Compliance for Academia and Research Institutions

In order to support the research institutions and the national competent authorities in their effort to ensure compliance with EU and national export laws and regulations, the European Commission and EU Member States have prepared a draft guidance.

The guidance will comprise the main elements that are essential to help researchers and research organisations to identify, manage and mitigate risks associated with dual-use export controls and to facilitate compliance with the relevant EU and national rules.

Before finalising the work on this non.binding guidance, which will take the form of a Commission Recommendation, a public survey is currently conducted to evaluate the usefulness of this draft guidance, providing the opportunity for relevant stakeholders to give their feedback and inputs.

The guidance has 4 sections:

  • Section 1 summarizes how research organisations can be affected by EU and national dual-use export control regulations and how important top-level management commitment to compliance is to implement proportionate and effective internal compliance measures.

  • Section 2 provides for awareness information for researchers, including the basics of dual-use export controls and the potential impact on research related activities.

  • Section 3 provides for specific guidance to compliance staff on how to set up and review an Internal Compliance Programme.

  • Section 4 gives an overview of the regulatory framework for dual-use export controls.

The guidance builds on the 30 July 2019 EU recommendation, existing material from EU Member States and best practices provided by research institutions. 

The EU survey is open until 30 November 2020 and is anonymous.

Links: Draft Guidance / Access to the Survey.


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