Concepts related to compliance and enforcement

Compliance

The term compliance refers to adherence to laws, regulations, norms, standards or guidelines set by an authority. Compliance often also means knowing what not to do. In the international arena, compliance is often considered a legal issue aimed at determining the extent to which an actor has followed the rules. Compliance is fundamental to maintaining order and protecting the public interest internationally. It is also essential to arms control, disarmament or non-proliferation agreements, since the security of states is at risk if others fail to comply.

Political science scholars and international lawyers have explored the conditions under which and the reasons why states comply with agreements even when enforcement or verification are difficult. For example, they may do so out of self-interest or fear of retribution, but also out of a desire for reciprocity, because of the impact of socially constructed international norms and due to concern for their reputation.¹

Compliance depends on the political will of states as well as on the domestic administrative capacity to implement international obligations effectively. Compliance also depends on the perceived legitimacy of an obligation. When an agreement is perceived as an appropriate standard of behaviour, compliance with its provisions maintains states’ reputation within the international community.²

Degrees of non-compliance

Compliance and non-compliance are not binary but exist on a continuum ranging from full compliance to minor or major infractions to significant breaches.

Sometimes states strive to comply but fail because of domestic political realities, a lack of national capacity or technical issues. International treaties often allow for several interpretations,³ resulting in one action being seen as non-compliance by some but as having been made in good faith by others. Or states may cheat intentionally. The notions of intent and good faith are thus important for understanding non-compliance.

Enforcement

Enforcement is the action taken by authorities to ensure adherence to laws, regulations or agreements. It can be viewed as a deterrent against non-compliance. It can also be used as a reaction to violations, as punishment for non-compliant behaviour or to bring a violator back into compliance. Enforcement strategies may include penalties, sanctions, legal action and other punitive measures. However, the threat or application of enforcement measures can also lead to political conflicts, as states may perceive them as infringements on their sovereignty.

Many international treaties do not have robust enforcement mechanisms, instead relying on the cooperation of member states.⁴ Yet, these treaties often still have a high degree of compliance, which may be grounded in a state’s self-interest, but also in their desire for reciprocity, adherence to international norms or concern for their own reputation.

Verification

Verification is a cooperative process used to assess whether actors are complying with international agreements.

Verification mechanisms can include inspections, reporting, satellite monitoring and other forms of intelligence gathering, and the measures and processes can have varying degrees of intrusiveness. The purpose of these mechanisms is not simply information gathering but rather a targeted search for data corresponding to predetermined indicators of (non-)compliance. Objectives include increasing transparency, building trust among parties, and detecting and deterring non-compliance. However, verification processes are complex and politically sensitive. States may be reluctant to accept verification measures if they perceive them as too intrusive or if they fear that the measures may compromise commercial interests or national security.

The connections between compliance, enforcement and verification

The concepts of compliance, enforcement and verification are deeply interconnected and form the foundation of international arms control, non-proliferation and disarmament. Compliance is the end goal, representing the extent to which states and other actors adhere to and implement the rules and obligations set forth in international treaties. Enforcement serves as a mechanism to compel compliance and deter non-compliance through various measures. Verification supports both compliance and enforcement by providing information and the means to monitor adherence.