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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with EU and national export laws and regulations, the European Commission and EU Member States have prepared a draft guidance.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.

This non-binding guidance will take the form of a Commission Recommendation.

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.

Links: Draft Guidance

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