Intangible Technology Transfers:

1. Intangible Technology Transfers: Managing the Risk

2. Introduction Growth in ITTs a function of globalisation and the information revolution, poses security risks Some degree of ITT controls an essential part of effective non-proliferation Governments, individually and collectively, are grappling with the associated complex questions of policy and law making, administration and enforcement Presentation outlines the basic concepts and key challenges, with a view to assisting policy makers and practitioners in this respect.

3. Illustrations of ITT Examples: Foreign worker employed in uranium centrifuge enrichment plant Former government scientist working as consultant to foreign entity Emailed information of chemical synthesis of CW or precursors Telephone advice on MANPADS Postgraduate research in rocketry Downloadable encryption software

4. Intangible Transfers & Technology 1. Intangible transfers of technology Electronic transfers of documentary technology or technical data Blueprints Diagrams Manuals, instructions Electronic Means of transfer Fax e-mail etc (attached PDF file etc.) Downloaded from internet

5. Intangible Transfers & Technology 2. Transfers of Intangible technology Export of technical assistance Skills training Consulting services Technical advice Tuition or supervised research Technical assistance may also be provided by intangible means e-mail, telephone, meeting, site visit Downloaded from internet

6. Exports and Deemed Exports Export controls on items or technical data in tangible form traditionally define transfer in geographical terms – a border control issue. With ITT, borders can be irrelevant – the key element is usually transfer to foreign nationals. In many cases (e.g. foreign visitors, workers, students) the transfer takes place entirely within national borders ITT can also take place in the recipient country (e.g. expatriate consultants) or in a third country – extra territorially. Examples of national legislation

7. Visa Controls: Persons of Concern Visa controls an important tool to prevent ITT opportunities from arising in relation to foreign nationals of proliferation concern. Subjects are potential recipients/gatherers of information - visiting students, scientists / engineers, business people may be contributing to a foreign WMD programme, through… Long term studies, work placements, conferences and business trips. Makes it harder for proliferators to access controlled information/items/technology and useful public domain material.

8. Visa Screening: Elements (1) Targeted in terms of: Countries of proliferation concern Areas of research or industrial interest – relevance to WMD programmes or dual use technologies Intended studies/activities Student/employment background Identifying university courses of particular relevance. Links to entities/individuals of concern – past, present, or potential (government-funded studies)

9. Visa Screening: Elements (2) Indicative processes Visa issuing authorities require comprehensive information from applicants fitting risk profile (nationality and study/business interests) Reporting to relevant agencies Vetting of applications to identify subjects of particular concern. Assessment of proliferation risk on basis of available information. Decision made to reject or grant visa granted If granted, host organisation may be briefed on need to minimise proliferation risk.

10. Visa Screening: Challenges Volume of applicants Breadth of technology of interest Obtaining sufficient information Activities not disclosed in application Interests of education providers/industry Legislative framework (including privacy) Resource requirements

11. Transfer Controls: Activities of Concern Subject is the person/entity imparting information – e.g. re/exporter Focus is on particular activities or transactions involving ITT May have geographical element (e.g. countries of concern) Requirements for prior licensing where controlled technology is involved Laws may also criminalise certain ITTs Catch-all legislation for WMD

12. Transfer Controls: Issues (1) Legal complexity – definitions, scope Criticisms Dynamic regulation Awareness issues – prior knowledge of requirements Ensuring compliance, detecting and dealing with non-compliance Enforceability – legal, evidentiary problems with prosecutions

13. Transfer Controls: Issues (2) Balancing security interests with commercial, scientific, civil liberty considerations Exemptions Public domain Basic scientific research Patent information Deterrence and awareness raising value

14. Outreach Methods Controls transparent and accessible to public internet information (and processing), profile raising Seminars, presentations etc. to key groups University and industry organisations, consultative bodies Briefing or other targeted contact for particular cases Value Ensuring industry, education providers etc. are aware of requirements and their rationale Dialogue on issues of policy and compliance Avenue to raise any concerns about activities of foreign nationals/entities

15. Further Work National policies and laws should be enhanced Fill gaps, iron out problems respond to emerging challenges International Coordination vital Continued efforts to address in international export control forums, including established regimes Encourage international best practice in relation to national responses Value in enhanced information exchange and cooperation, especially in relation to end-user concerns