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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

AMERICAN PARTICIPANTS

General William Bums, Former Director, U.S. Arms Control and Disarmament Agency

Dr. Clifford Gaddy, Research Associate, Foreign Policy Studies Program, Brookings Institution

Dr. Seymour Goodman, Department of Management Information Systems, University of Arizona

Mr. Don McLaughlin, TRW Components International

Dr. Mitchel B. Wallerstein, Deputy Executive Officer, National Research Council

Mr. Glenn E. Schweitzer, Director, Office for Central Europe and Eurasia, National Research Council



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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 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 AMERICAN PARTICIPANTS General William Bums, Former Director, U.S. Arms Control and Disarmament Agency Dr. Clifford Gaddy, Research Associate, Foreign Policy Studies Program, Brookings Institution Dr. Seymour Goodman, Department of Management Information Systems, University of Arizona Mr. Don McLaughlin, TRW Components International Dr. Mitchel B. Wallerstein, Deputy Executive Officer, National Research Council Mr. Glenn E. Schweitzer, Director, Office for Central Europe and Eurasia, National Research Council

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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 RUSSIAN PARTICIPANTS Professor Ye. Bugrov, Institute for World Economy and International Relations Academician B. Bunkin, Director General, Almaz Conglomerate K. Gonchar, Institute for World Economy and International Relations G. Kochetkov, Institute of USA and Canada Studies Academician Gennadiy A. Mesyats, Vice President of the Russian Academy of Sciences and Chairman of its Urals Division General Oleg K. Rogozin (retired), Russian-American University Professor Valery N. Spector, RAS Institute of Chemical Physics Yuriy N. Vershinin, Deputy Vice President for RAS Urals Division Professor Gennadiy A. Yarygin, Institute for Program Studies

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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 AGENDA Exploratory Meeting for U.S. National Academy of Sciences-Russian Academy of Sciences Joint Program on Dual-Use Technologies December 15-21, 1991 Moscow, Perm, Russia Sunday, December 15 Visit to Mayor G.N. Ukarov of Kungur. Monday, December 16 Visits to: Mayor V.Y. Fil of Perm A.S. Malafeyev, Director, Perm Scientific Research Technology Institute V.K. Malmygin, General Director, Production Association "Perm Machine Building Factory of the October Revolution." Tuesday, December 17 Visit to Yu. S. Klyachkin, Chairman, Perm Scientific Center of Russian Academy of Sciences. Wednesday, December 18 First meeting of planning group. Presentations by G. Kochetkov, Gennadiy Yarygin, and Valery Spector. Visit to V.M. Surikov, Deputy Director for Science, Central Scientific Research Machine Building Institute (space sciences control center with related facilities). Thursday, December 19 Second meeting of planning group. Presentations by B.V. Bunkin, Yuriy N. Vershinin, and Oleg K. Rogozin.

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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 Visit to E.I. Bronin, Chief Engineer, Almaz Industrial Complex (conversion of SA-10 production facilities). Friday, December 20 Third meeting of planning group. Presentation by A. Kiselev. Visit to A. Kiselev, General Manager, and A.V. Lebedev, Head of Foreign Economic Relations, Khrunichev Machine Building Enterprise (boosters and space stations). Farewell banquet and signing of Protocol (see below). Saturday, December 21 Departure from Moscow

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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 PROTOCOL OF THE SOVIET-AMERICAN MEETING ON DUAL-USE TECHNOLOGIES AND CONVERSION. Having discussed the reports of the roundtable participants and having become acquainted with a number of defense plants actively participating in applying dual-use technologies and in a conversion process, the parties agreed on the desirability of further bilateral committee activities and on in-depth discussions of the following problems: Conceptual framework for helping to ensure that there will not be unanticipated technological breakthroughs in non-nuclear fields that could significantly change the military relationships among nations; Identification of those categories of technical manpower which have unique knowledge concerning significant weapon systems and which could serve as channels for transferring such knowledge internationally in a manner which would enable the recipient countries to develop or produce weapon systems which could change the military relationships among nations; Encouraging openness in basic research on technologies which could eventually have both military and civilian applications, through dissemination of research findings, international cooperation, and other means on a mutually beneficial basis; The feasibility and desirability of separating applied research activities for military purposes from applied research activities for civilian purposes involving dual-use technologies, with emphasis on: technologies which are "choke points" for military systems; and practical aspects of implementation; Case studies of programs to develop and apply dual-use technologies for civilian purposes which are also designed to limit diversion of such technologies to military applications; Regular reports by industrial enterprises engaged in high technology activities which could contribute to the confidence of other nations that civilian industrial activities are not being diverted to military purposes without the knowledge of other countries; Economic aspects of the development and production of dual-use technologies; Current trends in export control in the USSR, the U.S., and multilaterally; Contributions of verification schemes and other control measures to the building of confidence among nations as to the applications of dual-use technologies and the possibilities of reconversion;

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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 Joint preparation of lists of technologies as the basis for controlling as appropriate: critical military technologies; basic technologies with civilian applications; and dual-use technologies. Head of the American delegation Head of the Soviet delegation General W. Bums Academician G. Mesyats December 20, 1991 Moscow