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.
RUSSIAN PARTICIPANTS
Academician Gennadiy A. Mesyats, Vice President of the Russian Academy of Sciences (RAS) and Chairman of its Urals Division; Chairman, RAS Council on Export Control (RAS Chair)
Dr. Aleksandr S. Malafeev, Director, Perm Scientific Research Technological Institute
General Oleg K. Rogozin (retired), Principal Research Scientist, RAS Institute of Chemical Physics; former Director, Russian-American University; former Deputy Chief of Procurement, USSR Ministry of Defense
Dr. Valery N. Spector, Vice Chairman, RAS Institute of Chemical Physics
General Remir F. Stepanov (retired), Head of Department, International Fund for Social and Economic Reform; former Director of Export Control, USSR
General Leonid A. Timashev (retired), International Fund for Conversion; Elorma Corporation Ltd. for the Russian Academy of Sciences; former Deputy Minister of Finance
Corresponding Member Yuriy N. Vershinin, Deputy Chairman of the RAS Urals Division
Dr. Gennadiy A. Yarygin, Head of Division of Advanced Technologies, RAS Center for Program Research
Mr. Andrey M. Moryakov, Deputy Chief, RAS Foreign Relations Department
AMERICAN PARTICIPANTS
Dr. Roland Schmitt, President, Rensselaer Polytechnic Institute (NAS Chair)
Mr. John Betti, former Under Secretary of Defense for Acquisition, U.S. Department of Defense
Dr. Gerald Epstein, International Security and Commerce Program, Office of Technology Assessment, United States Congress
Lt. General Lincoln Faurer (retired), U.S. Air Force, former Director, National Security Agency
Dr. Alexander Flax, Home Secretary, National Academy of Engineering
Dr. Clifford Gaddy, Foreign Policy Studies Program, Brookings Institution
Dr. Seymour Goodman, Department of Management Information Systems, University of Arizona
Ms. Khristine L. Hall, Esq., Program Director, Public Affairs Governmental Programs, IBM
Dr. John Harvey, Center for International Security and Arms Control, Stanford University
Dr. Harvey Nathanson, Chief Scientist, Applied Sciences & Electronic Systems Division, Science and Technology Center, Westinghouse Electric Company
Dr. Richard O'Brien, President, Coming USSR, Ltd.
Dr. John Rittenhouse, Senior Vice President for Technology Programs, General Electric Company
Mr. Glenn Schweitzer, Director, Office for Central Europe and Eurasia, National Research Council
Dr. Mitchel B. Wallerstein, Deputy Executive Officer, National Research Council
Dr. Albert Westwood, Vice President for Research and Technology, Martin Marietta Corporation
OTHER EXPERTS AND OBSERVERS
Harley Balzer, Director, Russian Area Studies Program, Georgetown University
Richard C. Barth, Director for International Economic Affairs, National Security Council, Executive Office of the President
Walter Earle, Director of COCOM Affairs, Defense Technical Security Administration, U.S. Department of Defense
Jo Husbands, Director, Committee on International Security and Arms Control, National Research Council
Norman D. Kass, Deputy Director, Licensing, Defense Technical Security Administration, U.S. Department of Defense
Masayuki Kondo, Industrial Economist, Industry Development Division, Industry and Energy Department, The World Bank
Garth R. MacKenzie, Manager, C3 Engineering Development and Engineering Division, Westinghouse Electronic Systems Corporation
Richard B. Sheppard, Senior Advisor on Defense Conversion, U.S. Agency for International Development
David L. Schlechty, Director of Country Policy, Office of Technology and Policy Analysis, U.S. Department of Commerce
Robert A. Summers, Chief, Defense Program and Analysis Division, Bureau of Nonproliferation Policy, U.S. Arms Control and Disarmament Agency
John R. Thomas, Senior Assistant for Soviet Science and Technology, Technology Cooperation and Security, Defense Technical Security Administration, U.S. Department of Defense
AGENDA Second U.S. National Academy of Sciences-Russian Academy of Sciences Joint Meeting on Dual-Use Technologies May 12-20, 1992 Washington, D.C.
Tuesday, May 26 |
|
9:00-12:00 |
COCOM and Export Controls |
9:00 |
Opening Remarks |
|
Roland Schmitt, U.S. Co-chair |
|
Gennadiy Mesyats, Russian Co-chair |
9:30 |
Presentation and discussion of concept papers |
|
General Rogozin and Valery Spector |
|
Glenn Schweitzer |
11:00 |
Break |
11:15 |
Presentation and discussion of paper on the economic aspects of the development and production of dual-use technologies |
|
Clifford Gaddy |
12:00-1:00 |
Lunch |
1:00-5:00 |
Committee Discussions in Board Room, NAS |
1:00 |
Presentation and discussion of paper on technology related industrial reports |
|
General Remir Stepanov |
2:00 |
Presentation and discussion of papers on categories of manpower having unique knowledge of weapons systems |
|
Alexander Flax Yuriy Vershinin |
3:45 |
Break |
4:00 |
Summation/discussion |
Wednesday, May 27 |
|
9:00-12:00 |
Committee Discussions in Board Room, NAS |
9:00 |
Presentation and discussion of papers on the feasibility and desirability of separating military and civilian applied research activities |
|
John Rittenhouse |
|
Gennadiy Andreevich Yarygin |
10:45 |
Break |
11:00 |
Presentation and discussion of paper on current trends in export control in Russia |
|
General Remir Stepanov |
12:00-1:00 |
Lunch |
1:00-5:00 |
Committee Discussions and Conclusion in Board Room, NAS |
1:00 |
Presentation and discussion of paper on case studies of programs for developing and applying dual-use technologies for civilian purposes which are also designed to limit diversion |
|
Seymour Goodman |
1:45 |
Presentation and discussion of paper on contributions of verification schemes and other control measures to confidence building in regard to dual-use technologies |
|
John Harvey |
2:30 |
Break |
2:45 |
Summary of workshop |
3:15 |
Discussion of near term projects |
4:15 |
Plans and suggestions for fall program |
Thursday, May 28 |
|
Briefing Sessions and Site Visits for Russian Delegation |
|
9:00-10:30 |
COCOM and Export Control |
9:00-9:45 |
Dr. Robert L. Price, Director, Office of COCOM Affairs, U.S. Department of State |
9:45-10:30 |
William Clements, Director, Office of Technology and Policy Analysis, Export Administration, U.S. Department of Commerce |
|
Norman D. Kass, Deputy Director, Licensing, Defense Technical Security Administration, U.S. Department of Defense |
10:30-12:00 |
U.S. Defense Conversion |
|
Lawrence Korb, The Brookings Institution |
|
Katherine Gillman, Office of Technology Assessment |
|
Joseph Cartwright, Senior Project Manager, Office of Economic Adjustment, U.S. Department of Defense |
12:00-1:00 |
Lunch |
1:00-5:00 |
Site Visit to IBM Facility in Manassas, Virginia |
Friday, May 29 |
|
Briefings in NAS 250: |
|
9:00-10:30 |
Technology Related Industrial Reporting in the United States |
|
Robert Tinari, Assistant Division Chief, Current Industrial Production, Industry Division, Bureau of the Census |
|
Jennifer Bond, Director, Science and Engineering Indicators Program, National Science Foundation |
|
John Gawalt, Analyst, Science and Engineering Activities Program, National Science Foundation |
10:30-12:00 |
End Use Verification |
|
Anstruther Davidson, Senior Policy Advisor to the Assistant Secretary for Export Enforcement, U.S. Department of Commerce |
|
John Phillips, Los Alamos National Laboratory, IAEA nuclear safeguards and inspections in Iraq |
12:00-1:00 |
Lunch |
1:00-5:00 |
Site Visit to Westinghouse Electronic Systems Corporation, Baltimore, Maryland |
INITIAL FRAMEWORK FOR CONSIDERING DUAL-USE TECHNOLOGIES
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Introduction
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Changing character of international relations and implications for defense strategies, development and control of dual-use technologies, and international cooperation in business and research. Need to consider many interrelated aspects of dual use technologies in responding to growing interest in greater reliance on transparency and less reliance on controls. New emphasis on proliferation concerns and East-West strategic confrontation lessens.
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Objectives of interacademy cooperation in considering dual-use technologies including building confidence to enhance national security, clarifying opportunities which facilitate the Russian transition to a viable market economy, promoting mutual interests in commercial transactions, and contributing to international science and technology.
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Use of methodology set forth below to clarify problems attendant to specific technologies which illustrate full dimensions of the problems. Emphasize the following questions: When are controls appropriate? What are the approaches for strict controls? What is the importance of conversion and commercialization of civilian science and technology? What are the practical aspects of conversion of military technologies?
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Initial selection of dual-use technologies which illustrate the variety of opportunities and problems in building confidence and reducing risks of proliferation. Complimentary technologies, including process technologies, may be considered at a later date.
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A component-level technology: electro-optical devices
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A materials-level technology: structural materials
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A systems-level technology: high performance computers
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Identification of opportunities for cooperation that reduce the need for controls.
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Increased glasnost attendant to cooperation
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Joint research and development and sharing of results
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International approaches through UN or other channels
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Circumstances or technological applications that do not require controls or reduce the need for controls. (The following examples were raised in the discussions but none of them have been deeply examined. These and other suggestions will be considered.)
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Civil applications with little or no possibility of diversion
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Redeployment of technical manpower
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Internationalization of technology
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Obsolescence and/or commoditization of technology
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Circumstances or technological applications that require a continuation of controls. (The following examples were raised in the discussions but none of them have been deeply examined. These and other suggestions will be considered.)
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East-West security concerns (use; re-export)
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North-South proliferation concerns
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Choke point technologies, including process technologies
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Other key technological know-how
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Identification of processes for monitoring and/or control when necessary. (The following examples were raised in the discussions but none of them have been deeply examined. These and other suggestions will be considered.)
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Different levels of intrusion for reporting and inspection B. Criteria for end-use verification and transparency
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Implementation of end-use verification
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Reporting and maintenance of data bases
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Processes and mechanisms for avoiding ''technological surprise''
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Consideration of new institutional arrangements (The following examples were raised in the discussions but none of them have been deeply examined. These and other suggestions will be considered.)
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Modified COCOM
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U.S.-Russia Center (analytical or control center)
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Programs to reorient Russian weapons scientists
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UN regional technology transfer center in the CIS
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New stimulus to joint ventures and other business alliances
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International cooperation in science and technology
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Joint data bases and expanded use of electronic communications