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Targeted industry consultation on draft ICP guidance

  • Policy field: Trade
  • Target group: All industry stakeholders
  • Closing Date: Completed - 15/11/2018

Objective of the consultation

Effective controls on exports of dual-use goods, software and technology are vital for countering the proliferation of Weapons of Mass Destruction (WMD) and the destabilising accumulations of conventional weapons. Taking into consideration rapid scientific and technological advancements, the complexity of modern supply chains and the ever growing significance of non-state actors, effective export controls greatly depend on the awareness and active commitment of industry to comply with dual-use export control regulations.

in order to support exporters' efforts to ensure compliance with EU and national export laws and regulations, the European Commission and EU Member States, under mandate of the Dual-Use Coordination Group, set up a Technical Expert Group entrusted with drafting the attached guidance as a non-binding instrument identifying the core elements that are essential for an effective ICP for dual-use export controls. The draft guidance focuses on the following 7 core elements:

  • Top-level management commitment to compliance
  • Organisation structure, responsibilities and resources
  • Training and awareness raising
  • Transaction screening process and procedures
  • Performance review, audits, reporting and corrective actions
  • Record-keeping and documentation
  • Physical and information security

Each core element is further detailed as follows:

  • a section ‘What is expected from dual-use companies?’ describes the objective(s) of each core element


  • a section “What are the steps involved?” further specifies the actions and outlines possible solutions for developing or implementing compliance procedures.

Furthermore, the draft guidance contains a set of frequent questions regarding ICPs and provide a list of diversion risk indicators and ‘red flag’ signs about suspicious enquiries or orders.

Considering that ICPs, as industry tools, are of particular interest for exporters, the European Commission and EU Member States have decided to conduct a public survey providing the opportunity for exporters to give feed-back and inputs in relation to the draft guidance.

We would therefore welcome feedback on the proposed seven core elements and the associated draft guidance material attached. The Commission will collect the data from the survey, and make it available to the experts of the Member States so that the Technical Expert Group may proceed with the finalization of the ICP guidance.


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