Classify a product, software or technology against the applicable dual-use control list and assign a control number.
Law & Contract Management
Export Controls, Dual-Use Item Classification and End-Use Screening
Equips trade compliance and legal teams to classify dual-use items, screen end-users and end-uses, and manage export licensing across multiple control regimes.
🗓️Duration5 training days
📚Content4 modules · 8 sessions
🎓On completionAccredited attendance certificate
About the programme
Course Overview
A single shipment of equipment, software or technical data can be lawful in one destination and a criminal offence in another, depending on how it is classified and who ultimately receives it. Export control regimes require exporters to classify their own products against dual-use control lists, screen every counterparty against restricted and denied party lists, and watch for end-use red flags that trigger a licensing requirement even for an otherwise uncontrolled item. This course walks through classification methodology, the structure of catch-all controls tied to weapons proliferation concerns, and the licence types and exceptions available once a control requirement is confirmed. Participants also work through deemed export risk, where sharing controlled technology with a foreign national employee counts as an export in itself, and build the internal compliance programme, screening cadence and recordkeeping that regulators expect to see during an audit or voluntary disclosure.
Expected Learning Outcomes
Determine which national or regional export control regime applies to a proposed cross-border transaction.
Screen counterparties against restricted and denied party lists and interpret a partial name match correctly.
Identify catch-all end-use red flags that require a licence even for an otherwise uncontrolled item.
Apply the correct licence type or exception, including general, open and specific individual licences.
Assess deemed export risk when controlled technology is shared with a foreign national employee or visitor.
Design a recordkeeping and internal audit programme that demonstrates export control compliance to regulators.
Who Should Attend
Trade compliance officers managing export licensing programmes
In-house counsel advising manufacturing and technology exporters
Supply chain and logistics managers handling controlled shipments
Engineers and product managers responsible for technology classification
Sales teams negotiating contracts with cross-border delivery terms
Internal auditors testing export control policies and screening logs
Course Modules
Select any module to see its sessions and points.
01Classification of Controlled Items
2 sessions · 8 points
Session 1Dual-Use Lists and Classification Numbers
- Navigate the structure of dual-use control lists organised by category, group and technical parameter.
- Assign an export control classification number by matching technical specifications against list entries.
- Distinguish military list items from dual-use items where both civilian and military uses are plausible.
- Document the classification rationale so it can be defended during a customs or regulator review.
Session 2Software, Technology and Intangible Transfers
- Classify encryption software and technology transfers that fall under specific control notes and exemptions.
- Assess whether cloud-based access to controlled technology constitutes a controlled export or transfer.
- Apply publicly available technology and basic scientific research exclusions where genuinely applicable.
- Track version and configuration changes that could shift a product into a different control category.
02End-Use and End-User Screening
2 sessions · 8 points
Session 1Restricted and Denied Party List Screening
- Screen customers, freight forwarders and financial intermediaries against consolidated denied party lists.
- Resolve partial name and transliteration matches using secondary identifiers such as address and registration number.
- Set screening frequency rules that re-check counterparties against updated lists before each shipment.
- Escalate confirmed list matches to legal and compliance before releasing an order for shipment.
Session 2Catch-All Controls and Red Flag Indicators
- Apply catch-all provisions that require a licence where an item may be destined for weapons proliferation.
- Identify commercial red flags such as unusual payment terms or reluctance to disclose the end-use.
- Investigate a red flag through an end-use statement, site visit or additional documentary evidence.
- Decide when a transaction must be declined or referred to a licensing authority for a formal ruling.
03Licensing and Authorisation Pathways
2 sessions · 8 points
Session 1Licence Types, Exceptions and General Authorisations
- Select between a specific individual licence, an open general licence and an available licence exception.
- Prepare a licence application with the technical description, end-use statement and supporting documentation.
- Track licence conditions, including reporting obligations and restrictions on re-export or diversion.
- Coordinate multi-jurisdictional licensing where a transaction touches more than one control regime.
Session 2Deemed Exports and Technology Control Plans
- Assess deemed export risk when foreign national employees or visitors access controlled technology or facilities.
- Design a technology control plan that restricts physical and electronic access by nationality where required.
- Brief hiring managers and HR on visa and nationality screening triggers for technical roles.
- Coordinate facility access controls with IT to prevent inadvertent deemed export through shared systems.
04Compliance Programme and Enforcement Response
2 sessions · 8 points
Session 1Internal Controls, Training and Recordkeeping
- Design an internal compliance programme with defined roles for classification, screening and licensing decisions.
- Set recordkeeping periods and document formats that satisfy statutory retention requirements.
- Deliver role-based training for sales, logistics and engineering staff on export control red flags.
- Build a self-assessment checklist used before onboarding a new product line or export market.
Session 2Voluntary Disclosure and Enforcement Interaction
- Assess when a voluntary self-disclosure to a licensing authority reduces the likely penalty for a violation.
- Prepare a voluntary disclosure narrative that sets out the root cause and corrective action taken.
- Respond to a regulator's request for information or an on-site compliance visit.
- Update the compliance programme following an enforcement action or a change in the control list.
What the participant receives
4 course modules
A structured syllabus
8 training sessions
across 5 days
32 detailed points
Applied, detailed content
Accredited attendance certificate
On completing the programme
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