On 6th November, Steptoe & Johnson published a briefing on the non-binding guidance and recommendations on internal compliance programs (ICP) for dual-use trade controls under Council Regulation (EC) No 428/2009.  It points out that (implicitly) the EU Regulation provides that Member States shall take into consideration whether the exporter applies proportionate and adequate means and procedures for compliance when assessing applications for global export authorisations (i.e. authorisations granted in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users and/or in one or more specified third countries).  The guidance aims to provide a framework to help exporters identify, manage and mitigate risks associated with dual-use trade controls and to ensure compliance with the relevant EU and national laws and regulations; and the ICP should be tailored not only to the company’s specific business activity and related risks but also to the size, the structure and scope of the business.  The briefing identifies the 7 core elements of the guidance –

  • 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;
  • Recordkeeping and documentation; and
  • Physical and information security.

Annexes to the guidance provide a list of helpful questions pertaining to a company’s ICP, a list of “red flags” relating to suspicious inquiries or orders, and a list of EU Member States competent export control authorities.

This blog is primarily for my own use, to keep informed and up to date. However, if you would like to say thank you (and perhaps help me get a new, better laptop when I am away…) you can “buy me a coffee” at

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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