EU CERTIFICATION (EU-C/ECO) - EIFEC

Why Seek EU Export Compliance ?

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

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

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

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 world including accreditation, certification, inspection, registration, supplier’s declaration, and testing.

The one dimension we deal here is EU Export Compliance Certification.

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 verification.

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.
Positively influences National States and Financial Institutions satisfaction with EU-C/ECO via Export Compliance commitment, EU laws awareness and enhanced communication.
Reduces liability insurance and mitigate legal responsability of Organizations by the accountability and transparent aspects of the process.
Sustains continual improvement for the EU-C/ECO and their clients through the assessment of system effectiveness, efficiency and competence
Promotes consistency and demonstrates equivalence of assessments via mutual recognition based on peer review
Reduces multiple audits and removes barriers to trade in working towards the goal of “certified once – accepted everywhere.”

Export Compliance can be a formidable challenge, but it is also an opportunity to establish and promote operational excellence throughout the organization and significantly improve the overall performance of operation.

Export Compliance is an important mechanism that supports effective governance.

Compliance with regulatory requirements and their organization’s policies are a key component for effective management of risks.

Qualified third party Verification of processes and methods adopted by Organizations are one of the most important ways to maintain the “healthy” ethics, to support the long-term prosperity and to preserve and promote the organization values, avoiding any potential criminal prosecution.

The EU-C/ECO Certification, according to the principle of the EU-CEC Code, EU- EC/Guidelines and methodologies of Audit and Inspection international organizations generates:

Internal commitment
Third party management audits
Strong effect of external credibility
Assurance and validation
Credible foundation

EU Organizations Export Compliance Certification

"Certified once – accepted everywhere.”

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.

Certificaton as result of of a operative Export Compliance Program implemented in an EU organization will help to:

Improve your products or services

The application of Standards and Compliance Best practice will lead to an improvement in the quality of services and export process.

Attract new customers

Generating the right perception of your business and its products or services is vital when you want to attract new customers. High profile Export Compliance Program are an effective way to convince potential customers that you meet the highest and most widely respected levels of compliance with all laws and regulations.

Increase your competitive edge

Being an EU Export Compliant Organization will enhance your reputation for being a business that is committed to achieving excellence. This can provide you with an important advantage over competitors that do not apply standards.

Inspire trust in your business

Trust in the capacity to handle complex export processing procedure complying with laws and licenses system or services is probably one of the key reasons why existing customers buy from you. In addition, adopting EU Export Compliance Administration Program you will shield your organization the event of violation of export laws.

While Export Compliance programs officially still remain optional for EU exporters, the recent moves by various EU Government in the area of Export Compliance enforcement make it clear that Export Compliance programs are important. Indeed, they are considered in many instances to have a mitigating effect if not a safe harbor effect in the case of an export law violation.

Lessen the likelihood of mistakes

Following Export Compliance standard and procedure involves matching specifications that have been tried and tested by experts. It guides your 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.

Export Compliance is an important mechanism that supports effective governance. Compliance with regulatory requirements and the Organization’s own policies are a critical component of effective risk management.

Make exporting easier

Many goods and services have to meet specifications outlined by EU directives or regulations before they can be sold in the EU and extra EU.

Having the right Export Compliance Administration Program in place will help to streamline all the process from negotiation to sales.

NON EU Organizations Export Compliance Certification

Global Recognition

The European Union applies sanctions or restrictive measures (the two terms are used interchangeably) in pursuit of the specific objectives of the Common Foreign and Security Policy Framework (CFSP) as set out in Article 11 of the Treaty on European Union, namely:

• to safeguard the common values, fundamental interests, independence and integrity of the Union in conformity with the principles of the United Nations Charter
• to strengthen the security of the Union in all ways
• to preserve peace and strengthen international security, in accordance with the principles of the United Nations Charter and the Helsinki Final Act, and the objectives of the Paris Charter including those on external borders
• to promote international cooperation
• to develop and consolidate democracy and the rule of law and respect for human rights and fundamental freedoms.

Restrictive measures imposed by the EU may target governments of third countries, or non-state entities and individuals (such as terrorist groups and terrorists).

They may comprise:

• arms embargoes,
• other specific or general trade restrictions (import and export bans),
• financial restrictions,
• restrictions on admission (visa or travel bans), or other measures, as appropriate.

A general statement on EU policy is found in the Basic Principles on the Use of Restrictive Measures (Sanctions) (Council document 10198/1/04). Using the CFSP framework, the EU Member States implement sanctions imposed by the Security Council of the United Nations under Chapter VII of the UN Charter. The UN Charter confers on the Security Council powers to decide in a manner binding for all UN members restrictive measures required in order to maintain or restore international peace and security, if there is a threat to the peace, a breach of the peace, or an act of aggression. When the EU implements UN Security Council Resolutions, it adheres to the terms of those Resolutions but it may also decide to apply further restrictive measures. EU will implement UN restrictive measures as quickly as possible.

For all EU Member States breaches of certain prohibitions from Council Regulation (EC) No 428/2009 of 5 May 2009 (Dual Use), Council Regulation (EU) No 961/2010 and other Regulations are criminal offences, in particular those relating to export of prohibited or unlicenced goods and services, the asset freezing measures, transfer of funds, dealing any person (Company, Organization or natural Person) listed in related Annexes.

Most of legislations provide a mitigating, if not, a Safe Harbour effect in the case of an export law violation, wherever a provision of a statute or a regulation or a Compliance Program that reduces or eliminates a party’s liability under the law is in place, on the condition that the party performs its actions in good faith or in Compliance with defined standards. (Safe Harbour Principle)

Several programs of verification of EU Export Compliance Standards have been prepared to facilitate the business relationships of NON EU Organizations, mainly in embargoed countries.

Today are available the following EU Export Compliant Organization certification:

EU-C/ECO/IRAN
EU-C/ECO/RUSSIA
EU-C/ECO/SYRIA
EU-C/ECO/SUDAN
EU-C/ECO/EGYPT

Being a EU Certified Export Compliance Organization (EU-C/ECO) is the way to do business with EU countries.

EU-C/ECO Categories

EU Certified Export Compliant Organization EU-C/ECO

EU Organization: Certify that an effective European Export Compliance Administration Program (EU-ECAP) has been developed and maintained to minimize the risk of non-compliance with export laws.
NON EU Organization: (specific for countries as Iran, Syria etc.). Certify that a Non EU Organizations comply with specific EU Regulation.

EU Certified Export Compliant Person EU-C/ECOP

EU Individual: Certify effective European Export Compliance Administration Program (EU-ECAP) has been developed and maintained to will minimize the risk of noncompliance with export laws.
NON EU Individual: (specific for countries as Iran, Syria etc.). Certify that Non EU Person complies with specific EU Regulation.

EU Certified Export Compliance Officer EU-C/ECOF

Natural Person / Individual: Certification for individuals that seek accreditation of EIFEC to perform professional activities in Export Compliance domain.
Professional Organization: Certification for Professional Organizations that seek accreditation of EIFEC to perform professional activities in Export Compliance domain.

EU-C/ECO IRAN Certification / Due Diligence AML Release: 2017/CDR028

European Union and Iran: Restrictive Measures POST JCPOA /AML
The event with the most significant impact and influence of Organisations business with IRAN in managing of compliance programs is the Joint Comprehensive Plan of Action (JCPOA) signed on 14 July 2015, the E3/EU+3 (China, France, Germany, the Russian Federation, the United Kingdom and the United States, with the High Representative of the European Union for Foreign Affairs and Security Policy) and the Islamic Republic of Iran.

Applicable range
WHOM :

• all Iranian Organizations, Individuals;
• directly or indirectly Iranian-owned or controlled entities or bodies outside Iran;
• foreign agents / intermediaries of above Organizations or Individuals.

WHAT:

• to acts carried out within the EU and to the activities of EU nationals overseas
• to the supply of goods and services (including shipment)
• to financial transactions
• Travel

Legal Situation

Against this background, EU exporters or NON EU organization dealing with EU who fail to comply with enhanced due diligence requirements appear to be ill-equipped to deal with the steadily increasing number of EU Government- sponsored compliance initiatives.

Therefore in order to help all parties involved in transactions with Iran to have a full compliance with EU Regulations ( boths post JCPOA and AML )a specific EU Export Compliant Certification Program (EU-C/ECO/IRAN) has been activated

EU Export Compliant Certification Program (EU-C/ECO/IRAN) /AML Due Diligence

To help all parties involved in transactions with Iran to be in full compliance with EU Regulations a specific EU Export Compliant Certification Program (EU-C/ECO/IRAN) has been activated
The EU Governments rely on the due compliance of exporters and financial institutions to help ensure that all laws are abided. The program is in accordance to the principle of the EU-CEC Code, EU-EC/Guidelines and methodologies of Audit and Inspection international organisations and generates:

• Internal commitment of EU Export Compliance
• Third party management audits and inspections
• Strong effect of external credibility
• Assurance and validation of non financial information
• Credible foundation

Who can apply ?

All Iranian Persons, Entities affected by the EU regulations.

Main Requirements

Register with the EU Export Compliance Register (EU-ECR).
Committing the full respect of EU Transparency Code of Conduct and the EU Export Compliance Commitment.
Adopt the European Code for Export Compliance (EU-CEC) and submit your organisation to a verification process.
Identification of Ultimate Beneficiary Owners (UBO). Regulations on the prevention of money laundering, the financing of terrorism and others, requires financial institutions to fulfil a number of client identification obligations.
Identification of Decision Makers (DM). Persons who have a formal mandate within the Board of the company. These are named (or equivalent of) Chief Executive Officer (CEO), Chief Financial Officer (CFO) or Treasurer.
Two Inspections/Certifications made by 2 different independent world leading Audit organizations/Officers (One in Iran one in EU).
Other requirements as better described in the Guidelines and Auditor Scope of works.

Initial and Renewal of Certification

You must complete the Application Form in the EU-ECR Register. We will process your application as described in details at page 15/16 of main document. usually in 15 days all the process is finalised.

Other Informations

Certification Fee: depending on the category, nature, size of organization, number of people employed, annual sales, we will determine your first annual Membership and Certification fee. This fee covers the application, verification process and the Certification/s by independent international Auditors or Inspection Agents plus the annual cost of administering your EU-EC/ECO/IRAN Certification.

Certification Period: When your application is successful we award certification for a period specific of each Category. At the end of each EU-C/ECO Certification Period we require you to renew your Certification.

Online register: The personal data concerning the contact persons, collected from the web-based registration interface will not be made available for consultation to the any party except those who are entitled as EU National Authorities or Registered Financial Institutions on the EU-ECR website, except the EIFEC Registration Number (ERN) and Certification Expiry date.

Complaint and Investigation / Enforcement of Certification: Non-compliance with the EU Transparency Code of Conduct and EU Export Compliance Code (EU-CEC) by you or by your representatives may lead, following an investigation, to the application of measures such as suspension or removal from the EU Export Compliance Register and, if applicable, withdrawal of EIFEC Registration Number (ERN).

Post Nominal Letters and EIFEC Symbol: You can use the EIFEC Registration Number ERN in all your communications with any parties to allow the authentication that the Certification is still valid. You can use the EIFEC Symbol/Logo, indicating that you are a Certified EU Export Compliant Organisation or Individuals.

QUICK FACTS on Due Diligence Certification

Guidelines for ECO/IRAN Due diligence certification

For any assistance / information kindly contact EIFEC head office at This e-mail address is being protected from spambots. You need JavaScript enabled to view it.

Any Auditor / Inspector and or Consultant which may qualify for conducting activity as in our Guidelines can apply for Accreditation. Please contact us using the web form on Contact page.

EU Export Compliance Standards

EIFEC Compliance assessment and certification is based on the following Standards

PRO-PL-101: Policy and Criteria for Accreditation of Product Certification Programs
PRO-PL-102: Manual of Operations for Accreditation of Product Certification Programs
ISO Guide 27:1983, Guidelines for corrective action to be taken by a certification body in the event of misuse of its mark of conformity.
ISO/IEC 17007:2009, Conformity assessment -- Guidance for drafting normative documents suitable for use for conformity assessment.
ISO/IEC 17020:1998, General criteria for the operation of various types of bodies performing inspection.
ISO/IEC 17021:2006, Conformity assessment - Requirements for bodies providing audit and certification of management systems.
ISO/IEC Guide 23:1982, Methods of indicating conformity with standards for third-party certification systems
ISO/IEC Guide 65:1996, General requirements for bodies operating product certification system.
EU-EC1001 - EIFEC Standards for EU Export Compliance

Confidence that these needs can and will be met is built through a variety of means, including the assessment of compliance to standards.

EU Export Compliance Certification: 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)