(CIP) Requirements
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 |