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SIPRI study examines the challenges associated with implementing effective Internal Compliance Programmes

SIPRI study examines the challenges associated with implementing effective Internal Compliance Programmes
A freight ship and its cargo in port. Photo: Shutterstock

SIPRI is pleased to draw attention to a recently published Concept Paper and set of Good Practice Guides examining the challenges facing the establishment and implementation of an effective Internal Compliance Programme (ICP) by companies and research institutes subject to dual-use and arms export controls.

An ICP is an arrangement that an entity affected by dual-use and arms export controls puts in place to ensure that it is complying with both these controls and its own internal policies. In recent years, the European Union (EU) and national governments have been encouraging companies and other stakeholders to adopt ICPs and to allow those that do so to benefit from reduced administrative requirements. However, while the requirement to have an ICP is being increasingly mainstreamed, the guidance and tools available to companies and other affected stakeholders on how one should be established and maintained is often deficient and not targeted at those most in need of assistance.

This SIPRI Concept Paper maps the key challenges faced by many of the sectors and actors most impacted by the EU’s dual-use and arms export controls, and the steps that have been taken—and could be taken—to help those affected to set up and run an effective ICP. The paper builds on past research by SIPRI in this area as well as information collected from export compliance officers, experts affiliated with industry associations and representatives of European licensing authorities.

The five accompanying SIPRI Good Practice Guides present available sector and actor-specific compliance-related guidance material. They cover the nuclear, defence and aerospace, and information and communication technology sectors, as well as academic and research, and transport and distribution service providers. Each Guide includes guidance material produced by national governments, the EU and other bodies, as well as publicly available ICPs produced by companies and research institutes.

SIPRI would be glad to receive feedback on the Concept Paper and accompanying Good Practice Guides. For more information about SIPRI’s work on dual-use and arms export controls please visit Dual-use and Arms Trade Control Programme homepage or contact Sibylle Bauer or Mark Bromley.