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Dual-Use Technologies and Export Control in the Post-Cold War Era (1994)
Office of International Affairs (OIA)

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Dual-Use Technologies and Export Administration in the Post-Cold War Era: Documents from a Joint Program of the National Academy of Sciences and the Russian Academy of Sciences

EXECUTIVE SUMMARY

This publication reports the results of a one-year joint program between the National Academy of Sciences (NAS) and the Russian Academy of Sciences (RAS) on dual-use technologies and export control. The program was concerned with the conflicting demands of controlling the spread of proliferation-related technologies, while encouraging the spread of technologies for economic growth and development. It focused particularly on the control of dual-use technologies in and by the Russian Federation, with respect both to internal transfer from civilian to military applications, and to export or re-export to other nations and sub-state actors (including terrorist organizations) seeking to acquire a credible military threat.

During the course of the program, four closely related issues were identified as the principal loci of concern: export administration, defense conversion, brain drain, and the need to sustain Russian science and technology development through additional funding and joint activities.

Consensus on these four issues emerged from three joint meetings over the period December 1991 to December 1992. Each meeting included site visits to dual-use manufacturing facilities in one of the two countries. With the exception of the first meeting, the chairman of the NAS delegations was Dr. Roland Schmitt, President of Rensselaer Polytechnic Institute. The chairman of the RAS delegations throughout the program was Academician Gennadiy Mesyats, Vice President of the Russian Academy of Sciences and Chairman of its Urals Division.

The first interaction took place in Moscow and Perm, Russia, December 13-21, 1991. It sought to determine whether there was sufficient interest and openness on the Russian side to merit initiation of a full-scale joint program. A small delegation of American experts, led by Major General William Burns, former director of the U.S. Arms Control and Disarmament Agency, met with a group of RAS counterparts. Their discussions addressed a variety of issues concerning dual-use technologies, including their application, transfer, and export control. Visiting formerly closed military institutes and factories in Perm and Moscow, the American participants witnessed first-hand the progress and problems of Russian defense conversion as characterized by Russian defense scientists and managers. The visit concluded with a joint protocol of the American and Russian delegations which outlined a list of topics to be addressed over the course of the program. This protocol is included, along with other relevant information from this exploratory meeting, in Appendix 3 of this publication.

Based on this protocol and the success of the exploratory meeting, the NAS and RAS organized a second interaction in Washington, DC, May 26-29, 1992. Members of both delegations presented papers on such topics as: economic aspects of the development and production of dual-use technologies; technology-related industrial reports; categories of manpower having unique knowledge of weapons systems; Russian export control trends; verification schemes; and case studies on the controlled application

 Page
1
Front Matter (R1-R10)
Executive Summary (1-2)
Dual-Use Technologies and Export Administration in the Post-Cold War Era: A Joint Statement of the U.S. National Academy of Sciences and the Russian Academy of Sciences (3-32)
Papers Presented at the Third National Academy of Sciences-Russian Academy of Sciences Joint Meeting on Dual-Use Technologies, December 12-20, 1992 (33-34)
High-Performance Computing: Countrollability and Cooperation (35-56)
An Assessment of the Controllability of Dual-Use Technologies: Optoelectronic Devices (57-76)
American Contribution for the Joint Paper of the U.S. National Academy of Sciences and the Russian Academy of Sciences Working Groups on Structural (Functional) Materials (77-86)
Russian Contribution for the Joint Paper of the U.S. National Academy of Sciences and the Russian Academy of Sciences Working Groups on Structural (Functional) Materials (87-96)
High-Precision Weapons as a Phenomenon of the Twenty-first Century (97-104)
High-Precision Weapons (105-106)
Thesis of a Speech on Dual-Use Technologies and Export Control (107-110)
Conceptual Approaches to the Problem of Dual-Use Technologies (111-116)
A Binocular View of the Issues Associated With Dual-Use-Technologies: Two is Enough to Have a Fight, It Takes More to Keep the Peace (117-120)
Papers Presented at the Second National Academy of Sciences-Russian Academy of Sciences Joint Meeting on Dual-Use Technologies, May 26-29, 1992 (121-122)
A Conceptual Approach to Addressing Dual-Use Technologies: A Framework for U.S.-Russian Dialogue (123-130)
Joint Concept of U.S. and Russian Provisions for the Ensurance of Global Stability Under Conditions of the New World Order (131-138)
Basic Trends in the Development of Mechanisms for Controlling the Export of Dual-Use Products (139-146)
Control of Dual-Use Technologies: A Businessman's Recommendation for Preserving the Military and Economic Security of the United States (147-154)
The Justification for Establishing in Russia a Commission on Non-Proliferation of Potentially Strategically Dangerous Technologies (155-160)
Main Goals of the Proposed Commissions of the Cabinet of Russian Ministers on the Containment of Potentially Strategically Dangerous Technologies and Weapons (161-162)
Application of Verification to Dual-Use Technology Export Controls and Related Issues (163-176)
Critical Professions and Categories of Scientists and Engineers, Principles of the Professional and Social Motivation of Their Activities, and Rational Employment Under Conditions of Science Conversion in Russia (177-180)
Case Studies (181-188)
Economic Incentives Conversion and Dual-Use Technologies: The Case of Russia (189-198)
Appendix I: Participants and Agenda for the Third U.S. National Academy of Sciences-Russian Academy of Sciences Joint Meeting on Dual Use Technologies, Decmeber 12-20 1992 Moscow (199-204)
Appendix II: Participants, Agenda, and Initial Framework for the Second U.S. National Academy of Sciences-Russian Academy of Sciences Joint Meeting on Dual-Use Technologies, May 12-20, 1992, Washington, D.C. (205-214)
Appendix III: Participants and Protocol from the First U.S. National Academy of Sciences-Russian Academy of Sciences Exploratory Meeting on Dual Use Technologies, December 13-21, 1991, Moscow and Perm, Russia (215-220)

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OCR for page 1
Dual-Use Technologies and Export Administration in the Post-Cold War Era: Documents from a Joint Program of the National Academy of Sciences and the Russian Academy of Sciences EXECUTIVE SUMMARY This publication reports the results of a one-year joint program between the National Academy of Sciences (NAS) and the Russian Academy of Sciences (RAS) on dual-use technologies and export control. The program was concerned with the conflicting demands of controlling the spread of proliferation-related technologies, while encouraging the spread of technologies for economic growth and development. It focused particularly on the control of dual-use technologies in and by the Russian Federation, with respect both to internal transfer from civilian to military applications, and to export or re-export to other nations and sub-state actors (including terrorist organizations) seeking to acquire a credible military threat. During the course of the program, four closely related issues were identified as the principal loci of concern: export administration, defense conversion, brain drain, and the need to sustain Russian science and technology development through additional funding and joint activities. Consensus on these four issues emerged from three joint meetings over the period December 1991 to December 1992. Each meeting included site visits to dual-use manufacturing facilities in one of the two countries. With the exception of the first meeting, the chairman of the NAS delegations was Dr. Roland Schmitt, President of Rensselaer Polytechnic Institute. The chairman of the RAS delegations throughout the program was Academician Gennadiy Mesyats, Vice President of the Russian Academy of Sciences and Chairman of its Urals Division. The first interaction took place in Moscow and Perm, Russia, December 13-21, 1991. It sought to determine whether there was sufficient interest and openness on the Russian side to merit initiation of a full-scale joint program. A small delegation of American experts, led by Major General William Burns, former director of the U.S. Arms Control and Disarmament Agency, met with a group of RAS counterparts. Their discussions addressed a variety of issues concerning dual-use technologies, including their application, transfer, and export control. Visiting formerly closed military institutes and factories in Perm and Moscow, the American participants witnessed first-hand the progress and problems of Russian defense conversion as characterized by Russian defense scientists and managers. The visit concluded with a joint protocol of the American and Russian delegations which outlined a list of topics to be addressed over the course of the program. This protocol is included, along with other relevant information from this exploratory meeting, in Appendix 3 of this publication. Based on this protocol and the success of the exploratory meeting, the NAS and RAS organized a second interaction in Washington, DC, May 26-29, 1992. Members of both delegations presented papers on such topics as: economic aspects of the development and production of dual-use technologies; technology-related industrial reports; categories of manpower having unique knowledge of weapons systems; Russian export control trends; verification schemes; and case studies on the controlled application

OCR for page 2
Dual-Use Technologies and Export Administration in the Post-Cold War Era: Documents from a Joint Program of the National Academy of Sciences and the Russian Academy of Sciences of dual-use technologies. These papers are included in this publication; the agenda and participants are included in Appendix 2. The third and final meeting in the program took place in Moscow and St. Petersburg, December 12-20, 1992. It focused on the export control issues surrounding three important technologies with applications in both the civilian and military sectors: advanced materials, optoelectronics, high-speed computing. The NAS delegation included experts in export control as well as the specific technologies discussed. The Russian delegation included key representatives of both the Russian military and scientific communities. In preparation for the meeting, both Academies commissioned case studies in the three technology areas described above. These case studies are included in the text of this publication. In addition, both delegations prepared a joint statement which was released in April 1993 after endorsement by both Academies and is included here. The joint statement makes recommendations to the governments of the respective academies in three broad areas: access to technologies of proliferation concern, national security concerns, and confidence-building measures.

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