Course Summary:
This training—designed for members of your export compliance team—aligns with the Tier 4 requirements outlined in Element 5 of the DDTC ITAR Compliance Program Guidelines.
This export 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 programs. This course also addresses the 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 (EAR), the International Traffic in Arms Regulations (ITAR), and Office of Foreign Assets Control (OFAC)-administered sanctions and embargoes.
The training provides detailed guidance for implementing the appropriate authorization for transactions that may involve multiple authorization 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 authorization needs, such as program management, contracts, business development, procurement, and logistics.
Users will receive a Certificate of Completion from the Schar School of Policy and Government at George Mason University upon successfully finishing 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 objective is satisfied when they can:
Trade-Specific Objectives
- 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 the requirements between permanent and temporary transactions.
Role-Specific Objectives
- 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 Outline:
- Introduction to U.S. Export Authorizations for U.S. PractitionersThe Arms Export Control Act
Layout of the ITAR
DDTC Registration
The Export Control Reform Act
Other Statutory Provisions, Executive Orders, and Presidential Documents
How the EAR Is Structured
Subject to the EAR - Jurisdiction and Classification Overview
- An Introduction to Activities Regulated by the U.S.ITAR §120.56: Release
ITAR §120.55: Access Information
ITAR §120.51: Reexport
EAR §734.14 "Reexport"
ITAR §120.52: Retransfer
ITAR §120.53: Temporary Import
Temporary Export (ITAR)
ITAR §120.34: Public Domain
ITAR §120.36: Significant Military Equipment
ITAR §120.67: Empowered Official
ITAR §120.58: Subject to the Export Administration Regulations (EAR)
EAR §734.16: Transfer (in-country)
EAR §772.1 "Dual Use"
EAR §772.1 "Country Groups"
EAR §772.1 "Military Commodity"
Activities That Are Not Exports, Reexports, or Transfers Under the EAR
ITAR §120.54 Activities That Are Not Exports, Reexports, Retransfers, or Temporary Imports Under the ITAR
Deemed Exports and Reexports
EAR §734.20: Activities That Are Not Deemed ReexportsOverview of End-Use and End-User Considerations
Eligibility for Approvals: ITAR §120.16
Interpreting ITAR §§126.1(d) and (e)
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 BoycottsTypes of Items and Activities Regulated by the U.S.
Internal Activities
De Minimis Rule - Introduction to EAR and ITAR AuthorizationsPart 130 Requirements
Deemed Export/Foreign Person Employment Licenses
Technical Data Licenses
Limited Defense Service Licenses
Offshore Procurement Licenses
DSP-61
DSP-73 Licenses for the Temporary Export of Unclassified Defense Articles
DSP-85 Licenses
Paragraph (x) of the USML
Open General LicensesOverview of Part 124 Agreements
Technical Assistance Agreements
Manufacturing License Agreements
Warehouse and Distribution Agreements
Determining Value of Part 124 Agreements
Use of Foreign-Person Contract Employees
U.S. Persons Employed AbroadOverview of ITAR License Exemptions
ITAR §123.4: Temporary Import Exemptions for Return and Repair
ITAR §123.4(b): Imports for Incorporation Into Other Articles
Mechanics of Using the Temporary Import ExemptionsITAR §123.9(e): Reexports to Various Authorized Countries and Organizations
Exemptions of General Applicability: ITAR §123.16
ITAR §123.16(b)(1): Unclassified Defense Articles in Furtherance of an Agreement
ITAR §123.16(b)(2): Components and Parts Less Than $500
ITAR §123.16(b)(4): Exports of Models and Mock-Ups
ITAR §123.16(b)(5): Exports to Public Exhibitions and Trade Shows
ITAR §123.16(b)(9): Temporary Exports to U.S. Subsidiaries OverseasITAR §123.19: Canadian and Mexican Border Shipments
ITAR §124.2(a): Basic Operations and Maintenance Training
ITAR §124.2(c): MaintenanceITAR §126.4: Transfers by or for the U.S. Government
ITAR §124.3: Exports of Technical Data in Furtherance of an Agreement
ITAR §120.15(f): Certification Requirements for Exemptions
ITAR §125.4(b)(1): Technical Data Pursuant to a Written Request of the Department of Defense
ITAR §125.4(b)(3): Technical Data in Furtherance of a U.S. Government Contract
ITAR §125.4(b)(4): Technical Data Previously Authorized for Export
ITAR §125.4(b)(5): Technical Data for Basic Operations and Maintenance
ITAR §125.4(b)(7): Technical Data Being Returned to the Original Source of Import
ITAR §125.4(b)(8): Unclassified Tech Data Related to Classified Tech Data Approved for Export
ITAR §125.4(b)(9): Technical Data for Use Only by U.S. Persons
ITAR §125.4(b)(10): Technical Data to Employees of Institutions of Higher Learning
ITAR §125.4(b)(13): Technical Data Approved for Public Release
ITAR §125.4(c): Tech Data and Defense Services Involving Responses to U.S. Department of Defense Bid Proposals
ITAR §126.18: Exemptions Regarding Dual and Third-Country Nationals
ITAR §125.5: Exemptions for Plant Visits
Part 126 Exemptions
An Overview of the Canadian Exemptions
ITAR §126.6(a): Transfers by the Department of Defense
ITAR §126.6(c): Foreign Military Sales Exemption
Special Comprehensive Export Authorizations for NATO, Australia, Japan, and SwedenSummary of the Congressional Certification Requirement
Dollar Thresholds for Certain Transactions
Congressional Certification Process and Timelines
Renotifications to Congress
Brokering Definitions
Registration of Brokers
Approval Requirements for Brokers
Brokering Reports
Determining EAR License Requirements
Support Documentation Requirements for EAR Licenses
Statement by Ultimate Consignee and Purchaser
Firearms Convention Import Certificate
PRC End-User Statement
Hong Kong Import License
Hong Kong Export License
Validated End User
EAR License Exceptions
NLR
Department of State Approvals
Temporary Import Entry Clearance – EAR Firearms
Department of State Submission PortalsDepartment of Commerce Submission Portals
- Managing Your AuthorizationReview of Approved Authorizations
Complying with License Provisos and Limitations and License Conditions
Questions Regarding ITAR Provisos
Tracking of Activities
DSP Amendments
Part 124 Agreement Amendments
Amending EAR AuthorizationsITAR Recordkeeping and Reporting: An Introduction
ITAR Recordkeeping Requirements
ITAR Exemption Recordkeeping
Certification Requirements for Exemptions
Reporting on Exports of ITAR Technical Data and Defense Services
Post-Approval Activities for Part 124 AgreementsIntroduction to EAR Recordkeeping and Reporting
EAR Recordkeeping Requirements - Export Clearance Overview
- Trade Compliance Programs Overview
Regulatory Guidance on Elements of an Effective Trade Compliance Program
Topics to Be Addressed in a Trade Compliance ProgramIdentifying and Disclosing Potential Violations
What Constitutes a Violation Under the ITAR?
Penalties for ITAR Violations
Voluntary Disclosures of ITAR Violations to the Department of StateWhat Constitutes a Violation Under the EAR?
Penalties for EAR Violations
Voluntary Self-Disclosures of EAR Violations to BIS
Identifying When a Disclosure Should Be MadeCompliance and Enforcement Actions
Debarment/Ineligibility Status
- Conclusion (Practitioner – All Other Configs)
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Certificate of Course Completion from
Continuing Education
LCB/CES Credits: 12
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