Standards EU EC1001 - EIFEC - EU Export Compliance

Export Compliance defined

Export Compliance is a specialized multidisciplinary framework, which provides support to Organizations in Export Compliance Risk Management, i.e. the risk of legal or administrative sanctions, financial losses or reputation deterioration for failing to comply with laws, regulations and legislation, codes of conduct and good practice ("laws, regulations and rules").

Export Compliance covers all activities of import and export of goods and/or services, tangible and intangible assets (including the transfer of means of payment, that somehow are subject to regulations applicable to transactions between two different states/jurisdictions.

The term Organizations refers to all Bodies, companies of any nature, associations, both public and private that have activities falling within the scope of EU Export Compliance Framework (EU-ECF).

Export Compliance supports the Organization’s business objectives, identifies the boundaries of legal and ethical behavior, and establishes a system to alert management when the organization is getting close to (or crossing) a boundary or approaching an obstacle that prevents the achievement of a business objective.

EU Export Compliance Framework (EU-ECF)

EU-ECF framework provides innovative solutions to the most critical challenges in a global marketplace becoming a very complex arena for businesses to navigate.

Major events have produced legislations and regulations at international and national level; the complexity of legal frameworks is shaping the way organizations do their business.

If originally the threat of dual-use items being used for wrongful purposes was the main concern, today challenge covers all activities of import and export of goods and/or services, tangible and intangible assets (including the transfer of means of payment, that somehow are subject to regulations applicable to transactions between two different states/jurisdictions.

In a globally integrated world, efficient export compliance is only possible with co-operation at a European and international level.

The EU Governments rely on the due compliance of exporters to help ensure that all laws are abided.

The strategic Response is the specialized multidisciplinary EU Export Compliance Framework (EU-ECF) that supports the organization’s business objectives, identifies the boundaries of legal and ethical behavior, and establishes a system to alert management when the organization is getting close to (or crossing) a boundary or approaching an obstacle that prevents the achievement of a business objective.

EU-ECF includes:

The EU Code of Export Compliance (EU-CEC), which set the principles, best practice and Standards for the import/export industry to be adopted by EU and not EU organizations.
The EU Export Compliance Guide Lines (EU-ECGL) for implementing the EU-CEC
The EU Export Compliant Organization certification (EU-C/ECO) to verify the proper EU Export Compliance behaviours and processes.
The EU Export Compliance Register (EU-ECR) with the purpose to enhance the implementation of EU Export Compliance best practice. A Register for Organizations and self-employed individuals engaged in EU import/export and policy implementation has been activated
The EIFEC Registration Number (ERN) is attributed for the purpose of identifying organizations or persons in order to ensure their traceability on an EU level. This prevents abuse and allows to establish the identity of the Certified Organization in a simple way.
The EIFEC EC1001 STANDARDS series are principles-based standards to help organizations become more accountable, transparent and after all competitive. They address issues affecting governance, export models and organizational strategy, as well as providing operational guidance on export management and stakeholder engagement.

EU Export Compliance Code (EU-CEC)

The European Code of Export Compliance (EU-CEC) aims to encourage the dissemination of good practices in Export Management Compliance as defined in the EU Export Compliance Framework (EU-ECF) with all EU and non EU actors in Export Compliance involved in import / export of goods and services.

The purpose of the Code is to provide Organizations with an internationally accepted, easy available set of principles to frame and structure the way in which they understand, govern, administer, implement, evaluate and communicate their Export Compliance.

Principles are primarily intended for use by organizations developing an accountable and strategic approach to Export Compliance. They will help such an organization understand, manage and improve its Compliance performance.

The value of these principles lies in their comprehensive coverage and the flexibility of their application.

Those who adhere to this self-regulatory code will find the basic principles, values, practices and standard to implement effective management programs in line with the EU and National States regulations (Compliance).

This edition updates the previous edition of September 2010. The principles and values are kept unchanged, but take account of the experiences and real monitoring and control have occurred during these months.It takes also into account the changes (legislative and practice) that occurred during this period and especially of the latest EU regulations.

This Code describes the guiding principles and practices to promote an European culture of compliance with the rules and laws (Compliance) within the financial, economic, industrial, associative system of private and public sectors.

EIFEC aim to contribute by all appropriate steps to disseminate among the Organizations behaviors of excellence through proper management, transparency and audit of the activities performed in the production and transfer of goods and services.

You will determine how to support the operational management of compliance risk, i.e. the risk of legal sanctions (civil and / or criminal) or administrative, financial losses or deterioration/loss of reputation for non-compliance with laws and regulations applicable rules, codes of conduct and good practices.

Download the EU Code for Export Compliance ( EU-CEC)

EU EXPORT COMPLIANCE GUIDELINES (EU-ECGL)

Eifec has prepared, based on the EU-CEC and EIFEC 1001 Standards a set of Guidelines for the following categories:

• EU Organizations (General Export Compliance). These Guidelines promote good Export Compliance practices and have been developed to help Organizations to create an effective European Export Compliance Administration Program (EU-ECAP) that will minimize the risk of noncompliance with export laws.
• Non EU Organizations (specific for countries as Iran, Syria etc.) These Guidelines promote sound Export Compliance practices to help Non EU Organizations to comply with EU Regulations and to be certified as EU Certified Export Compliant Organization (EU-C/ECO).
• EU Export Compliant Certification (for Certifying Agents). These Guidelines provide the framework for Audit, Certification Agents and other accredited entities to carry out the verification and certification of Organizations inrelation to EU-CEC and EU Charter membership

• Export Compliance Officers. These Guidelines provide guidance for Organizations and individuals that seek accreditation of EIFEC to perform professional activities in Export Compliance domain.

All Guidelines provide a simple Why, What, When, Where, How, By Whom scheme with annexes illustrating cases and step by step set up of a European Export Compliance Administration Program (EU-ECAP).

The Institute will assist all Candidate with informations regarding these Guidelines. Further assistance can be search with accredited EU Export Compliance Agents in the organization's country.

These guidelines are for now available only to Candidate EU-CEC members after their candidacy has been approved by the Governors Council.

EU Certified Export Compliant Organization certification (EU-C/ECO)

Compliance assessment is defined as a "demonstration that specified requirements relating to a product, process, system, person or body are fulfilled." There are many of these compliance assessment activities applied in today’s marketplace including accreditation, certification, inspection, registration, supplier’s declaration, and testing.

The one dimension that EIFEC is directly engaged with is accreditation and certification.

Ultimately, the marketplace and customers of compliance assessment services measure the beneficial value of Certification. For most suppliers, the primary benefit of accredited third-party certification is to meet a purchaser’s or regulator’s requirement for this independent evaluation of Compliance.

Increasingly, suppliers’ procurement organizations are specifying and government agencies are recognizing accredited, third-party certification as an optional dimension of their systems for risk management.

In the rapidly growing complex area of EU export laws, EIFEC verification, validation and certification bodies have recognition of the EU Export Compliance programs for Organizations and individuals.

Undergoing the EU Export Compliance Certification process signals a clear indication that an organization desires to have a competitive advantage by undergoing a voluntary evaluation.

Encourages marketplace confidence in EU Certified Export Compliant Organization (EU-C/ECO) by their undergoing regular impartial and independent audits by an internationally respected body.

Go to EU-C/ECO

EU EXPORT COMPLIANCE REGISTER (EU-ECR)

The EU Export Compliance Register (EU-ECR) has been set up to offer a single EU Code of Conduct and EU Export Compliance Commitment, binding all Organizations and self employed individuals which accept to “play by the rules” in full respect of ethical principles.

It provides Institutions and Organizations with a direct and single access to information about who is committed to:

Promote and disseminate excellency behaviors through managerial correctness, transparency and verifiability of export activities.

Operate within an Export Compliance Framework in line with EU regulations and National States laws.

In addition the EU Export Compliance Register is listing:

All Organizations that have adopted the EU-CEC and have successfully past the verification/ certification process becoming so a EU Certified Export Compliant Organization (EU-CECO / Charter Member)
EIFEC Registration Number (ERN), which is the ID number of a Certified Organization and Certification Expiry date, which allows EU National Authorities or Registered Financial Institutions to verify the updated certification validity when needed.

A complaint and sanctions mechanism ensures the enforcement of the rules and to address suspected breaches of the code and or the EU-CEC.

The European Export Compliance Register has been set up and is operated by the EIFEC Register Secretariat (ERS) of the European Institute for Export Compliance.

Go to the Register

EIFEC REGISTRATION NUMBER (ERN)

EIFEC acts as the European Registration Secretariat for all registrant to the EU Export Compliance Register(EU-ECR).

An EIFEC Registration Number (ERN) is attributed for the purpose of identifying organizations or persons in order to ensure their traceability on an EU level.

This prevents abuse and allows to establish the identity of the Certified Organization in a simple way.

The ERN is available for consultation only to those who are entitled as Eu National Authorities or Registered Financial Institutions.

Organizations that have received the EU Certified EU Certified Export Compliant Organization (EU-C/ECO) Certification can use the ERN in all their communications with any parties to allow the authentication that the Certification is still valid.

EIFEC EC1001 Standards

The EIFEC EC1001 STANDARDS series are principles-based standards to help organizations become more accountable, transparent and after all competitive.

They address issues affecting governance, export models and organizational strategy, as well as providing operational guidance on export management and stakeholder engagement.

The EIFEC EC1001 standards are designed for the integrated thinking required by complex global economy.

The Standards are developed through a multi-stakeholder consultation process and are used by a broad spectrum of organizations -- multinational businesses, small and medium enterprises, governments and civil societies.

EC1001OPS provides a framework for an organization to identify, prioritize and respond to its export compliance challenges.

EC1001ECOS Export Compliance Officer standard provides a methodology for Export Compliance practitioners to evaluate the nature and extent to which an organization adheres to the Export Compliance Code Principles.

European Compliance Framework: Glossary

Accountability	Principle of acknowledging, assuming responsibility for and being transparent about the impacts of their policies, decisions, actions, products and associated performance.
Bodies	Alternative term for Organisation.
Consistency	Principle of having coherent behaviour with policies and statements. The behaviour must be regular and constant.
Effectiveness	Principle of using all available means with highest efficacy to pursue the goals to highest degree.
EIFEC	Is the acronym for the European Institute for Export Compliance.
EIFEC Number ERN	Is the ID number of a Certified Organization (EU-C/ECO) attributed for the purpose of identifying Organizations or persons in order to ensure their traceability on an EU level.
EIFEC Standards	Are principles-based standards providing frameworks to help organisations become compliant. They address issues affecting governance, export models and organisational strategy, as well as providing operational guidance on export management and stakeholder engagement.
EU	Is the acronym for European Union.
EU Directive	Is a legislative act of the European Union which requires member states to accomplish a specific result without commanding the methods of attaining that result.
EU Regulation	Is a legislative act of the European Union that becomes immediately enforceable as law in all member states at the same time.
EU-CEC	Is the acronym for European Code of Export Compliance.
EU-C/ECO	Is the acronym for European Export Compliant Organization. Certification issued to Organizations or Individuals that have succefully past the Verification/ Certification process becoming a Charter member. Categories are EU-C/ECO for Organizations, EU-EC/ECOP for individuals; EU-C/ECOF for Compliance Officer.
EU-ECAP	A set of formal written policies and procedures - an Export Management and Compliance Program - that provides sufficient safeguards at each key step in the supply chain management to guard against sales of sensitive or dual-use technology to unauthorised parties or for unauthorised activities.
EU-ECGL	Is the acronym for EU Guidelines prepared, based on the EU-CEC and EIFEC EC1001 Standards.
EU-ECR	Is the EU Export Compliance Register for all Organisation and self-employed individuals engaged in EU import/export.
Export Compliance	Export Compliance provides support in compliance risk management, i.e. the risk of legal or administrative sanctions, financial losses or reputation deterioration for failing to comply with laws, regulations and legislation, codes of conduct and good practice (“laws, regulations and rules”). Export Compliance is inclusive of all activities or import and export of goods and/or services, tangible and intangible assets (including the transfer of means of payment, that somehow are subject to regulations tied to transactions between two different states/jurisdictions.
Organizations	All bodies, companies of any nature, associations, both public and private undertakings which have activities of export or import and falling within the scope of the EU-CEC Code.
Transparency	Principle of being transparent according to EU frameworks.
Unicuique suum Principle	This principle requires that all measures are appropriate to the uniquely- specific organisations size and requirements. (Appropriateness)