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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

Certificate of Continuing Professional Development: King's College London 

Course Outline

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

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