New-Employee Export Control Test - ITAR and EAR Policy and Procedures

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This export-compliance test is required of all new PSI employees. You can study the materials on this ITAR / EAR training site, especially the short slide presentation and the Study Guide. The test is not time-limited, so you need not hurry. Answer all 25 questions as best you can, then press "Submit." Contact Martha Estrada if you have any questions, at (818) 531-3206 or by e-mail at mestrada@photosonics.com.

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1. Which of these do you need in order to apply for a DSP-5 license?

End-Use/End-User statement

Purchase Order

Product data sheet or brochure

All of the above

Clear selection

2. What does "ITAR" now stand for?

Independent Training Always Rewards

I Told Andy to Register

International Traffic in Arms Regulation

None of the above

Clear selection

3. For the first-offense, unintended export control violation, whether by a company or an individual, the maximum fine is up to:

$500,000

$50,000

$5,000

There is no fine for the first offense.

Clear selection

4. "Deemed Exports" concerns unauthorized ITAR or EAR related communications in which country?

The United States

Any country outside the United States

Any country in the world

Non-NATO countries

Clear selection

5. What is the definition of a "Defense Article"?

Any item or technical data on the U.S. Munitions List

Hardware that can be used by the military

Of or related to firearms

Software if it is in the form of source code

Clear selection

6. If you board an airplane flying overseas with ITAR- or EAR-controlled material on your laptop or smartphone, without an export license, do you need PSI management permission?

No.

Yes, our empowered official must personally clear any such case, and issue you a written exemption/exception authorization, which you must carry on your person while transiting customs.

It depends on whether this was intentional.

Not if it's on my personal laptop; only if it's on a company laptop.

Clear selection

7. PSI is subject to which of the following laws or regulations?

The ITAR

The Export Administration Regulations

The Arms Export Control Act

All of the above

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8. What is meant by "Red Flags" when it comes to export control?

One of our color-coded personnel badges

14 specific suspicious behaviors published by the Commerce Department and considered in all export transactions

These are so-called "stop-orders" issued by our customers' home governments

The checklist sheets that accompany each order through the PSI shipping system

Clear selection

9. Are you allowed to disclose ITAR-controlled material without a license to any US Citizen you meet while overseas?

Yes, US citizenship dominates over location

Not necessarily, since a US citizen employed by a foreign company is presumed compromised

Only if he promises not to disclose the information to a foreign person

No, only if you have an export license covering the transfer of that specific information to that particular person

Clear selection

10. What does "TAA" stand for, in terms of our export control procedures?

Technical Assistance Agreement

Transfer Administration Act

Trade Adjustment Assistance

Technology for All Americans

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11. What is the definition of a "US Person"?

A US citizen only

A US citizen or holder of an H-1B visa

A US citizen, a permanent US resident, a US corporation or government entity, or a "protected person"

All individuals and corporate employees, provided they reside in the United States

Clear selection

12. What if an item was designed for military use, but my foreign customer only wants to use it for civilian applications?

The USG does not consider “intended use” to be a relevant factor in determining whether the item should be on the USML or CCL.

Once an item is used on a commercial platform, it must be removed from the USML.

It must be covered by both ITAR and EAR export licenses.

None of the above

Clear selection

13. Reasons why we tell you that working under the EAR/Commerce export rules is more complicated than under just the ITAR export rules include:

The EAR has more license exceptions than the ITAR, and generally they are more complicated. And some of those EAR exceptions, like “ENC” regarding encryption, are extremely complex.

The ITAR’s U.S. Munitions List (“USML”) has just 21 categories/classifications, while the EAR’s Commerce Control List (“CCL”) has more than 590 ECCNs, or Export Control Classification Numbers.

Even just measuring by page count, the Export Administration Regulations has totals nearly 1,500 pages, while the International Traffic in Arms Regulations has less than 200.

All of the above.

Clear selection

14. For ITAR purposes, what is an export?

Sending or taking a defense article out the United States in any manner. It also means transferring registration, control or ownership to a foreign person of any aircraft, vessel or satellite covered by the U.S. Munitions List, either in the United States or abroad.

Disclosing (orally or visually) or transferring in the United States any defense article to an embassy, any other part of a foreign government, or to a foreign person.

Performing a defense service on behalf of a foreign person, whether in the United States or abroad.

All of the above

Clear selection

15. You are a PSI employee, and are under extreme pressure to export without a license a few ITAR items that require an export license. You know the items need an export license, but your boss tells you there is not enough time to get a license, that the project is too urgent, and that you must make the export anyway, immediately. Describe the possible penalties if you go ahead with this export.

It may be a violation for PSI, but personally I would have no legal exposure.

DDTC-registered companies are allowed 3 “Free Pass” violations per year, so this would probably not count as an ITAR violation.

Because my boss and I both knew the shipment require a license, not only would both PSI and both of us be personally liable, but that foreknowledge turns this into a criminal violation, with the possible fine doubled from $500,000 to $1,000,000, and even possible prison terms for my boss and me. Intentional EAR/Commerce license violations also can carry severe penalties.

There is an exemption in both the ITAR and EAR that allows PSI to make urgent ITAR exports, so long as we apply for the license within 90 days of the actual export.

Clear selection

16. If you lose your laptop while on a trip overseas, and it has ITAR-controlled material on it for which you have a valid export license, is that a violation?

No, since it was covered by a valid export license.

Yes. Since you lost control of the material, it must be considered compromised.

Not if you report the loss within 24 hours.

It depends. If you exercised normal prudent measures to protect the laptop just as you would, say, cash in a wallet, then you are probably okay. But report this at once to your company export compliance officer.

Clear selection

17. Can technical data be temporarily exported?

Yes, if you retrieve the disk, paper, or other recording media after the foreign person reviews the material.

No. Until we find a way to reliably delete human memories, a disclosure of technical data is by definition permanent.

Only if you send the technical data to your foreign customer via e-mail.

An export of technical data is always considered temporary unless it is accompanied by related hardware.

Clear selection

18. From our company's perspective, which are the two main Federal Agencies responsible for US Export Control?

The State Department and the Commerce Department

The Commerce Department and the FAA

The State Department and the Labor Department

The Commerce Department and the National Transportation Safety Board

Clear selection

19. If a PSI teaming partner located in the U.S. notifies me that I now have free access to their server containing export-controlled tech data, what should I do?

Because it is a U.S. company, it is free to disclose its data to anyone, so this is okay.

If I am a foreign-person employee of PSI, I can accept this access, provided I tell them my nationality.

When offered access to controlled tech data by any entity, before I agree, I must notify the PSI empowered official in writing, and receive his permission in writing.

All the above.

Clear selection

20. If you are attending a face-to-face meeting in Chatsworth with some British and German customers, would discussing ITAR-controlled material be considered an export?

Since the disclosure takes place on American soil, this would not count as an export if your customers promise not to repeat the information.

Yes, this transaction is deemed to be an export even though no one crosses a border during the export.

No, it does not count as an export unless classified information is included.

There is not enough information to answer the question.

Clear selection

21. What is the current classification of our F-16 HUD cameras?

ITAR USML Category VIII(h)

EAR CCL ECCN 6C004.a

ITAR USML Category XIII(a) for now, but it may be possible to challenge this at some point.

EAR CCL EAR99

Other:

Clear selection

22. Which of these counts as a "defense service"?

furnishing of assistance to foreign persons in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles, whether in the United States or abroad

furnishing to foreign persons of any technical data controlled by the ITAR

military training of foreign units and forces, regular and irregular, whether in the United States or abroad, including by correspondence courses, and through media of all kinds, training aids, exercises and through the furnishing of military advise.

All of the above

Clear selection

23. What does "ECCN" stand for?

Export Control Classification Number

Emergency Classification Consideration Number

Emerging Certificate of Convenience and Necessity

External Contract Change Notice

Clear selection

24. The following are indicators of information counting as ITAR technical data:

was generated by Independent R&D for military application

is a genuine engineering scale drawing, not a “cartoon”

provides meaningful insight in the areas of design or manufacturing

goes beyond general scientific, mathematical or engineering principles commonly taught in universities

you would not feel comfortable sharing it with your competitor

All of the above

Clear selection

25. If I have an item that is not on the munitions list, can I just go ahead and export it?

Commercial items don't need export licenses, so you can go ahead and ship.

Yes, we only deal with State Department ITAR licenses anyway, not Commerce (EAR) licenses.

No, you must always check with the company export compliance officer to confirm item classification before shipping.

None of the above.

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I certify that I have read and understood: *

The Study Guide for New PSI Employees

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