On 30 of July 2019 European Commission adopted Commission Recommendation (EU) 2019/1318 on internal compliance programmes for dual-use trade controls under Council Regulation (EC) No 428/2009 (OJ L 205/15)
Effective controls on trade in dual-use items — goods, software and technology — are vital for countering risks associated with the proliferation of Weapons of Mass Destruction (WMD) and the destabilising accumulations of conventional weapons. Companies dealing with dual-use items are obliged to comply with strategic trade control requirements imposed under the laws and regulations of the European Union and its Member States.
In order to support companies to maintain strict compliance with the relevant EU and national laws and regulations, this guidance provides a framework to identify and manage dual-use trade controls' impact and mitigate associated risks. The guidance focuses on the 7 core elements for an effective ICP.
The guidance focuses on the 7 core elements for an effective ICP. Each core element is further detailed by a section ‘What is expected’ that describes the objective(s) of each core element, and a section ‘What are the steps involved?’ that further specifies the actions and outlines possible solutions for developing or implementing compliance procedures.
The following core elements are essential for an effective dual-use trade control Internal Compliance Programme:
1. Top-level management commitment to compliance
2. Organisation structure, responsibilities and resources
3. Training and awareness raising
4. Transaction screening process and procedures
5. Performance review, audits, reporting and corrective actions
6. Recordkeeping and documentation
7. Physical and information security
Commission Recommendation (EU) 2019/1318 on internal compliance programmes for dual-use trade controls under Council Regulation (EC) No 428/2009 concludes with a set of helpful questions pertaining to a company's ICP and a list of diversion risk indicators and ‘red flag’ signs about suspicious enquiries or orders.
EXPORT CONTROL HANDBOOK FOR CHEMICALS
The European Commission's science and knowledge service that supports EU policies with independent scientific evidence throughout the whole policy cycle, the Joint Research Centre (JRC), created the 'Export control handbook for chemicals'.
The 'Export control handbook for chemicals' allows its users to orient themselves among the collection of export regulations in force, limiting the risk of mistakes and penalties.
The handbook is therefore a valuable tool for helping exporters to follow the necessary procedures, protecting citizens from unauthorised exports, while at the same time safeguarding EU competitiveness, preventing reputational losses and financial penalties to the economic operators, or worse consequences.
At the same time, the authorities may benefit of the collection of information and easy to navigate summary of codes to swiftly search through the chemicals and verify what kind of authorisations they might require.
COMMISSION RECOMMENDATION ON INTERNAL COMPLIANCE PROGRAMMES FOR CONTROLS OF RESEARCH INVOLVING DUAL-USE ITEMS
On 13 September 2021 European Commission published in Official Journal Commission recommendation on internal compliance programmes for controls of research involving dual-use items under Regulation (EU) 2021/821 of the European Parliament and of the Council setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items.
This guidance is developed to help research organisations and their researchers, research managers and compliance staff to identify, manage and mitigate risks associated with dual-use export controls and to facilitate compliance with the relevant EU and national laws.
This guidance is adopted pursuant to Regulation (EU) 2021/821 of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items. The Commission may update it in the future in light of evolving circumstances, including any relevant revisions of the EU export control system.