Part of the Trade Compliance Practitioner Certification Series

Bundle Summary

Content Enablers, in collaboration with King's College London, introduces the new standard for trade compliance professionals. This bundle includes all of our Trade Compliance Practitioner Series courses. Course descriptions and subscription options can be found below.

Foundations of U.S. Export Compliance for UK Practitioners

Course Summary

This practitioner awareness course introduces learners in the UK to the six primary areas of U.S. trade compliance that they may be involved in: jurisdiction and classification, regulated activities, authorisations, authorisation management, customs clearance, and compliance programmes. 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 Office of Foreign Assets Control-administered sanctions and embargoes. The course includes information, analysis, and commentary that address issues of particular relevance to compliance practitioners operating within the UK.

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

This is a certificate programme developed by Content Enablers, accredited by the CPD Certification Service, and endorsed by the Faculty of Social Science and Public Policy, King’s College London.

Learning Objectives

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

Trade-Specific Objectives

  • Understand that trade compliance is a company-wide endeavour.
  • 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.
  • Recognise when to ask for assistance and/or seek guidance.
  • Know that trade controls consider end use and end user, as well as country of use.

Role-Specific Objectives

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

Target Audience

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

Course Duration: Approximately 2 hours, 20 minutes

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

U.S. Export Authorizations for UK Practitioners

Course Summary

This practitioner-level course examines the authorisation types available for exports and imports of U.S.-regulated hardware, technical information, software, and services under both direct commercial sales and Foreign Military Sales programmes. This course also addresses permanent and temporary nature of transactions. The course provides 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 Office of Foreign Assets Control-administered sanctions and embargoes.

The training provides detailed guidance for implementing the appropriate authorisation for transactions that may involve multiple authorisation types, as well as different regulations, depending on the activity. This course also discusses which business functions may have the relevant information required to determine authorisation needs and will present information, analysis, and commentary that address issues of particular relevance to compliance practitioners operating within the UK.

This is a certificate programme developed by Content Enablers, accredited by the CPD Certification Service, and endorsed by the Faculty of Social Science and Public Policy, King’s College London.

Learning Objectives

The broadest objective of this course is to enable learners to recognise the different types of U.S. authorisations and their applicability to ensure your transaction is compliant. This objective is satisfied when they can:

Trade-Specific Objectives

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

Role-Specific Objectives

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

Target Audience

  • Employees who are responsible for determining licensing requirements for U.S.-origin items and obtaining the appropriate authorisation
  • Employees who are responsible for utilising exemptions and exceptions under U.S. regulations
  • Employees who play a role in authorisation management such as recordkeeping and tracking activities
  • Employees who are responsible for managing or overseeing trade compliance activities in other business functions such as classification and export clearance

Course Duration: Approximately 7 hours

 

Course Summary

Introduction to U.S. Export Licensing for Practitioners

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

Jurisdiction and Classification

Regulated Activities                    

  • Key Definitions
    • U.S. and Foreign Persons – ITAR
    • U.S. and Foreign Persons – EAR
    • 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
    • DTrade
    • Part 124 Agreements Submissions
    • 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 Programs  

  • 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 Noncompliance 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  

U.S. Export Classification for UK Practitioners

Course Summary

This practitioner-level training course gives learners in the UK the foundation for conducting and/or validating U.S. jurisdiction and classification assessments of U.S.-origin items by analysing 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 programme, including best practices for documenting the determination process. The course presents information, analysis, and commentary that address issues of particular relevance to compliance practitioners operating within the UK.

This is a certificate programme developed by Content Enablers, accredited by the CPD Certification Service, and endorsed by the Faculty of Social Science and Public Policy, King’s College London.

Learning Objectives

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

Trade-Specific Objectives

  • 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.
  • Recognise when a jurisdiction and classification assessment needs to be updated or reassessed.
  • Know that documenting the decision-making process and rationale is critical to successful compliance.

Role-Specific Objectives

  • Understand that they may be responsible for conducting or validating jurisdiction and classification assessments.
  • Recognise 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 in the UK who are responsible for or involved in conducting and/or validating jurisdiction and classification assessments of U.S.-origin items
  • Employees who are responsible for determining if technical information is export controlled by the U.S. 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: Approximately 3 hours

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 Designed 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
    • 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 Programs  

  • Identifying and Disclosing Potential Violations
    • What Constitutes a Violation Under the ITAR
    • Consequences of Noncompliance with the ITAR
    • Notification of Potential Violations Within Your Company

Training Summary

U.S. Export Clearance for UK Practitioners

Course Summary

This practitioner-level course introduces learners to the regulatory requirements for effecting the actual shipment or transfer of U.S. export-controlled items – from a UK perspective. These activities are commonly called “customs clearance.” This course provides 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 – and presents information, analysis, and commentary that address issues of particular relevance to compliance practitioners operating within the UK.

These activities include preparation of customs clearance documentation, decrementation of authorisations, and recordkeeping. Specifically, this course identifies the different requirements for hardware and technical information under the ITAR and the EAR, as well as the submission methods to CBP. The course also discusses 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 are also addressed. Most importantly, this course discusses best practices for conducting customs activities.

This is a certificate programme developed by Content Enablers, accredited by the CPD Certification Service, and endorsed by the Faculty of Social Science and Public Policy, King’s College London.

Learning Objectives

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

Trade-Specific Objectives

  • 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 authorisation requires decrementation to ensure compliance.
  • Recognise 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 Objectives

  • Understand that they may be responsible for preparing or submitting customs clearance documentation.
  • Recognise that they may be responsible for decrementing or monitoring an authorisation 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 with regard to U.S-origin items for customs purposes
  • Employees who are responsible for clearing inbound U.S.-origin items for either a permanent or temporary transaction
  • Employees who interface with freight forwarders and logistics providers – both domestically and abroad


Course Duration: Approximately 1.75 hours

 

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 Exemptions
  • 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
  • Nontraditional Scenarios
  • Recordkeeping

Trade Compliance Programs  

  • Identifying and Disclosing Potential Violations
    • What Constitutes a Violation Under the ITAR
    • Consequences of Noncompliance with the ITAR
    • Notification of Potential Violations Within Your Company

Training Summary

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

Certificates of Completion: King's College London

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