EU compliance guidance for

export controlled dual-use research

DR. JOHAN EVERSFlanders Department of Foreign Affairs, BelgiumStrategic Goods Control Unit

13 December 20192019 Export Control Forum

EU compliance guidance at a glance

Risk assessment

(dual-use trade risk profile)

7 core compliance elements

Checklist with questions to initiate

or review internal compliance

measures

Red flag questions

7 core elements

Transaction

screening process

and procedures

Top-level

management

commitment to

compliance

Recordkeeping

and

documentation

Organisation

structure,

responsibilities

and resources

Training and

awareness raising

4

1 2

3

5Performance review,

audits, reporting and

corrective actions

6

7Physical and

information security

4

Possible different roles

Traditional exporters

• (second hand) Testing equipment

• Materials (chemicals, viruses, toxines, composites, alloys, ….)

• Information security hardware or software

• Semiconductor samples

• Radioactive reference materials

• …

Exporters of technology

• Publications

• Conferences

• Research collaboration(externally funded research)

• Consultancy services

• Technical assistance

• Prototype or experimentaldevelopment

• Spin-off activities

• Visiting scholars and staff

• Summer schools

• Online courses

• …

Main challenges

• Technologies with dual-use potential

• Dual-use research of concern

• Emerging technologies

• Key-enabling technologies

• Export controlled dual-use technologies

• …

Terminology

Meaning of technology and application of de-control notes (basic scientific research and public domain)

Basic notions of export control

Internal compliance measures (7 core elements)

Illustrations and enforcement cases

Technology Readiness Levels ?

National guidance on export controls for academia

Draft content non-binding guidance

Part 1 – Tailored guidance on

dual-use trade controls

• What are the trade control

objectives?

• How can academic research be

impacted by trade controls?

• Regulatory framework

• Compliance measures

• Summary

Part 2 - Factsheets

In the public domain

Basic scientific research

Methodology and tentative timeline

Export Control Forum 2020 – Launch guidance

Fall 2020 - Adoption and translation

June 2020 – Public consultation phase

January / April 2020 – Next TEG meetings

October 2019 – Second TEG meeting with academic representatives

June 2019 - First TEG meeting

Under mandate of the Dual-Use Coordination Group

R&D organisations

EU Members States andEuropean

Commission

Thirdcountriesbilaterally

How can you help us?

Examples of best practices

Relevant red flag questions

Research relevant cases

Feedback on nationalguidance

Dr. Johan Evers

Johan.Evers@buza.vlaanderenT: +32499771678

Flanders Department of Foreign Affairs, BelgiumStrategic Goods Control Unit

Havenlaan 88 box 801000 Brussels - Belgium