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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  

Certificate of Continuing Professional Development: King's College London 

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

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