approved sales territory, a contract to distribute defense articles manufactured and
reexported abroad to an approved sales territory, a contract to distribute defense articles exported from the US to a distribution point abroad for redistribution to an approved sales territory.
21. A possible documentation requirement on export shipments, that is actually for reasons of import clearance at
destination, is:: AES filing, Export License application, CofO.
22. Under the ITAR a retransfer means:: The transfer of defense articles and defense services from
one country to another, the transfer of defense articles and services from one end-user to another in the same country, the same as a reexport.
23. SNAP is the electronic submittal tool for:: BIS export and reexport applications, and commodity
classifications.
24. Statistical export regulations are mainly contained in the:: FTSR
25. A BIS License application for National Security items to Slovakia will generally require:: A Statement by Ultimate Consignee
and Purchaser and an Import/End-user Certificate issued by the IC/DV authority of the country.
4 / 20
36. A person who wishes to act as an agent for others in negotiating or arranging contracts for sale of defense articles for a
fee:: must first register and pay the registration fee as provided for in the regulations.
37. With certain exemptions, a registration statement must be submitted:: by a company in the US that exports defense articles, by a
company in the US that provides defense services internationally, by a company in the US that provides defense services to the domestic market
38. A shipment to Canada of (unclassified) fully automatic weapons is to be permanently exported to Canada for
end use in Canada by Canadian private citizens. Any appropriate requirements of part 124 have been met:: It does not require any export license
39. A registration statement must include information:: Whether the general counsel has ever been convicted for violating any of the US
criminal statutes of 120.27, Whether the intended registrant is ineligible
5 / 20 to receive an export license from the US Bureau of Industry and Security, whether the chief executive officer has ever been indicted for violating any of the US criminal statutes of 120.27.
40. An unclassified defense article is to be imported to be improved and en- hanced and then reexported to the
country from which it is to be imported:: The District Director of Customs shall permit the import and reexport without a license.
41. A shipment of goods on the USML, normally requiring a license, has been shipped to Puerto Rico in accordance
with ITAR requirements. It is now planned to be exported to France.: An export license now need to be applied for.
42. A person wishing to temporarily import a defense article must usually file a:: DSP-61 or DSP-85 application before the
import
43. A US permanent resident (not a citizen) wishing to export unclassified cryp- tographic hardware product within
the meaning of Category XIII(b)(1) for per- sonal and temporary use, use:: under specific circumstances may export without a license
44. You have a license under the ITAR for an export of defense articles. At the time of export, the exporter must::
Deposit the license with the Bureau of Customs and Border protection (CBP) and file under the Automated Export System (previously via Shippers Export Declaration) filing to CBP.
45. Military electronics can include:: underwater sound equipment, radar systems with search capa- bility, and radar systems with moving target
indication
46. A defense article was exported under license. At this time, there is an order for a one-time shipment of an
emergency spare part to be sent to the previously approved end-user. This is a replacement part valued at $250 which will not enhance the capability of the defense article.: The previous export license automatically permits shipment of spare parts.
47. If a manufacturing license agreement is made between a US company and a foreign company who will
manufacture the product exclusively for delivery to the US Air Force:: A DSP-83 is required
7 / 20
59. Technical Data cannot be considered:: A defense article, a defense service.
60. Information which is published in a book which is generally accessible or available to the public through
bookstores and libraries can be considered:: In the public domain
61. An application for a license for temporary export of unclassified defense articles is made on:: DSP-
62. Permanent import of defense articles into the United States is regulated by:: Department of Justice's Bureau of Alcohol,
Tobacco, Firearms, and Explosives
8 / 20
63. The requirements of 124.1 on manufacturing license agreements apply:: -
Whether or not technical data is to be disclosed
64. You have negotiated a contract for a manufacturing license agreement (for manufacture of significant military
equipment) with a company in a non-NATO country, and are applying for an export license. Under ITAR,: The Department of State must advise Congress.
65. Proceedings to impose debarment or civil penalties under CFR 127.7 or CFR
127.10 are initiated by:: a charging letter
66. We have analog-to-digital converter, within the meaning of item 14 - Catego- ry II (b) in part 121. The country of
destination is a NATO country and this is a classified article. Our intent is to export it for one month for the prospective buyer to test after which it will be returned to us in the US. The objective is for the buyer to decide, after testing, whether or not to place an order. We will file:: an application DSP-
67. An agreement for manufacture in Germany of significant military equipment in Italy would require: Congressional
approval before proceeding.
68. Military demolition blocks and blasting caps referred to in Category IV(a) include:: electric squibs, seismograph electric
blasting caps, No. 6 blasting caps including electric ones.
69. A license may be revoked if:: The Department of State deems such action to be in furtherance of world
peace, an applicant is ineligible to receive a license to import defense articles, an applicant has been debarred.
70. "Combatant" vessels of war include:: amphibious aircraft/landing craft carriers, mine warfare ships, destroyers
71. Temporary import control documents include:: Invoice, purchase order, airway bill
72. In administrative proceeding, the charges will be dismissed:: Where the evidence is
10 / 20 : the Directorate of Defense Trade Controls must be notified
85. "This agreement is subject to all United States laws and regulations relating to exports and to all administrative
acts of the US Government pursuant to such laws and regulations." This is a clause which must be in:: both manufacturing License Agreements and Technical Assistance Agreements
86. In proceedings before the Administrative Law Judge, the judge may:: request the parties to their counsel to a prehearing
conference
87. The following are countries which were original members of the Missile Technology Control Regime:: The United States, the
United Kingdom, the Federal Republic of Germany, and Italy.
88. The temporary import of defense articles into the United States is regulated by:: The Department of State
89. Under the ITAR, a Foreign Trade Zone is considered:: An integral part of the United States
90. An amendment to a license will be considered for:: change in source of commodity.
91. This is a type of export that may be made to some destinations without meeting the documentary
requirements of 123.1(c) (4) and (5) concerning purchase orders:: associated technical data for commercial communications satellites.
92. Under ITAR, a person involved in brokering activities does not require a license for:: brokering activities undertaken
for an agency of the US government.
93. "A completed nontransfer and use certificate (DSP-83) must be executed by the foreign end-user and submitted to
the Department of State of the US before any transfer may take place." This is a clause which must be in:: all Manufacturing License Agreements relating to significant military equipment.
94. A charging letter must be answered within:: 30 days after service
95. When or if a manufacturing license agreement is terminated, the DDTC must be so notified in writing:: Not less than 30
days prior to the expiration
96. an export license:: must bear the word license
11 / 20
97. An empowered official:: must be directly employed by the applicant or subsidiary
98. A company wishes to ship under available exceptions but cannot if:: the company
would be in violation of General prohibition 10 in making the shipment
99. A possible reason for exporting a product without applying for an export license is:: EAR 99
100. Our company wished to fill an order for France which we determine is a sale to a denied person who is under a
standard denial order. We:: cannot ship under any circumstances
101. A request can be fulfilled for:: a certificate that our goods are made in the USA with no materials from Canada.
102. We are selling a controlled product to a foreign manufacturer under export license. We become aware that instead
of using the product as a manufacturing material, he is re-exporting it in its original form to country to which it is subject to a US export license. We ask him to obtain a US license before doing so in the future, and he advises us that "I am subject only to the laws of my country and not those of the United States" and will not do so. When the next order is ready under our existing export license, we must consider the provisions of General Prohibition:: 10
103. For CIV exception, we would refer to:: Country group D
104. On an EXW sale from the United States:: The seller has the responsibility for export compliance
105. The General Prohibitions address several processes including:: a transshipment
which occurs via Russia
106. You have a customer who orders two different products. Both are under the same ECCN and qualify for LVS - $2,000.
You may do the following:: ship up to $24,000 total per year of either or both products at a time.
107. In retaining records under the EAR,: it is possible to retain reproductions instead of originals.
13 / 20
119. Determining if a license is required under General Prohibition 1 and the CCL would include finding, in the following
order:: ECCN number, "X" in the country chart, any license exception.
120. We know that an export license is not required if:: the product is not listed in the CCL
121. A possible penalty for violating the EAR is:: revocation of export privileges, monetary fine,
prison
122. The General Prohibitions forbid:: A proceeding with a transaction knowing that a violation will occur
123. The parameters for EAR 99 may be found:: In Category One of the CCL, in Category Two of the CCL, in Category Three of the CCL
124. We have a one-time shipment to Ecuador of $4,000 of product under ECCN 1C006 d.1.a and may ship:: under GBS
exception
125. An example of an SS control is:: horses by sea/
126. The United States regulates exports because of:: national security, short supply, and
foreign policy.
127. Assuming we have already overcome other prohibitions, a possible reason for exporting a product without applying for
an export license is:: The article is on the CCL but there is no X in the box to our destination country, the article is not in the CCL, no ECCN applies.
128. Our export license application may be to export product based on a given quantity in :: Dollars, Kilograms, or Units of
Product
129. Possible penalties for violation of the EAR include: Being place on the DPL, fines, and
imprisonment
130. An example of an embargoed country is:: North Korea
131. An example of an anti-boycott violation is:: stating that our products are not made in a
specific foreign country.
14 / 20
132. We have a request to pay a bribe for a foreign official. This would be a violation of the:: FCPA
133. A major reason for a license application to not be approved is:: insufficient
information
134. License applications are generally made on:: SNAP-R
135. An AES filing can be made by:: The exporter or the freight forwarder
136. A document that can be used for transmitting information from exporter to freight forwarder:: SLI
137. We have an order from a DPL: We cannot ship
138. A reason for US export controls is:: to prevent arms, high technology, and other products form
reaching a country or person who would attempt to use them against the US or its allies, to comply with certain international agreements, such as embargoes.
139. The following is US law:: EAR
140. An agency that regulates some US exports is:: BIS, DDTC, Fish & Wildlife service
141. an article is under an ECCN. We therefore know:: it is on the CCL
142. A freight forwarder may be specified by:: the seller or the buyer
143. A denied party can be:: in the US or outside of the US
144. A little used control on the country chart is:: AT
145. A General Prohibition that can apply to banks and freight forwarders is:: 7
146. A occurs in the US: deemed export
147. You export product described in ECCN 2B352 to your branch office in the United Kingdom under which you find
has been exporting some of this product to the Ukraine. You advise them:: They are violating GP 1.
148. An ECCN is:: found within the CCL
16 / 20
162. We have an article controlled in the CCL. The easiest way for us to export is:: to a country which is not a controlled
destination.
163. We may have an article that is controlled for reasons of NS only and wish to export to Germany. the GBS and
CIV exceptions are available. We can expect to be able to use:: GBS only
164. Firearms Convention controls are:: within the western hemisphere only
165. If an article is not listed in the CCL:: it could still need a BIS license
166. We have two articles under one ECCN, each valued at $500, under one pur- chase order, but configured
differently and taking different catalog numbers. The only exception available is LVS with a limit of $500.: We can split the shipment, and ship two $500 shipments under LVS
167. A very tightly controlled country for US exports according to the Country Chart is:: Canada
168. "NLR" may be an article:: having no ECCN, not on the CCL, but with no appropriate "X" in the box for
our destination country.
169. Examining the country chart, of the following, the most highly controlled articles (in terms of controlled to the
most destinations) are for reasons of:: MT
170. If we use the buyer's we can have the
responsibility for export compliance but have lost the control over it.: Freight forwarder, carrier, customs broker.
171. We have articles under three different ECCNs to one customer in one desiti- nation country. One article qualifies
for LVS, one for GBS, one requires a license which we have in hand. We have another which is not on the CCL. We:: may combine all four into one shipment.
172. A key to export compliance and documentation is the:: correct jurisdiction and classification of items to be exported
173. When an exemption is claimed for the export of unclassified technical data under ITAR, the exporter:: must contact the
17 / 20 DDTC for further guidance
174. What export control document is normally reviewed by multiple agencies of the US government for all exports:: the
airway bill/ BOL, the AES filing, and the shipping invoice
175. Which of these steps is first:
1. Determine jurisdiction of the item (State of Commerce) 2.Determine classification of
the related software
3. Verify if the item is export-controlled under OFAC regulations
4. Register with the DOC BIS: 3
176. Under the ITAR, records must be maintained:: for a period of not less than five years
following the date of the report to which they pertain
177. The following represents one activity of customer based screening:: Customer lists are kept current by perpetual screening of list
changes.
178. Records required by the EAR must be retained for five years from the latest:: export, known re-export, transshipment,
or diversion, or any other termination of the transaction.
179. What information is required on DDTC license applications that is not re- quired for BIS license applications::
freight forwarders
180. If an enforcement agency calls or inquires, exporters should be able to:: -
quickly retrieve documents in a timely manner
181. The following US origin item is not subject to the EAR: A shotgun with a barrel length less than 18 inches
182. Category 0 of the CCL includes:: Handcutts, optical sights for firearms, military steel helmets
183. A delay in responding to a formal CBP request for shipment paperwork:: Will
19 / 20
196. SNAP-R can be used for:: license applications to BIS
197. The classification request is submitted to:: BIS
198. The nuclear regulatory commission has the following types of licenses:: spe-
cific licenses
199. Under the ITAR, for a license application for a permanent export of unclas- sified defense articles, the following
us used:: DSP-
200. Generally the following regulations will have jurisdiction over others regard- ing munitions: ITAR
201. The following are related to ITAR but not the EAR: Empowered official, commodity
jurisdiction, regulatory revisions
202. Recordkeeping systems must be:: capable of timely retrieval of export records.
203. Major Defense Equipment can include:: significant military equipment, nonrecurring research
and development cost of more than $50,000,000, a total production cost of more than $200,000,000.
204. License applications for ECCN 5A002 and 5B002 items do not need
as attachments: a statement by the Ultimate Consignee and purchaser or an im- port/End-user certificate issued bu the IC/DV authority of the country
205. As a best practice screening lists should be checked:: multiple times
206. The classification request process results in:: ECCN or EAR99 classification
207. Permanent imports of defense articles into the US are not regulated by:: -
Commerce, State, Defense
208. Commodity jurisdiction requests can be reviewed by:: DDTC
209. Which of these US government agencies have a list of persons to check before exporting:: BIS, DDTC, OFAC
20 / 20
210. The following examples of alphanumeric symbols are used for export con- trol classifications:
1. 5A992.a
2.XIII(b)
- EAR99: 1. 5A992.a
211. What screening list is an OFAC list:: Specifically Designated Nationals and Blocked Persons List
212. What screening list can identify our potential buyer as someone for whom a license must be obtained for our
planned export: Entity List
213. A reason for being able to lawfully export some goods subject to the EAR could be due to: A license exception
214. The multilateral control regime for "dual use" items is:: The Wassenaar Arrangement
215. The following represents one activity of transaction based screening: Every
order is individually screened
216. Persons involved with the following activity must be registered with DDTC before submitting a license application::
Manufacture of defense articles or defense services, exporter of defense articles or defense services, brokering activities involving defense articles or defense services
217. The best procedure to determine jurisdiction between DDTC and BIS is a:: Commodity Jurisdiction Submission
218. Restricted parties screening should include:: new employees and agents, brokers, repre-
sentatives, and visitors, attendees at meetings, conferences, and seminars.
219. What marking on shipping containers should be avoided:: Unique identification markings required by the buyer
220. Items found on both the USML and the CCL are:: Shotguns, cameras, software
221. Red flag indicators:: Must always be the ones published in regulations, may be synonymous with
Diversion Risk indicators.
