Programme overview
Introduction:
Export controls and sanctions compliance, covering dual-use classification, screening and licensing, is a 5-day course for export compliance, engineering, sales and logistics teams that ends with an Export Control Internal Compliance Programme and Licensing Plan for a case organisation. Exporters of controlled items face seized consignments, revoked licences and penalties when a product is misclassified, a buyer appears on a sanctions list too late, or controlled technology leaves by email or a site visit. Nominees already handle orders, product data or shipments and learn through case study on classification and licence files. CoreConcept Training Center delivers this export controls course.
Course Objectives:
- Determine whether goods, software and technology fall under dual-use or military control list entries by matching technical parameters
- Apply catch-all end-use controls and recognise when an unlisted item still requires an export licence
- Screen customers, consignees, intermediaries and end users against sanctions and restricted-party lists and resolve potential matches
- Verify end-user certificates and end-use statements and assess diversion red flags before an order is accepted
- Prepare export licence applications and administer licence conditions, re-export limits and intangible technology transfers
- Design an export control internal compliance programme with procedures, training, record keeping, audit and voluntary disclosure
Target Audience:
- Export compliance and trade control staff responsible for classification records and licence files
- Engineering and product management staff responsible for the technical data behind controlled items
- Sales and contract administration staff responsible for order acceptance and customer onboarding in defence, technology and industrial exporters
- Logistics, freight forwarding and shipping staff responsible for consignment release and routing checks
- Research and IT staff responsible for sharing controlled technology with overseas partners and visitors
Course Outline:
Day 1: Export Control Foundations and Exposure Assessment
- Dual-Use Item Definition Across Goods, Software and Technology
- Wassenaar Arrangement, Nuclear Suppliers Group and Australia Group Scope
- MTCR Category I and Category II Restraint Principles
- Physical Export, Re-Export and Intangible Transfer Triggers
- Export Control Exposure Assessment by Product and Destination
Day 2: Control Lists, Classification Logic and Sanctions Regimes
- Wassenaar Dual-Use List Categories and Item Type Codes
- Wassenaar Munitions List Entries for Military Goods
- Technical Parameter Matching Against Control List Thresholds
- Catch-All End-Use Controls for Unlisted Items
- Sanctions Regime Types Covering Embargoes, Asset Freezes and Sectoral Measures
Day 3: Classification, Screening and Licence Applications in Practice
- Item Classification Worksheet and Engineering Sign-Off Record
- Restricted-Party Screening Workflow With Fuzzy Match Review
- End-User Certificate and End-Use Statement Verification
- Export Licence Application Dossier With Technical Specifications
- Licence Conditions Register and Quantity Drawdown Tracking
Day 4: Diversion Red Flags, Technology Transfer and Programme Controls
- Diversion Red-Flag Indicators in Orders, Payments and Routing
- Transshipment and Re-Export Risk Through Intermediary Hubs
- Intangible Technology Transfer Controls for Cloud, Email and Visits
- Internal Compliance Programme Elements From Commitment to Audit
- Voluntary Disclosure Decision Tree for Suspected Violations
Day 5: Case Study Build of the Export Control ICP and Licensing Plan
- Case Organisation Product Portfolio Classification Matrix
- Case Order Screening and End-Use Review File
- Case Licensing Determination and Conditions Plan
- ICP Procedure Manual, Training Plan and Audit Schedule
- Export Control ICP and Licensing Plan Completion
Skills You Will Gain:
- Control List Classification
- Catch-All Assessment
- Restricted-Party Screening
- End-Use Verification
- Diversion Risk Analysis
- Export Licence Preparation
- Technology Transfer Control
- ICP Design and Audit
Why Attend This Course:
- Deliver an Export Control ICP and Licensing Plan to the compliance head, the export control board or senior management
- Decide whether an order may proceed, needs a licence or must be stopped after screening and end-use review
- Avoid held consignments, revoked licences and enforcement penalties caused by misclassified items or missed sanctions matches
- Share classification worksheets, screening procedures and red-flag checklists with engineering, sales and logistics colleagues
Conclusion:
Back at work, the participant hands the Export Control ICP and Licensing Plan to the compliance head, the export control board or senior management. They use it to assign classification ownership for each product line, set the screening and end-use checks an order must pass before acceptance, decide which shipments and technology transfers need a licence, and agree how suspected violations are escalated. After its first use, the unit should compare held orders, screening matches and licence outcomes with the plan, then refine the classification matrix, red-flag list and audit schedule.
Frequently Asked Questions (FAQ):
What should participants know before an export controls and sanctions compliance course?
Participants should already work with orders, product specifications or shipments of goods, software or technology. No prior licensing experience is expected. Bringing an anonymised product datasheet, a past order file or an existing export procedure helps them apply the case study to their own organisation.
How does export controls and sanctions compliance differ from a customs compliance or anti-money laundering course?
It decides whether an item, buyer or destination may receive controlled goods and technology at all: control list classification, end-use checks, party screening and licensing. Customs courses cover tariff classification, valuation and duties, and anti-money laundering courses cover customer due diligence and transaction monitoring in finance.
Why does export controls and sanctions compliance apply to items that appear on no control list?
Catch-all end-use controls still require a licence when the exporter knows or is told that an unlisted item may support weapons programmes or a military end use. Screening and end-use review therefore matter for every order, not only for listed items.
What do participants take back from the export controls and sanctions compliance course?
Participants take back an Export Control ICP and Licensing Plan for a case organisation, with a product classification matrix, a screening and end-use review file, a licence conditions register and an ICP procedure, training and audit schedule ready to adapt to their own products.