Export Control

The Department of State has concluded an administrative settlement with AeroVironment, Inc. (AV) of Simi Valley, California, to resolve alleged violations of the Arms Export Control Act (AECA), 22 U.S.C. § 2751 et seq., and the International Traffic in Arms Regulations (ITAR), 22 C.F.R. Parts 120-130. The Department of State and AV have reached this settlement following an extensive compliance review by the Office of Defense Trade Controls Compliance in the Department’s Bureau of Political-Military Affairs.

The Department of State and AV have reached an agreement pursuant to ITAR § 128.11 to address alleged unauthorized exports of defense articles, including technical data; the failure to properly maintain records involving ITAR-controlled transactions; and violations of the provisos, terms, and conditions of export authorizations. The settlement demonstrates the Department’s role in strengthening U.S. industry by protecting U.S.-origin defense articles, including technical data from unauthorized exports. The settlement also highlights the importance of obtaining appropriate authorization from the Department for exporting controlled articles as well as maintaining proper records of such exports.

Under the terms of the twenty-four (24) month Consent Agreement, AV will pay a civil penalty of $1,000,000. The Department has agreed to suspend $500,000 of this amount on the condition that the funds have or will be used for Department-approved Consent Agreement remedial compliance measures. AV must also hire an outside Special Compliance Officer (SCO) for a term of one year and conduct an external audit to assess and improve its compliance program during the Consent Agreement term.

AV voluntarily disclosed to the Department the alleged AECA and ITAR violations, which are resolved under this settlement. AV also acknowledged the serious nature of the alleged violations, cooperated with the Department’s review, and instituted a number of compliance program improvements during the course of the Department’s review. For these reasons, the Department has determined that it is not appropriate to administratively debar AV at this time.

The Consent Agreement and related documents will be available for public inspection in the Public Reading Room of the Department of State and on Penalties and Oversights Agreements section of the Directorate of Defense Trade Controls’ website.

For additional information, please contact the Bureau of Political-Military Affairs’ Office of Congressional and Public Affairs at pm-cpa@state.gov.


State Department Press Release


Notice to exporters 2019/15: UK exporters fined for unlicensed exports

Published 12 November 2019


Notice to exporters 2019/15

Due to popular demand, we will run an extra Making Better Licence Applications Course on 5 November in London

Making Better Licence Applications (MBLA)

Date: 5 November 2019
Time: 9am to 1:30pm (lunch will be provided)
Cost: £108

Venue: Radisson Blu Edwardian Hampshire, 31-36 Leicester Square, London, WC2H 7LH

The aim of this course is to reduce the number of Requests for Further Information (RFIs) and withdrawn/stopped cases returned to licence applicants.

Attendees will be taken step-by-step through the licence application process on SPIRE for strategically controlled military and dual use items. The type of information required, and the reasons for requiring that information, will be explained at each stage, identifying common pitfalls and mistakes.

There will also be an opportunity to share best practice with other attendees.

Standard Individual Export Licence (SIEL) End Use Undertaking requirements will also be covered and the End-User Advice service will be explained

Please contact Denise Carter (denise.carter@trade.gov.uk) on 020 7215 4459 for more information or fill out the application form at the back of the current Training Bulletin


For general export control queries please contact our Helpline on 020 7215 4594 or email: exportcontrol.help@trade.gov.uk

Business Awareness Unit  Export Control Joint Unit


EU Notice

The next Export Control Symposium will take place in Birmingham on Tuesday 26 November 2019

This event is for companies with fewer than 250 employees. Cost per delegate is £150.

Please note that places are limited and will be allocated on a first-come, first-served basis.

Read more agenda details and complete the online application form:



For general export control queries please contact our Helpline on 020 7215 4594or exportcontrol.help@trade.gov.uk


Business Awareness Unit  Export Control Joint Unit


Strategic export control learning path

  1. Foundation Workshop – for those with little to no knowledge of the UK’s strategic export controls who need a basic overview in applying for licences

  2. Intermediate/Practitioners course for those who have some training (such as our Foundation workshop), reviewed the Consolidated Control Lists, and need to put the whole export control process in context

  3. Targeted courses:

  • Making Better Licence Applications – for those whose role includes making basic export licence applications

  • Control List Classification course – for those whose role includes deciding the Control List Classification (CLC) of goods to be exported

  • Sector Specific courses – run annually, or every few years, covering a variety of business sectors and licensing processes

  • Licences Workshop – aimed at improving the permissions exporters obtain to export, reducing the number of licences required and compliance with open general licences

Foundation course (previously known as beginners)

Duration: half-day

Cost: £118

Pre-course knowledge: None

A general introduction to ‘strategic’ export controls for those new to the subject. Provides a foundation on the export and trade controls covering military, dual use, Weapons of Mass Destruction (WMD) and human rights goods, software and technology and how to apply for a licence.

Topics will include:

  • why have controls?

  • what’s controlled?

  • what is meant by ‘technology’ and how it may affect you

  • types of export licences

  • compliance and enforcement

After the workshop, you will be sent a short assessment module to test your learning, before you can be awarded a certificate of achievement. The assessment module, delivered by Cranfield University, will be in the form of an online quiz with multiple-choice answers.

If this course is the first step in the Learning Path, it is recommended that attendees use their new knowledge to assess how Export Controls apply at their place of work before attending further training. This course can also be used to provide general awareness of Export Controls.

Personal data will not be disclosed to third parties and will only be held for the purpose of completing the assessment module. Any information about you will be held securely by Cranfield University, in accordance with the GDPR and Data Protection Act 2018. Read more about the personal information charter of the Department for International Trade.

We will need to pass minimal personal details (your name, company name and email address only) to Cranfield University to complete the assessment module for the Foundation Workshop.

Intermediate course

Duration: full day

Cost: £150

Pre-course Knowledge: You should have some previous knowledge of export controls and be aware of the Consolidated list of strategic military and dual-use items that require export authorisation before attending this course.

A more detailed look at the different elements of controls, the licence assessment process and the actions you need to take to remain compliant.

The day will comprise a series of presentations and exercises:

  • control Lists that affect the UK

    • International regimes and the consolidated control list

    • What does ‘specially designed or modified for military use’ mean?

    • How to read ‘Dual Use’ text and make an assessment

  • Technology

    • export control definition of the term ‘technology’

    • how a company can determine if their technology is licensable and where the technology controls can be found

    • different means of technology transfer

    • compliance and record-keeping related to technology

  • trade – the range of trade controls, including trafficking and brokering of goods and specified activities controls

  • end-use controls – Weapons of Mass Destruction (WMD catch-all) and military end-use controls

  • licence types and the licensing process

    • different types of licence

    • common pitfalls when completing a licence application

    • how decisions are made when issuing or refusing a licence

    • End User Undertaking Workshop

  • compliance – why you will receive a compliance visit and what to expect.

  • concluding remarks including staff training

    • ideas for staff training, and why it is so important

    • why things go wrong and the consequences

We recommend you review the Learning Path and think carefully about what you need to achieve from these courses, before deciding which level suits you best.

Targeted courses

Licences workshop

Duration: half-day

Cost: £108

Pre-course Knowledge: You will have some experience of making licence applications (if relevant) and undertaken prior training from the learning path.

This workshop is aimed at improving the efficiency and effectiveness of licences obtained to export strategically controlled military and dual-use items. This will result in fewer licences needed and improved compliance.

With the wealth of export control licences available to UK exporters, finding the right one to enable your company to export efficiently can be daunting. Based on course feedback, input from the SPIRE replacement program (LITE), and our Compliance Unit, this course is a development of our Making Better Licence Applications workshop. We will guide exporters through the licence types available – deciding which one is right for your export.

Attendees will first be taken through the core Standard and Individual Export Licence (SIEL) application screens to demonstrate how prior planning can reduce the number of ‘Requests For Information’ (RFIs).

The course will then consider Open General Licences (OGLs and EU GEAs), covering what is available, online resources and how to read OGLs to improve compliance with the terms and conditions.

Making better licence applications – London only

Duration: half hay

Cost: £108

Pre-course Knowledge: none, although having a SPIRE account and some experience of making Standard Individual Export Licence (SIEL) applications will help you get the most benefit out of this course.

The course aims to reduce the number of Requests for Further Information (RFIs) and withdrawn/stopped cases returned to licence applicants.

Attendees will be taken step-by-step through the licence application process on SPIRE for strategically controlled military and dual use items. The type of information required, and the reasons for requiring that information, will be explained at each stage, identifying common pitfalls and mistakes.

There will also be an opportunity to share best practice with other attendees.

Standard Individual Export Licence (SIEL) End Use Undertaking requirements will also be covered and the End-User Advice service will be explained.

Control List classification course – London only (dates TBC)

Duration: full day

Cost: £240

Pre-course knowledge: You will have some knowledge or experience of the classification (rating) process. We recommend the foundation workshop or intermediate seminar first.

A course to provide guidance on identifying the control list entries that apply to your goods software and technology.

Workshops will concentrate on classifying military and dual-use goods:

  • export control lists – where they come from, including relevant legislation

  • military goods and dual-use goods – how to find them on the relevant list

  • understanding control list entries

  • basic classification exercises – examples

  • software and technology controls

  • classification exercises using the Goods Checker tool

  • introduction to the OGEL (Open General Export Licence) Checker

Class sizes for this course are limited and we often have a waiting list. If you book and subsequently find you cannot attend, please let us know so that we can offer your place to someone else.

More information

To register for any of these events, please complete the form attached to this bulletin, (1 form per attendee) and return it to:

Denise Carter, Events Manager

Export Control Joint Unit 
Department for International Trade 
3 Whitehall Place 
London, SW1A 2AW UK 


Tel: 020 7215 4459 Fax: 020 7215 0531


We do not have the facility to accept debit or credit card payments.

  • the cost of each event (per delegate) is shown on the registration form attached – you will be invoiced after the event

  • payment can be made by BACS transfer or by cheque payable to ‘DIT’

  • if using a Purchase Order for payment, please ensure that Purchase Order details are sent with the registration form to the Export Control Joint Unit (ECJU) address above

  • attendance at your chosen event is only assured once you have received confirmation from us

Cancellation policy

Training places are limited, so cancellation after we have confirmed attendance must be received by the Events Manager in writing or by email at least ten working days before each event – otherwise course costs may be charged/invoiced accordingly.

If we have to cancel a training course or event, any attendance fees already paid will be reimbursed without undue delay or used as credit for a future course. However, as the ECJU only makes a nominal change for attendance on its training courses to cover its basic costs, any further claims on the part of the delegate are excluded.

Acknowledgement and confirmation

On submission of a registration form (and purchase order if appropriate), an acknowledgement will be emailed to you within 5 working days. This is also confirmation that your place has been reserved. Please ensure that the contact email address is clear, accurate and clearly highlighted, if different to the attendee’s email address.

For bulk bookings, please ensure that you give us name and contact details for each attendee, so that certificates and places can be arranged.

Venue details and a final agenda will be sent (by email) to the attendees about 2 weeks before the course date. If you have registered to attend a course and have not received these details by 5 working days before the course, please contact us.

By completing the registration form, you are indicating that you have read and considered that the level of training on offer is suitable, and that you understand you will be charged for each cancelled event in accordance with the cancellation conditions above.


September-December 2019 Export Control Training Bulletin



Dear subscribers


Defence Export Controls (DEC) is delivering an outreach program at the University of Western Australia on Thursday 3 October 2019. DFAT will be providing an overview of Australia’s sanctions regimes as part of the whole of government session. This event is targeted at exporters of defence and strategic goods, and others across the defence industry.


If you would like to participate, please click on the link to register your attendance below.


Date: Thursday 3 October 2019

Location: University of Western Australia – please see Eventbrite for exact location (click on the link below)

Registration: https://www.eventbrite.com.au/e/defence-export-controls-outreach-perth-3-october-2019-tickets-66528323005?aff=ebdssbdestsearch


We will advise subscribers of details of further outreach sessions for 2019 and for 2020 once arrangements have been finalised.


Kind regards


Sanctions Section