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Certified ITAR Professional® - Knowledge Requirements: The following topics are defined as within this body of knowledge and are reflected in the knowledge assessment requirements stated for this certification. A person holding this certification will have satisfactorily passed an examination that demonstrates a high degree of knowledge of these topics and knowledge requirements. Score 75% or higher on examination.
Continuing Education Requirement: The IIEI has set the further requirement that before an individual reaches their expiration date, all Certified ITAR Professionals'® must have completed 10 Continuing Education Units (CEUs) each year to maintain certification.
Industry Standard: (1) Demonstrate current knowledge and usage of U.S. International Traffic in Arms Regulations (ITAR), concepts and processes; (2) Demonstrate in-depth knowledge of export documentation for ITAR, ITAR Exemptions, Agreements under the ITAR and Export Compliance Audits; (3) Demonstrate an understanding of the industry's professional code of ethics:
Topic: ITAR - International Traffic in Arms Regulations Knowledge Demonstrated Introduction and Overview of ITAR To understand the history, purpose and reasons why ITAR exists. To form a basic understanding of how ITAR regulations are organized and enforced internationally. Section 38 – Arms Export Control Act 22 USC 2778 To know how and why ITAR was created. Export Control Concepts To understand the full range of concepts and issues regulated by ITAR. Industry Responsibility and National Security To know and gain an appreciation of the responsibilities and knowledge requirements of the export compliance officer. Government Agency Roles To understand the roles of the various government departments and agencies such as the State Department, Commerce Department, Office of Foreign Asset Control and other significant departments and agencies such as Treasury Department, Customs Department and the Food and Drug Administration. ITAR CFR Sections 120 - 130 To posses a working understanding of the ITAR regulations and specifically focus on defense, national security, dangerous drugs, endangered plans and radioactive materials. Compliance Issues including Dual Use Items To be able to identify dual use items. To gain an appreciation of the issues related to ITAR compliance. ITAR Amendments How to remain current with ITAR amendments and rulings. Researching ITAR topics with the Federal Register and other Resources Understand how to research ITAR issues using various the Federal Register and various resources. ITAR Documents Understand and demonstrate how to apply for an Export License. Filings (process, rules, regulations, exceptions and involved parties) To posses a working knowledge of the documents and paperwork required to maintain ITAR compliance. Personal and Business Liability (issues and practices) To understand how to minimize both company and personal liability with respect to ITAR compliance. Real-life scenarios of compliance related situations. To gain an appreciation for the real-life problems related to ITAR compliance.
Topic: Documentation for US export compliance Knowledge Demonstrated ITAR Regulatory Overview To understand the history, purpose and reasons why ITAR exists. To form a basic understanding of how ITAR regulations are organized and enforced internationally. Agency documentation Requirements To gain familiarity with ITAR and US Treasury documentation requirements. Common Export Documents used for compliance To understand the usage of the most common documents used in export compliance. Departmental Documentation forms and usage To understand the usage of other State Department, Treasury Department (e.g., ATF, OFAC) and Commerce Department documents: General Red Flags To recognize red flag issues. Special Nuclear Regulatory Requirements To know the NRC requirements Shipment Marking Requirements for Export Compliance To know the special marking requirements for export compliance. Special Certificate Requirements To know the special certificate requirements. Knowing your Source of Supply To know the due diligence requirements for trade compliance.
Topic: ITAR Exemptions
Knowledge Demonstrated
ITAR Exemptions - Overview Comprehend why State Department license exemptions exist
Evaluate the range of purposes of license exemptions
Discuss the limitations of a license exemption
ITAR Exemption Determination Process Discuss various issues related to determining license exemptions
Temporary Import License Exemptions Determine whether a shipment qualifies as a temporary import as an overhaul, service or repair.
Discuss if the enhancement or upgrade exemption applies
Classify if the temporary exemption applies to articles for exhibit, demonstration or marketing
Apply an exemption to imports under Foreign Military Sales
Assess if an exemption applies to imports incorporated into other articles
Exemptions status Foreign Trade Zones (FTZ) and US Customs Bonded Warehouses Identify if an FTZ or bonded warehouse meets the requirements for exemption
Exemption for Re-Exports to NATO, Australia or Japan Explain the rules for re-exports in determining use of this exemption
Movements of Vessels/Aircraft Outside the U.S. Determine if an exemption applies to movement of vessels/aircraft outside the U.S.
Shipments Between U.S. Possessions Distinguish if an exemption applies to a shipment between U.S. possessions
Assess the concerns and issues related to shipment between U.S. possessions
Domestic Aircraft Shipment Exemption - Shipping via a Foreign Country
Identify the concerns and issues related to applying this exemption
Exemptions of General Applicability - Unclassified Defense Articles
Assess if general applicability rules apply
Explain the regulations related to specially designed packing cases
Articulate how the exemption applies to export of models and mockups
Evaluate the exemption status for exports by accredited U.S. institutions of higher learning
Determine if the exemption to a U.S. subsidiary overseas applies
Export of Firearms
Discuss the exemption for export of personal firearms
Assess how to use the exemption for export of previously imported firearms
Review the exemption status for export of firearms ammunition
Employ the exemption for export firearms and ammunition for USG personnel
Apply the exemption for border shipments to Canada and Mexico
Monetary Value of Shipments
Assess the impact of monetary value of shipments on determining exemptions
Exemptions for Training and Military Service
Apply the exemption rules for training and military service
Employ the exemption to military maintenance
Technical Data in Support of Agreements Interpret the regulations concerning license exemptions for the export of unclassified technical data
Utilize this license exemption for the export of classified technical data
Exemptions of General Applicability for Technical Data
Determine the requirements for an exemption for export to a trade show
Assess how exemptions apply to various technical data provisions
Apply the exemption to data for use only by U.S. persons
Exemptions for Plant Visits
Distinguish how the exemption for plant visits apply to foreign nationals for both classified and unclassified materials
Various Exemption Material Parts
Determine impact of Monetary Value of Shipment on exemptions
Discuss amendments to exemptions
Temporary Import Exemptions Determine if 123.3 applies to the temporary imports under the ITAR
Certification Requirements for Exemptions Recognize the certification requirements for exemptions
Exceptions Describe the exceptions to the exemption regulations
Exemptions for Training and Military Service Asses if 124.2 applies to export for training and military service
Temporary Exports for USG Agencies Apply 126.4 exemption correctly
Canadian Exemptions Administer the various exemptions available for exports to Canada
Transfer of Defense Articles Determine if exemptions apply to the export of transfer of defense articles or technical data by the Department of Defense (DOD)
Evaluate exemption status to foreign military aircraft and naval vessels
Exclusion of Functions from the Administrative Procedure Act
Enumerate the exclusions of functions from the Administrative Procedure Act
Penalties
Recognize the penalties and consequences for violations
Exemptions Matrix
Demonstrate how to read the exemptions matrix
ITAR Agreements Knowledge Demonstrated Technical Assistance Agreement (TAA) Illustrate the definition of a TAA and why it exists
Manufacturing License Agreement (MLA) Identify the definition of an MLA and why it exists
Distinguish an MLA from a TAA
Elements of TAA and MLA Packages
Recognize what is required in a TAA and MLA
Amendments to Existing Agreements
Determine the need for amendments to TAAs and MLAs
Transmittal Letters
Understand how to write a transmittal letter that meets DDTC requirements
TAA and MLA Processes and Procedures
To understand the processes required to construct a TAA or MLA.
Proviso Reconsideration
Determine the need for and draft a proviso reconsideration letter.
Certification Letter
Identify the elements contained in a certification letter.
Establishing Value of an MLA or TAA
Recognize how to detail the value of an agreement
Give examples of the possible exemptions related to an MLA or TAA
Export Guidelines Sub-Licensing
Third Country Foreign Nationals and Dual Citizen Employees
Removing Signatories Prior to Executing an Agreement
Submitting Signed Agreements and DSP-83s
Foreign National Employed in the U.S.
Compose DDTC documents that meet these requirements
New Agreements
Identify how to package agreements for submission.
Amendments
Describe how to package and submit Amendments
Most Common Problems with MLA & TAA Submissions
Break down properly prepared submissions
Understand how to overcome the most common problems before they occur
Topic: Ethics in Trade Compliance Knowledge Demonstrated Define Ethics To differentiate between morals and ethics.
To identify and assess ethical issues.
Traditional View of Ethics To comprehend how individuals establish their ethical values.
To know how ethics and the law relate to one another
To identify the forces the shape personal ethics.
Impact of Ethics on a Company To demonstrate an understanding of forces within a company that shapes its ethical actions. Compliance Environment To know the reasons why compliance regulations and ethical actions clash. Ethical Situations in Compliance To critically evaluate the forces in the business environment that cause ethical dilemmas in compliance. Identify the possible participants that can cause an ethical issue to exist.
New Ethical Standards To demonstrate knowledge and appreciation for the challenges of establishing new ethical or compliance standards. Resistance to Change To analyze and assess the relationship and function of the various existing formal and informal policies (or lack of them) that supports the organization’s current ethical actions.
To understand why ethical practices should remain constant over time.
Establishing an Ethical Stance To be able to determine and design an individual ethical position that supports a compliant organization within the context of the letter and the spirit of the law. Monitoring and Control of Ethical Compliance To know the importance of all employee’s actions to support the compliance effort.
To assess the actions of individuals in the workplace as they relate to trade compliance.
To understanding the basic methods used to control ethical actions in the compliance workplace.
Compliance Audits Knowledge Demonstrated Trade Compliance Audits - Overview
Understand the purpose of trade compliance audits
Assess the different audit needs of companies, depending on the products and markets they serve
Discuss reasons/needs for performing an Audit: Compulsory or voluntary
Review analytical approaches to compliance audits
ITAR and EAR Regulations related to Compliance Audits
Discuss the regulations and obligations to perform audits
Discuss various critical issues related to compliance audits
Comprehend the special auditing issues surrounding foreign nationals/foreign persons
To know the record keeping requirements of the ITAR and EAR
Auditor Responsibilities
Recognize auditors responsibilities to stakeholders
Export Controls Review Trigger
Assess the various events that can trigger a review of export controls
Discuss the impact of past history of violations on audit needs
Audits and Violation Discovery
Review the audit requirements of a violation discovery
Practical and Legal Issues
Discuss the legal and practical issues surrounding compliance audits
Value of Internal and External Auditors
Explain the organizational value of using various auditors
Discuss use of external consultants
Assess self-audit concerns and processes
The Audit Process
Evaluate the audit requirements of an organization
Determine the audit processes and procedures based on organizational structure
Designing the formal audit process
Establish monitoring and control mechanisms
Review the documentation needs
Audit Check Lists
Assess what must be audited based on the business activities
Do’s and Don’ts of Audits
Audit Management Software
Evaluate the various audit management software
Technology Control Plan (TCP)
Review the required elements of a TCP
Design a TCP with detailed audit function
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