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1. Developing Good Practices in Export Control Outreach to the NewSpace Industry

Author:
Kolja Brockmann and Lauriane Héau
Publication Date:
03-2023
Content Type:
Commentary and Analysis
Institution:
Stockholm International Peace Research Institute (SIPRI)
Abstract:
NewSpace is changing the nature of the space industry, exacerbating missile proliferation risks and posing challenges for the effective implementation of export controls. NewSpace companies develop, test, produce, use and market missile-related emerging and dual-use technologies, including small and micro launchers. One of the measures states can take to address these developments is to step up targeted outreach to NewSpace actors, raising awareness of such risks to strengthen compliance with export controls and foreign direct investment (FDI) screening mechanisms. Key elements of an effective outreach strategy for the NewSpace sector include tailored use of established outreach tools, mapping stakeholders, incentivizing participation in outreach activities, consistently engaging with launch vehicle manufacturers, inter-agency cooperation and raising awareness of FDI-related risks. The Missile Technology Control Regime, the Hague Code of Conduct and the Wiesbaden Process provide multilateral forums through which states can begin sharing experiences and develop good practices for outreach to the NewSpace industry.
Topic:
Arms Control and Proliferation, Weapons, Nonproliferation, Space, Exports, Industry, and Dual-use Technologies
Political Geography:
Global Focus

2. Mitigating Humanitarian Impact in a Complex Sanctions Environment: The European Union and the Sanctions Regimes against Iran

Author:
Keith A. Preble and Kolja Brockmann
Publication Date:
09-2021
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute (SIPRI)
Abstract:
Iran is one of the most heavily sanctioned countries in the world. The combination of sanctions on Iran imposed by the United States, the United Nations and the European Union (EU) in response to, among others, nuclear and ballistic missile activities and human rights violations provides for a sanctions environment that is highly complex and difficult to navigate for exporters, financial institutions and humanitarian actors. Particularly in the context of the Covid-19 pandemic, there is renewed attention to the humanitarian impact of sanctions, especially in the case of Iran which became one of the flashpoints of the pandemic. The focus of this paper is on the array of overlapping sanctions and the mitigation of humanitarian impact, with a particular focus on EU sanctions policy and instruments. The paper outlines key milestones and phases in the imposition of sanctions on Iran by the three main sanctioning actors, the USA, the UN and the EU, thus demonstrating the complexity and the at times coordinated or contradictory nature of the different sanctions. It then explores the humanitarian impact of sanctions on Iran by discussing several illustrative indicators and the impact of sanctions on the provision of international humanitarian aid. The paper reviews existing mechanisms to mitigate the humanitarian impact of sanctions and how they could be improved. In the context of the sanctions of Iran, but also beyond, the paper finds that there is a clear need to further strengthen compliance, enforcement and coordination of EU sanctions, including in the context of the Joint Comprehensive Plan of Action. It concludes by providing specific recommendations for the EU and its member states on improving the effective use of sanctions and reducing their humanitarian impact, including through strengthening key instruments and assessment processes, better coordination with the USA and more engagement with humanitarian actors.
Topic:
Arms Control and Proliferation, Sanctions, European Union, Arms Trade, Disarmament, and Exports
Political Geography:
Iran and Middle East

3. Post-shipment Control Measures: European Approaches to On-site Inspections of Exported Military Materiel

Author:
Kolja Brockmann, Lucile Robin, and Andrea Edoardo Varisco
Publication Date:
12-2020
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute (SIPRI)
Abstract:
Post-shipment on-site inspections of exported military materiel enable an exporting country to verify that the materiel is still present in the country of destination and in the possession of the authorized end user. An increasing number of European countries are conducting on-site inspections, or are considering or planning to adopt such measures. A wide range of multilateral organizations already include the implementation of on-site inspections as part of their guidance documents. This SIPRI Background Paper provides an overview of the current state of implementation as regards on-site inspections of exported military materiel by different European countries. It highlights common sensitive issues related to the implementation of on-site inspections, maps the on-site inspection policies and practices of a selection of European countries, and provides recommendations for how the European Union could play a role in promoting such practices.
Topic:
Arms Control and Proliferation, Arms Trade, Disarmament, and Exports
Political Geography:
Europe

4. The Challenge of Emerging Technologies to Non-proliferation Efforts: Controlling Additive Manufacturing and Intangible Transfers of Technology

Author:
Kolja Brockmann and Robert E. Kelley
Publication Date:
04-2018
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute (SIPRI)
Abstract:
Additive manufacturing (AM) machines are multipurpose manufacturing instruments that rely on the transfer of build-information in a digital form. AM is a rapidly developing technology with a growing range of applications, especially in the aerospace and defence industry. It is also generating concerns about its potential to create ways of weakening or circumventing dual-use and arms export controls. This SIPRI Paper examines (a) the state of the art in AM; (b) its ability to produce military equipment and dual-use items; (c) the application of export controls to AM and their implementation at the national level; and (d) the challenges that implementation and compliance present for governments, companies and research institutes. The conclusions summarize potential options and considerations when expanding controls on AM. This is one of two research papers that address the closely related issues of controlling transfers of software and technology and applying exports controls to AM. Taken together, the papers examine some of the most challenging issues that governments, companies and research institutes in the European Union (EU) and the wider world are facing when they seek to effectively implement dual-use and arms export controls. The papers also address a range of topics that are under active discussion within the multilateral export control regimes and in connection with the recast of the EU Dual-use Regulation. For the second paper, 'The Challenge of Software and Technology Transfers to Non-proliferation Efforts: Implementing and Complying with Export Controls', see here. Funding for the concept paper was provided by the US Department of State’s Export Control and Related Border Security (EXBS) Program.
Topic:
Security, Arms Control and Proliferation, Science and Technology, Military Affairs, Disarmament, and Exports
Political Geography:
Europe and Global Focus