This guidance document provides a non-binding framework to assist exporters in detecting, managing and mitigating the risks associated with dual-use goods (DUG) trade controls and ensuring compliance of such exchanges of DUG with the relevant legislation and regulations of both the Member States and the Union.
This document is also intended to support the competent authorities of the Member States in their risk analysis and in the exercise of their responsibility to take decisions on individual, global or general national export authorizations, brokering, transit of non-Community dual-use items or authorizations for the transfer within the Union of dual-use items listed in Annex IV to Regulation (EC) No 428/2009.
This recommendation of the Commission being non-binding; Exporters continue to assume the responsibility incumbent upon them to meet the obligations defined in particular in that Regulation. The Commission, for its part, must ensure that the document remains relevant over time,
Based on the “historical” studies and recommendations R 1540, Wassenaar … this recommendation has the advantage of constituting a European reference to refer to in case of need.
1. Management Commitment to Compliance
2. Organization Structure, Responsibilities and Resources
3. Training and awareness
4. Process and procedures for analytical examination of transactions
5. Performance evaluation, audits, notifications and corrective actions
6. Registration and documentation
7. Physical security and information
Custax & Legal is available to assist companies either revise their ICP (Internal Compliance Program) to incorporate elements of this recommendation that are not yet included or for those who have not an ICP yet, write one for them that will be based on a prior audit of their flows and organization in the matter.
PARIS, August 5, 2019