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CUSECO TRAINING STUDY GUIDE – QUESTIONS
COMPLETE WITH SOLUTIONS
A Commerce License is not required if: Right Ans - A License Exception applies, NLR applies, or an Encryption Licensing Arrangement applies. What is the new DDTC electronic defense trade licensing system: Right Ans
- D-Trade- The Destincation Control Statements under the ITAR and EAR are required to be on: Right Ans - the shipping label, the bill of lading, the AES filing. Application for licenses for temporary export of classified articles are to be made on form: Right Ans - DSP - 85 Registration is required if we are producing or exporting articles on the: Right Ans - USML An ITAR license application for a permanent export requires: Right Ans - name and address of foreign end-user, name and address of foreign consignee, name and address of foreign intermediate consignee (if any). A routed transaction, under the EAR is: Right Ans - documentation by whichc the FPPI is to assume responsibility for export compliance The agency most responsible for AES is Right Ans - US Census Bureau If we are exporting under exemption, we are working with: Right Ans - The EAR 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: Right Ans - Super Users Which of the following statements is true: Right Ans - The DCS in the EAR is different than the DCS in the ITAR
Form DSP-83 is required with license applications for exports of: Right Ans
- Classified technical data, classified defense articles. significant military equipment What resource is the most authoritative and best way to keep track of proposed and final regulatory changes regarding US trade controls? Right Ans - Federal Register The USML is in the: Right Ans - ITAR Under the ITAR, a DSP-83 is: Right Ans - A non-transfer and use certificate A BIS license application for National Security items to Indonesia will generally require: Right Ans - A Statement by Ultimate Consignee and Purchaser. And an Import/End-user Certificate issued by the IC/DV authority of the country. A Schedule B Number is entered on the: Right Ans - AES filing An ELA requires Right Ans - that all (foreign) consignees receiving items under the ELA be pre-approved. The EAR and the FTSR have a different definition of a exporter Right Ans - when the export is a "routed transaction" An ITAR DA is: Right Ans - 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. A possible documentation requirement on export shipments, that is actually for reasons of import clearance at destination, is: Right Ans - AES filing, Export License application, CofO. Under the ITAR a retransfer means: Right Ans - 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
Ans - The Directorate of Defense Trade Controls must notify Congress, which has the option of prohibiting you from fulfilling the contract. If the "appropriate US Government agency, " such as the Department of Defense, approves a plant visit of a foreign national: Right Ans - Then under some circumstances, approval of the Directorate of Defense Trade Controls is not required. "Re-export" or "retransfer" within the meaning of the ITAR means: Right Ans - Transfer of defense articles or defense services to an end use, end user, or destination not previously authorized. Warehousing and distribution agreements between US persons and foreign persons: Right Ans - Must be approved by the Directorate of Defense Trade Controls before they enter into force. "Design, development, engineering, or demilitarization" are possible definitions of: Right Ans - defense service Technical data, including classified information, related to .45 caliber firearms, and ammunition for such weapons, except detailed design, development, production, or manufacturing information: Right Ans - is exempt from ITAR requirements of part 125 A person who wishes to act as an agent for others in negotiating or arranging contracts for sale of defense articles for a fee: Right Ans - must first register and pay the registration fee as provided for in the regulations. With certain exemptions, a registration statement must be submitted: Right Ans - 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 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: Right Ans - It does not require any export license
A registration statement must include information: Right Ans - 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 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. An unclassified defense article is to be imported to be improved and enhanced and then reexported to the country from which it is to be imported: Right Ans - The District Director of Customs shall permit the import and reexport without a license. 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. Right Ans - An export license now need to be applied for. A person wishing to temporarily import a defense article must usually file a: Right Ans - DSP-61 or DSP-85 application before the import A US permanent resident (not a citizen) wishing to export unclassified cryptographic hardware product within the meaning of Category XIII(b)(1) for personal and temporary use, use: Right Ans - under specific circumstances may export without a license You have a license under the ITAR for an export of defense articles. At the time of export, the exporter must: Right Ans - 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. Military electronics can include: Right Ans - underwater sound equipment, radar systems with search capability, and radar systems with moving target indication 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. Right Ans - The previous export license automatically permits shipment of spare parts.
We have a contract for the sale of defense articles for which we plan to apply for an export license. We plan to provide training for repair of the goods, which we consider routine, but we questions if some might consider it to be major "depot-level" repair. We can: Right Ans - obtain an advisory opinion from DDTC or apply for approval from the DDTC for the defense services. A party who is considered an "applicant" within the meaning of part 130: Right Ans - Is not the same as a "registrant" and is not the same as an "empowered official" The USML includes: Right Ans - Some firearms, some torpedoes, and some aircraft Technical Data cannot be considered: Right Ans - A defense article, a defense service. Information which is published in a book which is generally accessible or available to the public through bookstores and libraries can be considered: Right Ans - In the public domain An application for a license for temporary export of unclassified defense articles is made on: Right Ans - DSP- Permanent import of defense articles into the United States is regulated by: Right Ans - Department of Justice's Bureau of Alcohol, Tobacco, Firearms, and Explosives The requirements of 124.1 on manufacturing license agreements apply: Right Ans - Whether or not technical data is to be disclosed 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, Right Ans - The Department of State must advise Congress. Proceedings to impose debarment or civil penalties under CFR 127.7 or CFR 127.10 are initiated by: Right Ans - a charging letter
We have analog-to-digital converter, within the meaning of item 14 - Category 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: Right Ans - an application DSP- An agreement for manufacture in Germany of significant military equipment in Italy would require Right Ans - Congressional approval before proceeding. Military demolition blocks and blasting caps referred to in Categopry IV(a) include: Right Ans - electric squibs, seismograph electric blasting caps, No. 6 blasting caps including electric ones. A license may be revoked if: Right Ans - 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. "Combatant" vessels of war include: Right Ans - amphibious aircraft/landing craft carriers, mine warfare ships, destroyers Temporary import control documents include: Right Ans - Invoice, purchase order, airway bill In administrative proceeding, the charges will be dismissed: Right Ans - Where the evidence is not sufficient A temporary export license can authorize the temporary export of: Right Ans - unclassified defense articles. A company is entering the business of manufacturing body armor as listed on the US munitions list. Under the ITAR Regulations: Right Ans - they must register whether they export or not. An export can be: Right Ans - Sending or taking a defense article out of the US in any manner, except by mere travel outside of the US by a person whose personal knowledge includes technical data, transferring registration of a
In proceedings before the Administrative Law Judge, the judge may: Right Ans - request the parties to their counsel to a prehearing conference The following are countries which were original members of the Missile Technology Control Regime: Right Ans - The United States, the United Kingdom, the Federal Republic of Germany, and Italy. The temporary import of defense articles into the United States is regulated by: Right Ans - The Department of State Under the ITAR, a Foreign Trade Zone is considered: Right Ans - An integral part of the United States An amendment to a license will be considered for: Right Ans - change in source of commodity. 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: Right Ans - associated technical data for commercial communications satellites. Under ITAR, a person involved in brokering activities does not require a license for: Right Ans - brokering activities undertaken for an agency of the US government. "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: Right Ans - all Manufacturing License Agreements relating to significant military equipment. A charging letter must be answered within: Right Ans - 30 days after service When or if a manufacturing license agreement is terminated, the DDTC must be so notified in writing: Right Ans - Not less than 30 days prior to the expiration an export license: Right Ans - must bear the word license
An empowered official: Right Ans - must be directly employed by the applicant or subsidiary A company wishes to ship under available exceptions but cannot if: Right Ans - the company would be in violation of General prohibition 10 in making the shipment A possible reason for exporting a product without applying for an export license is: Right Ans - EAR 99 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: Right Ans - cannot ship under any circumstances A request can be fulfilled for: Right Ans - a certificate that our goods are made in the USA with no materials from Canada. 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: Right Ans - 10 For CIV exception, we would refer to: Right Ans - Country group D On an EXW sale from the United States: Right Ans - The seller has the responsibility for export compliance The General Prohibitions address several processes including: Right Ans - a transshipment which occurs via Russia 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: Right Ans - ship up to $24,000 total per year of either or both products at a time.
Material associated with the production of nuclear energy is controlled for reasons of NP 2 only. For a shipment of $5,000 of these goods to Bangladesh: Right Ans - From these facts alone it can ship under NLR The RPL exception is used for: Right Ans - One-for-one replacement of parts. Determining if a license is required under General Prohibition 1 and the CCL would include finding, in the following order: Right Ans - ECCN number, "X" in the country chart, any license exception. We know that an export license is not required if: Right Ans - the product is not listed in the CCL A possible penalty for violating the EAR is: Right Ans - revocation of export privileges, monetary fine, prison The General Prohibitions forbid: Right Ans - A proceeding with a transaction knowing that a violation will occur The parameters for EAR 99 may be found: Right Ans - In Category One of the CCL, in Category Two of the CCL, in Category Three of the CCL We have a one-time shipment to Ecuador of $4,000 of product under ECCN 1C006 d.1.a and may ship: Right Ans - under GBS exception An example of an SS control is: Right Ans - horses by sea/ The United States regulates exports because of: Right Ans - national security, short supply, and foreign policy. Assuming we have already overcome other prohibitions, a possible reason for exporting a product without applying for an export license is: Right Ans - 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. Our export license application may be to export product based on a given quantity in : Right Ans - Dollars, Kilograms, or Units of Product
Possible penalties for violation of the EAR include Right Ans - Being place on the DPL, fines, and imprisonment An example of an embargoed country is: Right Ans - North Korea An example of an anti-boycott violation is: Right Ans - stating that our products are not made in a specific foreign country. We have a request to pay a bribe for a foreign official. This would be a violation of the: Right Ans - FCPA A major reason for a license application to not be approved is: Right Ans - insufficient information License applications are generally made on: Right Ans - SNAP-R An AES filing can be made by: Right Ans - The exporter or the freight forwarder A document that can be used for transmitting information from exporter to freight forwarder: Right Ans - SLI We have an order from a DPL Right Ans - We cannot ship A reason for US export controls is: Right Ans - 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. The following is US law: Right Ans - EAR An agency that regulates some US exports is: Right Ans - BIS, DDTC, Fish & Wildlife service an article is under an ECCN. We therefore know: Right Ans - it is on the CCL A freight forwarder may be specified by: Right Ans - the seller or the buyer A denied party can be: Right Ans - in the US or outside of the US
The RPL exeption: Right Ans - is available for all products at any time as long as it is on-for- one replacement, has a condition that the part replaced be returned promptly to the seller, or someone under his control, or is destroyed abroad. Under the GFT exception: Right Ans - can always include vitamins The term "dual use": Right Ans - serves to distinguish EAR-controlled commodities that can be used both in military and other strategic uses and commercial applications. The following is a reason why an exporter may not be able to use a license exception: Right Ans - The export is not eligible for a license exception, the exporter's authorization to do so has been revoked. Exports under APP exception: Right Ans - are subject to tiers. For an LVS exception, we would refer to: Right Ans - country group B We have an article controlled in the CCL. The easiest way for us to export is: Right Ans - to a country which is not a controlled destination. 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: Right Ans - GBS only Firearms Convention controls are: Right Ans - within the western hemisphere only If an article is not listed in the CCL: Right Ans - it could still need a BIS license We have two articles under one ECCN, each valued at $500, under one purchase order, but configured differently and taking different catalog numbers. The only exception available is LVS with a limit of $500. Right Ans - We can split the shipment, and ship two $500 shipments under LVS A very tightly controlled country for US exports according to the Country Chart is: Right Ans - Canada
"NLR" may be an article: Right Ans - having no ECCN, not on the CCL, but with no appropriate "X" in the box for our destination country. Examining the country chart, of the following, the most highly controlled articles (in terms of controlled to the most destinations) are for reasons of: Right Ans - MT If we use the buyer's ______________________ we can have the responsibility for export compliance but have lost the control over it. Right Ans - Freight forwarder, carrier, customs broker. We have articles under three different ECCNs to one customer in one desitination 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: Right Ans - may combine all four into one shipment. A key to export compliance and documentation is the: Right Ans - correct jurisdiction and classification of items to be exported When an exemption is claimed for the export of unclassified technical data under ITAR, the exporter: Right Ans - must contact the DDTC for further guidance What export control document is normally reviewed by multiple agencies of the US government for all exports: Right Ans - the airway bill/ BOL, the AES filing, and the shipping invoice 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 Right Ans - 3 Under the ITAR, records must be maintained: Right Ans - for a period of not less than five years following the date of the report to which they pertain The following represents one activity of customer based screening: Right Ans - Customer lists are kept current by perpetual screening of list changes.
Some software is included in the definition of technical data in the: Right Ans - EAR and ITAR A BIS license application for National Security items to Mexico will generally require: Right Ans - A Statement by the Ultimate consignee and Purchaser, and Import/End-user Certificate issued by the IC/DV authority of the country. Record keeping systems based on the storage of digital images must be capable of retrieval of the records based on the following: Right Ans - The names of the parties to the transaction, any countries connected with the transaction, A document reference number that was on any original document. The following documents are among those that would ordinarily be provided by the seller: Right Ans - Commercial invoice, packing list, any applicable certificate of origin. What screening list is a DDTC list? Right Ans - Statutorily Debarred Parties List SME articles: Right Ans - have capacity for substantial military utility or capability SNAP-R can be used for: Right Ans - license applications to BIS The classification request is submitted to: Right Ans - BIS The nuclear regulatory commission has the following types of licenses: Right Ans - specific licenses Under the ITAR, for a license application for a permanent export of unclassified defense articles, the following us used: Right Ans - DSP- Generally the following regulations will have jurisdiction over others regarding munitions Right Ans - ITAR The following are related to ITAR but not the EAR Right Ans - Empowered official, commodity jurisdiction, regulatory revisions
Recordkeeping systems must be: Right Ans - capable of timely retrieval of export records. Major Defense Equipment can include: Right Ans - significant military equipment, nonrecurring research and development cost of more than $50,000,000, a total production cost of more than $200,000,000. License applications for ECCN 5A002 and 5B002 items do not need ______________ as attachments Right Ans - a statement by the Ultimate Consignee and purchaser or an import/End-user certificate issued bu the IC/DV authority of the country As a best practice screening lists should be checked: Right Ans - multiple times The classification request process results in: Right Ans - ECCN or EAR classification Permanent imports of defense articles into the US are not regulated by: Right Ans - Commerce, State, Defense Commodity jurisdiction requests can be reviewed by: Right Ans - DDTC Which of these US government agencies have a list of persons to check before exporting: Right Ans - BIS, DDTC, OFAC The following examples of alphanumeric symbols are used for export control classifications:
- 5A992.a 2.XIII(b)
- EAR99 Right Ans - 1. 5A992.a What screening list is an OFAC list: Right Ans - Specifically Designated Nationals and Blocked Persons List What screening list can identify our potential buyer as someone for whom a license must be obtained for our planned export Right Ans - Entity List
