THE CHALLENGE OF SOFTWARE AND TECHNOLOGY TRANSFERS TO NON-PROLIFERATION EFFORTS Implementing and Complying with Export Controls mark bromley and giovanna maletta STOCKHOLM INTERNATIONAL PEACE RESEARCH INSTITUTE SIPRI is an independent international institute dedicated to research into conflict, armaments, arms control and disarmament. Established in 1966, SIPRI provides data, analysis and recommendations, based on open sources, to policymakers, researchers, media and the interested public. The Governing Board is not responsible for the views expressed in the publications of the Institute. GOVERNING BOARD Ambassador Jan Eliasson, Chair (Sweden) Dr Dewi Fortuna Anwar (Indonesia) Dr Vladimir Baranovsky (Russia) Ambassador Lakhdar Brahimi (Algeria) Espen Barth Eide (Norway) Ambassador Wolfgang Ischinger (Germany) Dr Radha Kumar (India) Jessica Tuchman Mathews (United States) DIRECTOR Dan Smith (United Kingdom) Signalistgatan 9 SE-169 70 Solna, Sweden Telephone: +46 8 655 97 00 Email:
[email protected] Internet: www.sipri.org THE CHALLENGE OF SOFTWARE AND TECHNOLOGY TRANSFERS TO NON-PROLIFERATION EFFORTS Implementing and Complying with Export Controls mark bromley and giovanna maletta April 2018 © SIPRI 2018 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted, in any form or by any means, without the prior permission in writing of SIPRI or as expressly permitted by law. Contents Acknowledgements v Abbreviations vi Executive summary vii 1. Introduction 1 2. Means of transferring software and technology 5 Software and technical data 5 Knowledge and technical assistance 7 Box 2.1 Transfers of technology through research cooperation activities 6 3. Key proliferation challenges and transfers of software and technology 9 Nuclear weapons and enrichment capabilities 9 Biological weapons 10 Conventional weapons 11 4.