The challenge of software and technology transfers to nonproliferation efforts : implementing and complying with export controls / Mark Bromley and Giovanna Maletta

SIP1823

"April 2018"

In putting together this research paper the authors’ work was greatly assisted and informed by a background technical briefing paper produced by Joachim Wahren. A draft version of the paper was discussed at a two-day workshop in Stockholm hosted by SIPRI in February 2018. The paper was further revised on the basis of the feedback provided by participants from companies, licensing and enforcement authorities, and technical experts.

Transfers of software and technology can play a crucial role in the proliferation of conventional arms and weapons of mass destruction. However, they can also take an intangible form or be transferred through intangible means that make them difficult to detect and monitor. This SIPRI paper examines (a) the different ways in which transfers of software and technology occur; (b) the proliferation-related challenges they generate, (c) the way controls are structured in the multilateral export control regimes and implemented in EU member states, and (d) the particular challenges that implementation and compliance present for EU governments, companies and research institutes. The conclusions highlight steps that different stakeholders can take to improve the consistency and effectiveness of software and technology controls.

This is one of two research papers that address the closely related issues of controlling transfers of software and technology and applying exports controls to AM. Taken together, the papers examine some of the most challenging issues that governments, companies and research institutes in the European Union (EU) and the wider world are facing when they seek to effectively implement dual-use and arms export controls. The papers also address a range of topics that are under active discussion within the multilateral export control regimes and in connection with the recast of the EU Dual-use Regulation. For the second paper, 'The challenge of emerging technologies to non-proliferation efforts: Controlling additive manufacturing and intangible transfers of technology', see separate Libris entry. Funding for the concept paper was provided by the US Department of State’s Export Control and Related Border Security (EXBS) Program.