Interferences between non-proliferation and science: ‘exporting’ dual-use know-how and technology in conformity with security imperatives

Chapter 1 introduces the reasoning underpinning the study: what are the main drivers and the overall objective for undertaking this intellectual endeavour. It also sets the main questions to be answered and a hypothesis to be verified. Chapter 2 sets the scene where the study evolves. What is the role of research and what is the mission of different types of research organisations in today’s environment? The chapter discusses also the definitions of related terms such as Research and Development as these are entrenched in texts with universal applicability. Chapter 3 illuminates the role of knowledge from a proliferation point of view. What are the obligations stemming from legally binding treaties for industry and academia? The chapter also offers a comparative analysis of the multilateral export control regimes including main principles, control lists and terminology used. The concluding section attempts to explain the dual-use problem by providing a definition of dual-use research. Chapter 4 explains the main policies applying for EU funded research by focusing on the dissemination and use of research results for practical and commercial purposes. The chapter offers an analysis of the EU legal framework governing technology transfers of dual-use items. Following that, the main scenarios where trade controls come into play in a research context are discussed. Finally, the chapter offers an analysis of a case study exemplifying the interpretation and implementation of provisions and terms discussed all over the study. The H5N1 case study brings to the fore the differences between the EU and US in the oversight of dual-use research. Chapter 5 presents an assessment of the US trade controls towards academia. How do the US authorities interpret the fundamental research exemption? What is a ‘deemed export’ and how does it affect academic research? How the term ‘publicly available information’ should be understood? Chapter 6 sheds light on the role of internal controls in complying with the law and their nature as discretionary measures. The chapter provides a summary of the main principles and key elements of an Internal Compliance Programme (ICP). Then, it highlights the main steps required for designing and implementing ICPs. Chapter 7 examines the export compliance practices followed by firms, universities and public research organisations. In doing so, it identifies challenges encountered and compliance mechanisms used in different research environments. Chapter 8 sets forward a method for identifying export controls risks in the initial phase of development of an internal compliance structure. The risk identification method builds on international standards and previous experience for tackling export control concerns in a research setting. To that effect, an international public research organisation, the European Commission Joint Research Centre is used as a test case. Finally, chapter 9 compiles the main findings of the study responding also to the main questions set forth in the introductory chapter