Practice Test Geeks(CES) Certified Export Specialist Practice Test
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Export Controls & Sanctions Compliance Flashcards

7 cards from real CES practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.

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  1. Which US government agency administers the Export Administration Regulations (EAR) for dual-use items?

    Answer: Bureau of Industry and Security (BIS)

    The Bureau of Industry and Security (BIS) within the Department of Commerce administers the EAR, which controls the export of dual-use commercial items with potential military applications.

  2. What does an EAR99 classification indicate about an item?

    Answer: It is subject to the EAR but not listed on the Commerce Control List

    EAR99 items are subject to the EAR but are not specifically listed on the Commerce Control List (CCL), so they generally do not require a license except to embargoed countries or denied parties.

  3. Which US agency administers economic and trade sanctions programs, including the Specially Designated Nationals (SDN) list?

    Answer: Office of Foreign Assets Control (OFAC)

    OFAC, part of the Department of Treasury, administers and enforces US economic and trade sanctions programs, including maintaining the SDN list of blocked persons and entities.

  4. What is the Commerce Control List (CCL)?

    Answer: A catalog of items subject to export controls under the EAR, identified by ECCN

    The CCL is maintained by BIS and identifies commodities, software, and technology subject to EAR export controls, each assigned an Export Control Classification Number (ECCN).

  5. An Export Control Classification Number (ECCN) follows which format?

    Answer: 5 characters: 1 number, 1 letter, then 3 numbers (e.g., 3A001)

    An ECCN is a 5-character alphanumeric code such as 3A001, where the first digit indicates the category, the letter indicates the product group, and the remaining digits indicate the specific reason for control.

  6. Which tool should US exporters use to screen all transaction parties against multiple government watchlists simultaneously?

    Answer: The Consolidated Screening List (CSL), which merges multiple US government denied-party lists

    The Consolidated Screening List (CSL) combines watchlists from BIS, OFAC, and the State Department into a single searchable database, allowing exporters to efficiently screen parties in one step.

  7. Under ITAR, which agency has jurisdiction over defense articles, defense services, and related technical data on the US Munitions List?

    Answer: Department of State — Directorate of Defense Trade Controls (DDTC)

    The DDTC within the Department of State administers ITAR, controlling the export and temporary import of defense articles and services listed on the US Munitions List (USML).