EU AND MEMBER STATES CONSULTATION ON DRAFT GUIDANCE ON CORE ELEMENTS THAT SHOULD BE INCLUDED IN INTERNAL COMPLIANCE PROGRAMMES (ICP) FOR EXPORT DUAL-USE ITEMS

On 25th September, the UK Department for International Trade published Notice to Exporters 2018/23 which says that effective ICP programmes are a key element of the Commission’s proposals to modernise dual-use export controls in EU Regulation (EC) 428/2009.  Hence the development of non-binding guidance on best practice.  The consultation closes on 15th November.  The Regulation does not explicitly allude to the ICP mechanism, but Article 12(2) urges Member States – when assessing an application for a global export authorization – to “take into consideration the application by the exporter of proportionate and adequate means and procedures to ensure compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisation”.  Consequently, in some Member States, the implementation of an ICP gives exporters access to simplified procedures for the export of dual-use items.  Also, some Member States refer to ICP requirements in their national legislation or in their practice for the application of controls.  Internationally, ICP are increasingly considered as a key element of effective export control systems, as illustrated, for example, by the Wassenaar Arrangement Best Practice guidelines.  The draft guidance focuses on the following 7 core elements: Top-level management commitment to compliance; Organisation structure, responsibilities and resources; Training and awareness raising; Transaction screening process and procedures; Performance review, audits, reporting and corrective actions; Record-keeping and documentation; and Physical and information security.

https://www.gov.uk/government/publications/notice-to-exporters-201823-european-commission-launches-survey-on-draft-guidelines-for-internal-compliance-programmes-icps/notice-to-exporters-201823-european-commission-launches-survey-on-draft-guidelines-for-internal-compliance-programmes-icps

The survey is at –

https://ec.europa.eu/eusurvey/runner/ICPguidelines2018

Author: raytodd2017

Chartered Legal Executive and former senior manager with Isle of Man Customs and Excise, where I was (amongst other things) Sanctions Officer (for UN/EU sanctions), Export Licensing Officer and Manager of the Legal-Library & Collectorate Support Section

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