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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 Authorizations 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 Management
  • Customs Clearance
  • 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 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 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 the 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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