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Internal compliance and export control guidance documents for actors from academia and research

SIPRI Good Practice Guide: Export Control ICP Guidance Material no. 1

SIPRI Good Practice Guide: Export Control ICP Guidance Material no. 1

Publisher: SIPRI
July, 2017

The scope of European Union (EU) dual-use and arms export controls has expanded in recent years to cover a wider range of goods, technologies and activities. This means that a broader range of sectors and actors are now affected by controls. This expansion has been accompanied by efforts by governments and the EU to incentivize the adoption of internal compliance programmes (ICPs) by companies and other affected entities. An ICP is an arrangement that a company or other entity puts in place to ensure that it is complying with dual-use and arms export controls. However, while the requirement to have an ICP is becoming more mainstream, the guidance available on how one should be established and maintained is often generic and fails to take into account the specific needs of different affected sectors and actors.

This SIPRI Good Practice Guide outlines the actor-specific, compliance- related guidance material that is available to researchers and other actors in universities and research institutes who might be affected by the European Union’s arms and dual-use export controls. It covers guidance material produced by national governments, the EU and other bodies, as well as publicly available Internal Compliance Programmes (ICPs) produced by universities and research institutes.



Dr Sibylle Bauer is the Director of Studies, Armament and Disarmament, at SIPRI.
Kolja Brockmann is a Senior Researcher in the SIPRI Dual-Use and Arms Trade Control programme.
Dr Mark Bromley is a Senior Researcher with the SIPRI Dual-Use and Arms Trade Control Programme.
Giovanna Maletta is a Senior Researcher and Acting Programme Director for the Dual-Use and Arms Trade Control Programme at SIPRI.