Compliance Areas Flashcards
What is Compliance Area #1?
Oversight and Infrastructure
- Reporting relationships
- Performance Evaluations
What is Compliance Area #2?
Jurisdiction and Classification
- CJ Requests
- Training
- Vendor classifications
What is Compliance Area #3?
Authorization Management
- License and agreement applications, management, close out
- Exemption Use
- Brokering Authorizations
What is Compliance Area #4?
Automated Export Compliance Systems
- Systems Development and Integration
- Manual vs. Automatic
- Blocks and file sharing
What is Compliance Area #5?
Technical Data
- Marking and tagging, transfer process
- International travel, foreign reps, TCPs
What is Compliance Area #6?
Defense Articles
- Hand carry procedures
- Trade shows and marketing
- International travel, foreign reps, TCPs
What is Compliance Area #7?
Defense Services
- Reporting and recording
- International travel, foreign reps, TCPs
What is Compliance Area #8?
Brokering
- Authorizations
- Foreign reps
What is Compliance Area #9?
Mergers and Acquisitions
- Pre due diligence
- Post integration to ITAR systems
What is Compliance Area #10?
Mechanisms to Identify, Track, and Disclose Possible Violations
- Hotline reporting
- Disclosure processes
- Investigations
What is Compliance Area #11?
Training and Awareness
- Function-specific training and topics
- Training frequency and marketing activities
- Compliance communications and reinforcement
What is Compliance Area #12?
Screening
- Screening integration at various transaction points
- Escalation processes
What is Compliance Area #13?
Recordkeeping
- Record production
- Document retention, destruction/deletion
What is Compliance Area #14?
Physical Security
- Physical access controls and badging
- Hand carry procedures
- Defense article disposal/destruction
What is Compliance Area #15?
Audits and Self-Assessments
- Audit frequency and topics
- Internal notification and reporting for audit results
