Dual-Use Technologies and Export Control in the Post-Cold War Era (1994) / Chapter Skim
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An Assessment of the Controllability of Dual-Use Technologies: Optoelectronic Devices
An Assessment of the Controllability of Dual-Use Technologies: Optoelectronic Devices
Pages 57-76
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From page 57... ...
Sobolev Russian Academy of Sciences INTRODUCTION Previous joint meetings between the Russian Academy of Sciences and the U.S. National Academy of Science have led to agreement regarding the general framework within which to address the question of the controllability of dual-use technologies, i.e., technologies that have both civilian and military applications.
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From page 58... ...
; light emitting diodes; photodetectors; optical fibers; optical amplifiers; optical circuit switches; optical scanners and imaging devices; non-linear optical devices; liquid crystal filters; acousto-optic wavelength switches displays; holographic optical storage; optical signal processors and computers; and others. In order to explore which fundamental principles might affect the achievement or otherwise of controllability, this paper will address only the components based on compound semiconductors or glass fiber technologies.
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From page 59... ...
, which are components that combine optical and electronic technologies in a single monolithic structure to achieve specific functions (such as transmitters, receivers, regenerators, and switches, scanners and memories)
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From page 60... ...
participant tended to focus initially on controlling the flow of imported technology to the Russian military. While this issue continues to be important, the discussions brought out much more starkly the concern over the re-export of technology to hostile, or potentially hostile, third countries or militant organizations.
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From page 61... ...
Processes are the means by which products are made or assembled. Processes may involve specialized machines, such as molecular beam epitaxy machines or electron" beam synchrotrons.
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From page 62... ...
In our discussions, the point was repeatedly made that the managerial sequence offers a number of possible control or "choke" points, particularly at interfaces between various organizations or institutions. There are also a variety of control techniques that can be considered at various points along the innovation path, including techniques that are becoming increasingly familiar in the commercial world for such tasks as inventory tracking.
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From page 63... ...
Bureaucratic control over intellectual property in itself is not likely to completely prevent unauthorized military or other applications, but it is an important element in Russia's strategy for developing mutual trust. CONCL USION Both Russia and the United States can learn from each other but it is unrealistic to assume that either Russia or the United States possesses art overall intellectual advantage at the fundamental science level because of the long-established modus operandi of the world-wide research community.
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From page 64... ...
It is likely, however, that the present procluctiviZy of these military production facilities is significantly below the levels achieved in the United States and other Western countries. Conversion to commercial production, as well as meeting the worldwide marketplace's criteria for costs, timeliness, reliability, performance, and customer appeal, are likely to require considerable assistance from the West, especially as regards organization, management, and marketing practices as well as with modern production equipment.
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From page 65... ...
Control by denial of advanced optoelectronic technology to the extent it can be exercised, is most likely to be in the few special fabrication, packaging, and testing technologies, if any, where the United States has a distinct competitive ~1~ ~nr1 run therefore maintain a lead time. ~Rearm ~ _ ~- ~1~ ~1 The challenge to both Russia and the West is to ensure that Western state-of-the-art optoelectronics technology acquired by Russia through the course of research collaborations does not make its unauthorized way into the hands of the military or, even more important, the hands of potentially hostile nations, regions' or organizations.
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From page 66... ...
While there may still be a Tot of commonality between, for example, optical communications equipment needed for public telecommunications networks on the one hand and for military local area networks on the other, the particular special requirements posed by the two sets of applications begin to be more evident. While the military applications will typically emphasize performance and reliability of the equipment, civilian applications will also place more emphasis on customer appeal, competitive cost, and timing (to hit the market "windowed.
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From page 67... ...
Inventory tracking at the board and equipment levels is certainly feasible it is already widely practiced in industry. Again, international agreement needs to be reached on how to mark boards and equipment, including production equipment as well as finished products, but bar code marking appears to offer many advantages.
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From page 68... ...
Thus, broadband telecommunications networks in the United States are becoming a dual-use systems, or supersystem, technology. Virtually every civilian application of the optical technology has a military counterpart, as seen in the following hierarchy from largest to smallest: Civilian Technology Submarine cables Long distance terrestrial systems networks Local feeder Local area networks and data links Optical interconnection OElCs Devices (LEDs, lasers, photodetectors)
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From page 69... ...
Eventually they are likely to lead to higher performance, higher capacity optical communications systems but they are not relevant to Russia's current need to upgrade substantially its telecommunications infrastructure. Contemporary civilian technology is increasingly based on the internationally accepted SDH (Synchronous Digital Hierarchy)
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From page 70... ...
Soliton, coherent optics, and wavelength switching systems are currently in the research or exploratory development phase. Systems for which Russia may not have significant civilian need at present but which have considerable relevance to the military include submarine cables and high power laser-based systems, particularly free-space systems.
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From page 71... ...
But Russia wit} need to establish its own world class telecommunications equipment production facilities to help meet the country's enormous needs. Western expertise, among which the United States must be counted, is urgently needed to establish commercially viable equipment development and manufacturing facilities, particularly through the conversion of industries previously focused on supplying the military forces.
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From page 72... ...
The best technical mechanisms for minimizing diversion and/or proliferation appear to be based on marking techniques, such as bar codes and data bases for keeping track of optoelectronic equipment, including production equipment imported from the West or constructed using Western expertise. Records kept in this way would have to be verified from time to time, such as by customs inspectors and by unannounced inspections of facilities and production and shipping records.
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From page 73... ...
Mechanisms for such support and the obligations of all parties with regard to research collaborations must be widely understood and accepted. Collaborations on joint projects are felt to be particularly effective for developing mutual trust -- by increasing understanding of each party's needs and obligations, and by increasing sensitivity to, and awareness of, ways in which new technology is being, or may be used.
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From page 74... ...
In short, as has been proposed by others, an approach to controlling sensitive technologies consists ofthree steps: Establish Agreement* ; Governments must first reach agreement with each other as to what needs to be done; Build Trust; Particularly by working closely together to jointly implement the agreements; But Verify; As in any responsible business enterprise, audits must be regularly performed to ensure that the system is working and that agreements are being kept.
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From page 75... ...
However, it should serve as a stimulus to Western scientists and research organizations to be more proactive in assessing the mutual benefits that might result from increased attention to these opportunities for international research collaborations. it should be noted that there are already two collaborative programs in operation in optoelectronics between AT&T Bell Labs and Russian institutes on optical fiber technology (General Physics institute)
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