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Course Summary

This professional-level course introduces users to the elements of effective trade compliance programs and why they are critical to ensuring their company’s compliance with applicable regulations such as the EAR and ITAR. The training outlines how to identify and investigate potential violations, as well as the regulatory requirements for notifying the U.S. government when violations occur. The course also addresses the consequences of noncompliance and the different types of compliance and enforcement actions available to the U.S. government. Finally, this course provides best practices for trade compliance programs. Personalize the Content Enablers Trade Compliance Programs course with company-specific policies, procedures, and other resources using the CE Curator.

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

Learning Objectives

This course is designed to enable users to recognize the key factors that they may need to consider in developing, implementing, and managing their company’s trade compliance program. The objectives are satisfied when they can:

Trade-Specific Objectives

  • Understand the elements that should be addressed in their company’s trade compliance program;
  • Understand the regulatory and organizational requirements for disclosing potential violations to the U.S. government;
  • Recognize the need to investigate potential violations and document the decision-making process for disclosing;
  • Recognize when a company’s trade compliance program requires review and updating; and
  • Know that maintaining records associated with a potential violation is critical to successful compliance.

Role-Specific Objectives

  • Understand that they may be responsible for investigating and disclosing potential violations to the U.S. government;
  • Employ best practices to support the company’s trade compliance program;
  • Recognize that they may be responsible for providing guidance and training on trade compliance;
  • Realize that they may be responsible for reviewing and updating their company’s trade compliance program due to business or regulatory changes; and
  • Know that they may be responsible for ensuring the appropriate recordkeeping related to potential violations.

Target Audience

Personnel responsible for the development or implementation of an organization's trade compliance program.

Course Duration: 24 Minutes, 29 Seconds

Certificate of Completion: George Mason University

Course Outline

Overview  

Elements of a Trade Compliance Program  

  • Overarching Trade Compliance Policy  
  • Identification of Roles and Responsibilities
  • Work Instructions or Procedures  

Topics to be Addressed in a Trade Compliance Program  

  • U.S. Government Expectations  
  • Industry/Peer Standards  

Identifying and Disclosing Potential Violations  

  • What constitutes a violation?  
  • Consequences of non-compliance  
  • Notification of potential violations within your company  
  • Notification of potential violations to the U.S. Government
    • DDTC
    • BIS
    • Justice
    • SEC  

Managing Disclosures  

  • Identifying when a disclosure should be made
  • Documenting Decision-making Process
  • Tracking Implementation of Corrective Actions  

Compliance and Enforcement Actions  

  • Directed Audits  
  • Debarment/Ineligibility
  • Consent Agreements  

Industry/Peer Best Practices for Trade Compliance Programs  

  • Marking  
  • Screening & Vetting  
  • Managing U.S. and Foreign Visitors
  • Conducting Program Audits and Investigations   

Training Summary  

Additional Courses to Consider

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