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ICP: Internal compliance programmes for controls of research involving dual-use items

An effective, uniform and consistent system of export controls on dual-use items are necessary to promote EU and international security, says EU (S.P)

On 23 September 2021, the European Commission has published the Recommendation (EU) 2021/1700 of 15 September 2021 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.

Following the entering into force of the new EU Dual-Use Regulation 2021/821 on September 9, and in accordance with its art. 26.1, the Commission has made available a guidance specifically targeted to academia to help research organizations in putting in place or reviewing a set of internal policies and procedures, also known as an Internal Compliance Programme (ICP), in order to comply with export control obligations governing research activities involving dual-use items.

Among other things, the guidance points out some research areas and scenarios that could trigger dual-use export controls. It also offers a list of red flags and several examples of ICP structure in a research organization.

Already in July 2019, the Commission had published another ICP guidance more targeted to industry (Recommendation (EU) 2019/1318 of 30 July 2019 on ICP for dual-use trade controls). These guidances, although not legally binding, they are a useful instrument to comply with the legal obligations under the EU Dual-Use Regulation 2021/821.

Common approaches and practices as regards internal compliance programmes can contribute to a uniform, efficient, effective and consistent application of controls throughout the EU.

Taking into consideration the growing importance of export controls within integrated markets, the rapid scientific and technological advancements, the role of research organisations and researchers and how the European research and innovation sector can attract public and private investments from across the world, the effectiveness of export controls depend to a great extent on the awareness of research institutions and their active efforts to comply with export restrictions.

To this end, research institutions can put in place a set of internal policies and procedures, also known as an Internal Compliance Programme.

This recommendation provides a framework to help research organisations and 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 and regulations.

This recommendation also provides a framework to support Member States competent authorities in developing specific outreach programmes, as well as in their assessment of risks related to research activities, in the exercise of their responsibility for deciding on export authorisations for dual-use items listed in Annex I of Regulation (EU) 2021/821.

Download the ICP Recommendations

Internal compliance programmes for controls of research involving dual-use items - CELEX_3
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