Compliance professional reviews online training courses.

The Authorizations, Classifications, and Clearance courses will be released prior to 10/08/2019 however, they are available for purchase now. Anyone who pre-purchases this course will be notified when it is released.

Cost per seat

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Number of seats

  • Foundation
  • Authorizations
  • Classifications
  • Clearance

Course Summary

The Content Enablers Foundations of U.S. Export Compliance for Practitioners course is comprised of six modules:

  • Jurisdiction and Classification  
  • Regulated Activities
  • Authorizations
  • Authorization Management
  • Customs Clearance
  • Trade Compliance Programs

This practitioner awareness course introduces learners to the six primary areas of trade compliance that they may be involved in: jurisdiction and classification, regulated activities, authorizations, authorization management, customs clearance, and compliance programs. This course will provide an overview of these areas in relation to the relevant U.S. compliance regimes, including the U.S. Export Administration Regulations, the International Traffic in Arms Regulations, and the Foreign Assets Control-administered sanctions and embargoes.  

The training identifies key activities and definitions within the trade compliance environment to foster understanding of learners’ role in trade compliance.      

Users will receive a certificate of completion from George Mason University upon successful completion of this course.

Learning Objectives

The broadest objective of this course is to enable learners to recognize trade-related situations and know how to react in each situation to remain compliant with the trade regulations. This broad objective is satisfied when learners can:

Trade-Specific 

  • Understand that trade compliance is a company-wide endeavor.
  • Identify daily activities that give rise to trade compliance considerations.
  • Recall the different regulatory requirements that exist for the identified activities.
  • Distinguish and/or differentiate between the scope, focus, or intent of U.S. regulations.  
  • Recognize when to ask for assistance and/or seek guidance.
  • Know that trade controls consider end-use, end-user as well as country of use.

Role-Specific 

  • Understand that daily activities directly impact or contribute to trade compliance.
  • Recognize that specific training may be required for successful compliance with the different areas of trade compliance.
  • Realize that trade compliance happens at all levels of the company and within all business functions.

Target Audience

Employees who are involved – directly or indirectly – in regulated activities, including employees who interact with non-U.S. persons as part of their job. Employees who are responsible for managing or overseeing personnel who are engaged in trade compliance activities.

Course Duration: 2 Hour, 22 Minutes

Certificate of Completion: George Mason University

Course Outline

Introduction

Jurisdiction and Classification

  • Methods of Classification Determination
  • Order of Review
    • USML
    • CCL
    • Specially Designed
    • Other Considerations
  • Documentation and Reassessment

Regulated Activities

  • Key Definitions
  • End-User and End-Use Considerations
  • Types of Items and Activities
  • Internal Activities
  • Post-Export Activities

Authorizations

  • ITAR Authorizations
    • Licenses
      • Overview
      • DSP-5
      • DSP-61
      • DSP-73
      • DSP-85
      • USML Paragraph (x)
    • Part 124 Agreements
    • ITAR Exemptions
    • Part 126 Exemptions
  • EAR Authorizations
    • EAR Licenses
    • EAR License Exceptions
  • Submission Portals
  • Tips for Submission

Authorization Management

  • Review of Approved Authorizations
  • Provisos and Limitations Compliance
  • Tracking of Activities Under Authorizations
  • Amendments
  • Recordkeeping and Reporting
  • Best Practices for Authorization Management

Customs Clearance

  • Shipping Documentation
  • Electronic Export Information
  • Tracking and Decrementation
  • Nontraditional Scenarios
  • Recordkeeping

Trade Compliance Programs

  • Elements of an Effective Trade Compliance Program
  • Topics That Should Be Addressed in a Trade Compliance Program
  • Identifying and Disclosing Potential Violations
  • Managing Disclosures
  • Compliance and Enforcement Actions
  • Industry/Peer Best Practices for Trade Compliance Programs

Training Conclusion

Course Summary

This practitioner-level course examines the authorization types available for exports and imports of regulated hardware, technical information, software and services under both direct commercial sales and foreign military sales program. This course will also address permanent and temporary nature of transactions. This course will provide an overview of these areas in relation to the relevant U.S. compliance regimes, including the Export Administration Regulations, the International Traffic in Arms Regulations and the Foreign Assets Control-administered sanctions and embargoes.  

The training provides detailed guidance for implementing the appropriate authorization for transactions which may involve multiple authorization types as well as different regulations depending on the activity. This course will also discuss which business functions may have the relevant information needed to determine authorization needs such as program management, contracts, business development, procurement and logistics.  

Users will receive a certificate of completion from George Mason University upon successful completion of this course.

Learning Objectives

The broadest objective of this course is to enable learners to recognize the different types of authorizations and their applicability to ensure your transaction is compliant. This broad objective is satisfied when they can:

Trade-Specific 

  • Understand the implementation requirements for the different types of authorizations under the ITAR and the EAR.
  • Recognize when multiple authorizations are needed for a transaction to be compliant.
  • Identify the authorization management and recordkeeping requirements for the different types of authorization.
  • Remember that different business functions play a role in authorization management and recordkeeping.
  • Distinguish and/or differentiate the requirements between permanent and temporary transactions.  

Role-Specific 

  • Understand that they may be responsible for determining the appropriate authorization for a transaction.
  • Recognize that they may be asked to approve the use of a company-certified authorization.
  • Realize that they may be responsible for preparing and submitting formal authorization requests.
  • Understand that they may be responsible for ensuring the appropriate recordkeeping is maintained for an authorization.

Target Audience

Employees who are responsible for determining licensing requirements and obtaining the appropriate authorization. Employees who are responsible for utilizing exemptions and exceptions under the regulations. Employees who play a role in authorization management such as recordkeeping and tracking of activities. Employees who are responsible for managing or overseeing trade compliance activities in other business functions such as classification and export clearance.

Course Duration: 7 Hours, 25 Minutes

Certificate of Completion: George Mason University

Course Outline

Introduction to U.S. Export Licensing for Practitioners

  • Regulatory Overview
    • Arms Export Control Act
    • Layout of the ITAR
    • Registration under the ITAR
    • Export Administration Act
    • Layout of the EAR
    • Subject to the EAR
  • Jurisdiction and Classification
  • Regulated Activities
  • Authorizations
  • Authorization Managemen
  • Customs Clearance
  • Compliance Programs

Jurisdiction and Classification

Regulated Activities

  • Key Definitions
    • U.S. and Foreign Persons- ITAR
    • U.S. and Foreign Persons- EAR
    • Export
    • Export
    • Defense Article
    • Item
    • Technical Data
    • Technology
    • Defense Service
    • Reexport- ITAR
    • Reexport- EAR
    • Retransfer (ITAR)
    • Temporary Import (ITAR)
    • Temporary Export (ITAR)
    • Public Domain
    • Significant Military Equipment (ITAR)
    • Empowered Official (ITAR)
    • Subject to the EAR (ITAR)
    • Transfer (EAR)
    • Dual-Use
    • Country Groups
    • Military Commodity
    • Activities that are Not Exports, Reexports, or Transfers
    • Activities that are Not Deemed Reexports
  • End-User and End-Use Considerations
    • Receipt of Licenses and Eligibility Under the ITAR
    • Interpreting ITAR 126.1(d)/(e)
    • Overview of the EAR General Prohibitions
    • Embargoed or Sanctioned Destinations under the EAR
    • End-Use and End-User Controls Under EAR Part 744
    • Red Flag Indicators
    • Denied Persons
    • Restrictive Trade Practices and Boycotts
  • Types of Items and Activities
  • Internal Activities
    • Visitors
  • Post-Export Activities
    • De Minimis
    • Foreign-Produced Direct Product Rule

Authorizations

  • ITAR Authorizations
    • DSP-5 Licenses
    • Part 130 Requirements
    • ITAR- Deemed Export/Foreign Person Employment Licenses
    • Technical Data Licenses
    • Limited Defense Services Licenses
    • Offshore Procurement Licenses
    • DSP-73 Licenses
    • DSP-85 Licenses
    • USML Paragraph (x)
    • DSP-94
    • Part 124 Agreements
    • Types of Agreements
    • Parties to an Agreement
    • Determining Value of Part 124 Agreements
    • Use of Foreign-Person Contract Employees
    • Elements of an Agreement Package: Transmittal Letter
    • Elements of an Agreement Package: Proposed Agreement
    • Licenses "in Furtherance of" an Agreement
    • Congressional Notification Overview
    • Special Comprehensive Export Authorizations
    • Brokering Activities
  • EAR Authorizations
    • Determining EAR License Requirements
    • Support Documentation Requirements Under the EAR
    • Validated End-User
    • Technology License Overview
    • Deemed Exports and Reexports
    • EAR License Exception Overview (INT: Licensing Exception Game)
    • Routed Export Transaction
  • Submission Portals
    • D-Trade
    • Part 124 Agreements Submission
    • SNAP-R
  • Exemptions

Authorization Management

  • Review of Approved Authorization
  • Proviso and Limitation Compliance
    • Reconsideration or Clarification Options
  • Tracking of Activities
  • Amendments to Authorizations
    • DSP Amendments
    • Part 124 Agreement Amendments
    • Name/Address/Ownership Change Amendments
  • Recordkeeping and Reporting
    • ITAR Recordkeeping Requirements
    • ITAR Exemption Recordkeeping and Certifications
    • Reporting on Exports of ITAR Technical Data and Defense Services
    • Post-Approval Activities for Part 124 Agreements
    • EAR Recordkeeping Requirements
    • Export Control Document

Customs Clearance

Trade Compliance

  • Elements of an Effective Trade Compliance Program
  • Topics to be Addressed in Trade Compliance Program
    • U.S. Government Expectations
  • Identifying and Disclosing Potential Violations
    • What constitutes a violation under the ITAR
    • Consequences of non-compliance with the ITAR
    • Notification of Potential Violations within your company
    • Notification of Potential ITAR Violations to the U.S. Government
  • Managing Disclosures
    • Identifying When a Disclosure Should be Made
    • Documenting Decision-Making Process
    • Tracking Implementation of Corrective Actions
  • Compliance and Enforcement Actions
    • Debarment/Ineligibility Status
    • Consent Agreements
    • Settlement Agreements

Training Summary

Course Summary

The practitioner-level training gives learners the foundation for conducting jurisdiction and classification assessments by analyzing the critical factors to be considered-- which are not always explicit in the regulations-- and the methods for conducting such assessments. The factors include the differences between the philosophies of the ITAR and EAR when reviewing items, analysis of the pivotal definitions to understand when information is export-controlled, guidance on the issue of ITAR contamination of non-U.S. items, and tips for reading the control lists. The course also discusses the role effective jurisdiction and classification plays in a company’s compliance program including best practices for documenting the determination process.    

Users will receive a certificate of completion from George Mason University upon successful completion of this course.

Learning Objectives

The broadest objective of this course is to enable learners to recognize the expected steps in conducting a jurisdiction and classification assessment and the factors which impact the result of an assessment. This broad objective is satisfied when they can:

Trade-Specific 

  • Understand the different philosophies regarding the control of technical information under the ITAR and the EAR.
  • Recall when the different regulatory terms are applicable.
  • Identify technical information that may be export-controlled and review for classification.
  • Remember that U.S.-origin technical information can contaminate a non-U.S. product or information.
  • Understand the requirements for marking technical information as export-controlled.  
  • Recognize when a jurisdiction and classification assessment needs to be updated or re-assessed.
  • Know that documenting the decision-making process and rationale is critical to successful compliance.

Role-Specific 

  • Understand that they may be responsible for conducting or validating jurisdiction and classification assessments.
  • Recognize that they may be asked to assist a vendor in conducting a jurisdiction and classification assessment.
  • Understand that they may be responsible for ensuring the appropriate recordkeeping is maintained for a jurisdiction and classification assessment.

Target Audience

Employees who are responsible for or involved in conducting jurisdiction and classification assessments. Employees who are responsible for determining if technical information is export-controlled or marking export-controlled technical data and technology. These learners could include engineers due to the technical nature of the control lists but can include employees from other business functions.

Course Duration: 3 Hours, 25 Minutes

Certificate of Completion: George Mason University

Course Outline

Introduction to U.S. Export Classification for Practitioners

  • Regulatory Overview
    • Layout of the ITAR
    • Layout of the EAR
  • Jurisdiction and Classification
  • Regulated Activities

Jurisdiction and Classification

  • Methods of Classification
    • Elements of a Commodity (CJ) Request
    • Elements of a CCATS Requests
    • Encryption CCATS
  • Order of Review
    • U.S. Munitions List (USML) Review
    • USML Category Specific Scenarios
    • Commerce Control List (CCL) Scope and Structure
    • CCL Order of Review
    • 600 Series
    • 9x515 Series
    • CCL Entry Specific Scenarios
    • Specially Design Review
  • Other Jurisdiction and Classification Considerations
    • Tips, Triggers and Common Mistakes
  • Identification of Technical Data/Technology
    • Definition of ITAR Technical Data
    • Definition of EAR Technology
    • Marking of Technical Data/Technology
    • Determining Derivative Data
  • Documentation and Reassessment
    • Company Specific Entry

Regulated Activities

  • Key Definitions
    • U.S. and Foreign Persons- ITAR
    • U.S. and Foreign Persons- EAR
    • Export
    • Export
    • Defense Article
    • Item
    • Technical Data
    • Technology
    • Defense Service
  • Internal Activities
    • Visitors

Authorizations

  • ITAR Authorizations
  • EAR Authorizations
    • Technical Data Approved for Public Release

Authorization Management

  • Recordkeeping and Reporting

Customs Clearance

Trade Compliance

  • Identifying and Disclosing Potential Violations
    • What constitutes a violation under the ITAR
    • Consequences of non-compliance with the ITAR
    • Notification of Potential Violations within your company

Training Summary

Course Summary

This practitioner-level course introduces learners to the regulatory requirements for effecting the actual shipment or transfer of export-controlled items. These activities are commonly called customs clearance. This course will provide an overview of these areas in relation to the relevant U.S. compliance regimes, including the Export Administration Regulations, the International Traffic in Arms Regulations, the Federal Trade Regulations, and Customs and Border Protection regulations.

These activities include preparation of customs clearance documentation, decrementation of authorizations and recordkeeping. Specifically, this course will identify the different requirements for hardware and technical information under the ITAR and the EAR as well as the submission methods to CBP. This course will also discuss the different requirements for permanent transactions and temporary transactions. Transactions involving hand-carry scenarios, self-decrementation, domestic transactions with foreign persons and shipments using government transport will also be discussed. Most importantly this course discusses best practices for conducting customs activities.  

Users will receive a certificate of completion from George Mason University upon successful completion of this course.

Learning Objectives

The broadest objective of this course is to enable learners to recognize the expected steps in clearing items for shipment or transfer and to identify the responsible business functions. This broad objective is satisfied when the learner can:

Trade-Specific 

  • Understand the customs clearance requirements for hardware shipments and technical information transfers.
  • Identify the need to provide destination control statements and classification information.
  • Remember that an authorization requires decrementation to ensure compliance.
  • Recognize the recordkeeping and reporting requirements for the use of exemptions and exceptions.
  • Distinguish and/or differentiate between the different requirements for permanent and temporary transactions.  
  • Know that maintaining records associated with a shipment or transfer is critical to successful compliance.

 Role-Specific 

  • Understand that they may be responsible for preparing or submitting customs clearance documentation.
  • Recognize that they may be responsible for decrementing or monitoring an authorization for available quantity or value.
  • Understand that they may be responsible for ensuring the appropriate recordkeeping is maintained related to customs clearance.

Target Audience

Employees who are responsible for preparing and reviewing export control documents for customs purposes. Employees who are responsible for clearing inbound items for either a permanent or temporary transaction. Employees who interface with freight forwarders and logistics providers – both domestically and abroad.

Course Duration: 2 Hours, 10 Minutes

Certificate of Completion: George Mason University

Course Outline

Introduction to U.S. Export Clearance for Practitioners

  • Regulatory Overview
    • Layout of the EAR
  • Regulated Activities
  • Authorization Management
  • Customs Clearance

Regulated Activities

  • Key Definitions
    • U.S. and Foreign Persons- ITAR
    • U.S. and Foreign Persons- EAR
    • Export
    • Temporary Import (ITAR)
    • Temporary Export (ITAR)
    • Red Flag Indicators
  • Internal Activities
    • Visitors

Authorizations

  • ITAR Authorizations
    • DSP-73 Licenses
    • DSP-94
    • Return and Repair Exemption
  • EAR Authorizations

Authorization Management

  • Tracking of Activities
  • Amendments to Authorizations
  • Recordkeeping and Reporting
    • Export Control Document

Customs Clearance

  • Shipping Documentation
    • Company Specific Entry
  • Electronic Export Information
    • Company Specific Entry
  • Tracking and Decrementation
    • Company Specific Entry
  • Non-Traditional Scenarios
  • Recordkeeping

Trade Compliance

  • Identifying and Disclosing Potential Violations
    • What constitutes a violation under the ITAR
    • Consequences of non-compliance with the ITAR
    • Notification of Potential Violations within your company

Training Summary

Additional Courses to Consider

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