DOJ: New Voluntary Self-Disclosure Policy on Export Controls and Sanctions (2026)

Key Takeaways

On March 30, 2026, the National Security Division (NSD) of the Department of Justice (DOJ) confirmed the national voluntary self-disclosure (CEP) policy now formally extends to violations related to export controls and economic sanctions. Any company identifying a potential violation must report it directly to the NSD to be considered for criminal non-prosecution.

Highlights

• As of March 30, 2026, the CEP policy applies to all criminally prosecutable matters under NSD jurisdiction, including AECA, ECRA, and IEEPA.
• Bases: DOJ CEP (March 10, 2026), DOJ Office of Public Affairs (March 30, 2026); reference statutes: AECA, ECRA, IEEPA.
• Voluntary disclosure, cooperation, and timely remediation can significantly reduce exposure to criminal prosecution and penalties (up to 50% under the Sentencing Guidelines).

Context and Implications

The profession is navigating a more stringent criminal enforcement environment following the revised DOJ CEP policy. CEP now prioritizes early detection and voluntary disclosure of violations impacting national security, in particular those governed by export control statutes (AECA, ECRA, IEEPA). Companies that promptly disclose and remediate violations may obtain a declination of prosecution (absence de poursuite), or in cases involving aggravating factors, a limited-term non-prosecution agreement (NPA) without the appointment of an external compliance monitor. This approach marks a significant policy shift: declination of prosecution is now the default outcome for voluntary self-disclosures, whereas the NPA model previously prevailed.

Industry Impact

Declarants, freight forwarders, importers, exporters, and compliance officers must immediately review internal policies for alert management and internal investigations surrounding export controls and sanctions. Effectively detecting and rapidly disclosing violations substantially mitigates the risk of prosecution, fines (up to 50% reduction), and independent supervision. The profession must incorporate this new criminal law framework into its standard operating procedures and train staff to escalate information promptly to DOJ/NSD.

Next Steps

• Immediate implementation from March 30, 2026;
• Industry-wide reassessment of compliance and detection tools;
• Increased collaboration with legal teams to qualify emerging scenarios;
• Formalization of direct voluntary disclosure procedures to DOJ NSD (link)

March 30, 2026: The DOJ places voluntary self-disclosure at the core of export control and sanctions enforcement.

Source: U.S. Dep’t of Justice, Office of Public Affairs; Steptoe Trade & Sanctions (RSS)