Defining “dual-use items”: legal approximations to an ever-relevant notion

Ana Sánchez-Cobaleda
{"title":"Defining “dual-use items”: legal approximations to an ever-relevant notion","authors":"Ana Sánchez-Cobaleda","doi":"10.1080/10736700.2023.2202966","DOIUrl":null,"url":null,"abstract":"ABSTRACTThis article analyzes how the legal sources of nonproliferation regimes define “dual-use items,” a concept that lacks a universal and fixed definition despite its importance to international security and trade. The analysis shows how these legally binding and soft-law sources approach dual-use goods and technologies differently and classifies them based on the criteria they employ to define the potential uses of these strategic items: the dichotomies of peaceful versus non-peaceful and civil versus military, and the intentionality criterion. The article also traces the expansion of the concept beyond a concern with the proliferation of weapons of mass destruction. It analyzes how the existence of multiple criteria to define such items affects their international control. It also considers the evolution that this notion may undergo, which may call into question the standards of legal certainty that the international regime of dual-use items aims to provide.KEYWORDS: dual-use itemsnonproliferationweapons of mass destruction (WMD)export-control regimesstrategic itemstrade controls AcknowledgmentsThe author would like to thank the two anonymous reviewers and the editorial team of the Nonproliferation Review for their helpful comments, as well as Milagros Álvarez-Verdugo and Alexandros Tokhi for their comments on earlier drafts. The views expressed in this article are those of the author and do not reflect the views of the organizations with which she is affiliated. All mistakes remain the responsibility of the author.Notes1 Caitríona McLeish, “Reflecting on the Problem of Dual Use,” in Caitríona McLeish and Brian Rappert, eds., A Web of Prevention: Biological Weapons, Life Sciences and the Governance of Research (London: Earthscan, 2007), pp. 189–208; David Resnik, “What Is Dual Use Research? A Response to Miller and Selgelid,” Science and Engineering Ethics, Vol. 15 (2009), pp. 3–5; Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013); Quentin Michel, “Dual-Use Exports Require a Common Definition,” in Friends of Europe, ed., Dual-Use Technologies in the European Union: Prospects for the Future (Brussels: Friends of Europe, 2015), pp. 40–42.2 Samuel A.W. Evans, “Revising Export Control Lists,” Flemish Peace Institute, 2014, p. 3, <https://vlaamsvredesinstituut.eu/en/report/revising-export-control-lists/>.3 Ian Anthony, “The Evolution of Dual-Use Technology Controls: A Historical Perspective,” in Oliver Meier, ed., Technology Transfers and Non-Proliferation: Between Control and Cooperation (New York: Routledge, 2014), p. 27.4 Harald Müller and Carmen Wunderlich, “Not Lost in Contestation: How Norm Entrepreneurs Frame Norm Development in the Nuclear Nonproliferation Regime,” Contemporary Security Policy, Vol. 39, No. 3 (2018), p. 356.5 Andreas Persbo and Angela Woodward, “Detection, Deterrence and Confidence-Building: Improving Multilateral Technology Controls,” in Meier, Technology Transfers and Non-Proliferation, pp. 77–95; Johannes Rath, Monique Ischi, and Dana Perkins, “Evolution of Different Dual-Use Concepts in International and National Law and Its Implications on Research Ethics and Governance,” Science and Engineering Ethics, Vol. 20, No. 3 (2014), pp. 769–90.6 Sibylle Bauer and Mark Bromley, “The Dual-Use Export Control Policy Review: Balancing Security, Trade and Academic Freedom in a Changing World,” EU Non-Proliferation and Disarmament Consortium, EU Non-Proliferation Paper No. 48, March 2016, <www.sipri.org/sites/default/files/EUNPC_no-48.pdf>; Namira Negm, Transfer of Nuclear Technology under International Law: Case Study of Iraq, Iran and Israel (Leiden: Martinus Nijhoff, 2009); Matthew Kroenig, Exporting the Bomb: Technology Transfer and the Spread of Nuclear Weapons (Ithaca, NY: Cornell University Press, 2010); Seema Gahlaut, “Multilateral Export Control Regimes: Operations, Successes, Failures and the Challenges Ahead,” in Daniel H. Joyner, ed., Non-Proliferation Export Controls: Origins, Challenges, and Proposals for Strengthening (Burlington, VT: Ashgate, 2006), p. 246; Quentin Michel, Sylvain Paile, Marina Tsukanova, and Andrea Viski, Controlling the Trade of Dual-Use Goods (Bern: Peter Lang, 2013); Scott Jones, Michael D. Beck, and Seema Gahlaut, “Trade Controls and International Security,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating WMDs: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), pp. 118–35.7 National Research Council of the National Academies, Biotechnology Research in an Age of Terrorism [“The Fink Report”] (Washington, DC: National Academies Press, 2004), <www.nap.edu/catalog/10827/biotechnology-research-in-an-age-of-terrorism>; Ronald M. Atlas and Malcolm R. Dando, “The Dual-Use Dilemma for the Life Sciences: Perspectives, Conundrums, and Global Solutions,” Biosecurity and Bioterrorism, Vol. 4, No. 3 (2006), pp. 276–86; Jo L. Husbands, “The Challenge of Framing for Efforts to Mitigate the Risks of ‘Dual Use’ Research in the Life Sciences,” Futures, No. 102 (2018), pp. 104–13; Gregory Koblentz and Filippa Lentzos, Risks, Trade-offs and Responsible Science (Oslo: International Law and Policy Institute, 2016), <www.filippalentzos.com/wp-content/uploads/2020/03/21st-century-biodefence.pdf>; Jonathan B. Tucker, Innovation, Dual Use, and Security: Managing the Risks of Emerging Biological and Chemical Technologies (Cambridge, MA: MIT Press, 2012).8 Caitríona McLeish and Paul Nightingale, “The Impact of Dual Use Controls on UK Science: Results from a Pilot Study,” SPRU Electronic Working Paper Series, No. 132, 2005, <www.sussex.ac.uk/Units/spru/hsp/documents/sewp132.pdf>; Seumas Miller and Michael J. Selgelid, “Ethical and Philosophical Consideration of the Dual-Use Dilemma in the Biological Sciences,” Science and Engineering Ethics, Vol. 13 (2007), pp. 523–80; Resnik, “What Is Dual Use Research?” pp. 3–5; Samuel A.W. Evans, “The Use and Abuse of Science and Technology: Rethinking Dual-Use,” Sam Weiss Evans’ Research, 2018, <https://evansresearch.org/2018/10/the-use-and-abuse-of-science-and-technology-rethinking-dual-use/>; Rath et al., “Evolution of Different Dual-Use Concepts,” pp. 770–88.9 Rath et al., “Evolution of Different Dual-Use Concepts,” p. 770; Anthony, “The Evolution of Dual-Use Technology Controls,” p. 25; McLeish, “Reflecting on the Problem of Dual-Use,” p. 200.10 Koos Van Der Bruggen, “Possibilities, Intentions and Threats: Dual Use in the Life Sciences Reconsidered,” Science and Engineering Ethics, Vol. 18 (2012), p. 754.11 Samuel A.W. Evans, Technological Ambiguity & the Wassenaar Arrangement (Oxford: University of Oxford, 2009).12 Malcolm R. Dando, Preventing Biological Warfare: The Failure of American Leadership (New York: Palgrave Macmillan, 2002); Amitav Mallik, “Technology and Security in the 21st Century: A Demand-Side Perspective,” Stockholm International Peace Research Institute (SIPRI) Research Report No. 20, 2004, <www.sipri.org/sites/default/files/files/RR/SIPRIRR20.pdf>.13 Vienna Convention on the Law of Treaties, Vienna, May 23, 1969, Article 31.14 Conference of the States Parties [to the Chemical Weapons Convention], “Decision: Technical Change to Schedule 1(A) of the Annex on Chemicals to the Chemical Weapons Convention,” C-24/DEC.4, November 27, 2019. Decisions by the meetings of states parties of the BWC or the widely accepted INFCIRC documents and guidance series regarding the NPT by the IAEA are also valid examples.15 Jeffrey W. Knopf, “After Diffusion: Challenges to Enforcing Nonproliferation and Disarmament Norms,” Contemporary Security Policy, Vol. 39, No. 3 (2018), p. 371.16 Mohamed Ibrahim Shaker, The Evolving International Regime of Nuclear Non-Proliferation (Leiden: Brill Nijhoff, 2007), pp. 25–39.17 Milagros Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares [Impact of the Security Council on the legal regime for nuclear weapons] (Barcelona: Bosch, 2007), p. 21.18 Braden Goddard, Alexander Solodov, and Vitaly Fedchenko, “IAEA ‘Significant Quantity’ Values: Time for a Closer Look?” Nonproliferation Review, Vol. 23, Nos. 5–6 (2017), pp. 677–89.19 The reference in Article V of the NPT to “any peaceful applications of nuclear explosions” should be understood as an exception to this statement.20 Fritz W. Schmidt, “NPT Export Controls and the Zangger Committee,” Nonproliferation Review, Vol. 7. No. 3 (2000), pp. 136–45.21 Peter Pella, The Midlife Crisis of the Nuclear Nonproliferation Treaty (San Rafael, CA: Morgan & Claypool, 2016), p. 15.22 Defined in IAEA, “Memorandum B. 2”, INFCIRC/209/Rev.5, March 5, 2020, <https://zanggercommittee.org/download/18.6a32cf891717bf4c02d11/1672310882188/infcirc209r5.pdf>.23 Negm, Transfer of Nuclear Technology under International Law, p. 114.24 Daniel H. Joyner, International Law and the Proliferation of Weapons of Mass Destruction (New York: Oxford University Press, 2009), pp. 88–90.25 Piers D. Millett, “The Biological and Toxin Weapons Convention,” Revue Scientifique et Technique, Vol. 25, No. 1 (2006), p. 37.26 Julian Perry Robinson, “Chemical and Biological Weapons,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating Weapons of Mass Destruction: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), p. 75.27 John Hart and Vitaly Fedchenko, “WMD Inspection and Verification Regimes,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating Weapons of Mass Destruction: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), p. 98.28 Trevor Findlay, Peace through Chemistry: The New Chemical Weapons Convention (Canberra: Australian National University, 1993), pp. 5–12.29 Daniel Feakes, “The Adoption of the Convention and the Work of the Preparatory Commission,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), p. 17.30 Jean Pascal Zanders, The Future of the CWC in the Post-destruction Phase (Paris: Institute for Security Studies, 2013), p. 10, <www.iss.europa.eu/sites/default/files/EUISSFiles/ISS_15-The_future_of_the_CWC_in_the_post-destruction_phase_0.pdf>.31 Mohamed Daooudi, John Hart, Ajey Lele, and Ralf Trapp, “The Future of the Chemical Weapons Convention: Policy and Planning Aspects,” SIPRI Policy Paper No. 35, 2013, <www.sipri.org/sites/default/files/files/PP/SIPRIPP35.pdf>.32 Graham S. Pearson, Nicholas A. Sims, and Malcolm R. Dando, Strengthening the Biological Weapons Convention: Key Points for the Eighth Review Conference (Bradford: Division of Peace Studies, University of Bradford, 2016).33 Ralf Trapp, “Convergence at the Intersection of Chemistry and Biology: Implications for the Regime Prohibiting Chemical and Biological Weapons,” Policy Paper 6, Biochemical Security 2030 Project, July 2014, <https://biochemsec2030dotorg.files.wordpress.com/2013/08/trapp-paper-6-online-version.pdf>.34 Hart and Fedchenko, “WMD Inspection and Verification Regimes,” p. 98; Walter Krutzsch and Ralf Trapp, “Article II: Definitions and Criteria,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), p. 77.35 For example, the CWC does not interfere with the legitimate production and trade of chlorine, despite its being the first toxic chemical used on a large scale in the First World War.36 Article II.1.b and c complete the CWC's definition of chemical weapons.37 Krutzsch and Trapp, “Article II,” p. 77.38 Daooudi et al., “The Future of the Chemical Weapons Convention.”39 Ralf Trapp, “Annex on Chemicals,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), pp. 431–44.40 Bryan R. Early, Mark T. Nance, and M. Patrick Cottrell, “Global Governance at the Energy–Security Nexus: Lessons from UNSCR 1540,” Energy Research & Social Science, Vol. 24 (2017), pp. 94–101, <https://doi.org/10.1016/j.erss.2016.12.007>; Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares, p. 11.41 Hanne Veel, “1540 and the 2016 Comprehensive Review: A Brief History of United Nations Security Council Resolution 1540 in Light of the 2016 Comprehensive Review,” International Law and Policy Institute, Background Paper 18, 2016, p. 4; Peter Crail, “Implementing UN Security Council Resolution 1540: A Risk-Based Approach,” Nonproliferation Review, Vol. 13, No. 2 (2006), p. 357; Robinson, “Chemical and Biological Weapons,” p. 80.42 The reference to non-state actors is one of its main contributions, a concept that must be cautiously handled, since it encompasses a wide range of entities depending on the context in which it is used. After UNSCR 1540, subsequent CWC and BWC Review Conferences also started addressing the risk of terrorism. See Richard T. Cupitt, “Capstone and Mortar: Notes on the Creation of UNSCR 1540,” 1540 Compass, No. 6 (2014), p. 5; Rath et al., “Evolution of Different Dual-Use Concepts,” p. 776.43 Jones et al., “Trade Controls and International Security,” p. 126.44 Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares, p. 13.45 Masahiko Asada, “Security Council Resolution 1540 to Combat WMD Terrorism: Effectiveness and Legitimacy in International Legislation,” Journal of Conflict & Security Law, Vol. 13 (2008), pp. 303–32. In legal terms, the adoption of UNSCR 1540 is part of a practice initiated three years earlier when the UNSC adopted Resolution 1372 (2001).46 UNSC resolutions in this group are S/RES/1673 (2006), S/RES/1810 (2008), S/RES/1977 (2011), S/RES/205 (2012), and S/RES/2325 (2016).47 Jones et al., “Trade Controls and International Security,” pp. 118–23.48 The intentionality criterion covering malevolent, terrorist-related purposes can be found in IAEA, INFCIRC/254/Rev.12/Part2, July 2022 (Nuclear Suppliers Group Guidelines), Provision 1, <www.iaea.org/sites/default/files/publications/documents/infcircs/1978/infcirc254r12p2.pdf>); Australia Group Guidelines for Transfers of Sensitive Chemical or Biological Items, 2015, Provision 1, <www.dfat.gov.au/publications/minisite/theaustraliagroupnet/site/en/guidelines.html>; Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies, Guidelines & Procedures, including the Initial Elements, as amended in December 2019, Paragraph I.5, <www.wassenaar.org/app/uploads/2021/12/Public-Docs-Vol-I-Founding-Documents.pdf>; MTCR, Guidelines for Sensitive Missile-Relevant Transfers, 2003, Provision 3.F, <https://mtcr.info/guidelines-for-sensitive-missile-relevant-transfers/>.49 Rath et al., “Evolution of Different Dual-Use Concepts,” p. 771.50 Joyner, International Law and the Proliferation of Weapons of Mass Destruction, p. 29.51 At the time, India characterized it as a “peaceful nuclear explosion.” Giorgio Franceschini, “Keeping Nuclear Cooperation Peaceful,” in Meier, Technology Transfers and Non-Proliferation, p. 103; Anthony, “The Evolution of Dual-Use Technology Controls,” p. 29.52 Pella, The Midlife Crisis, pp. 4–14.53 NSG, “Public Statement: Plenary Meeting of the Nuclear Suppliers Group,” June 14–15, 2018, <http://nuclearsuppliersgroup.org/images/NSG_Public_statement_2018_final.pdf>. Gonzalo de Salazar Serantes, a diplomat and expert on military and dual-use export controls, has a similar understanding. He considers the main purpose of the group to be “to ensure that the peaceful trade of equipment for the production of nuclear energy for peaceful purposes does not contribute to the proliferation of nuclear technology for military purposes or to the manufacture of nuclear explosive devices.” Gonzalo De Salazar Serantes, Guerra, paz y civilización [War, peace, and civilization] (Madrid: Ministerio de Asuntos Exteriores y de Cooperación, 2016), p. 422 (author’s translation). While use in nuclear weapons is not permitted, there are certain “non-proscribed” military applications of nuclear energy—notably, the use of nuclear reactors to propel submarines.54 IAEA, INFCIRC/254/Rev.10/Part2 (corrected), February 2018, <www.iaea.org/sites/default/files/publications/documents/infcircs/1978/infcirc254r10p2c.pdf>.55 IAEA, INFCIRC/254/Rev.12/Part2, July 29, 2022, Provision 1, <www.iaea.org/sites/default/files/publications/documents/infcircs/1978/infcirc254r12p2.pdf>.56 Munich Economic Summit, “Political Declaration: Shaping the New Partnership,” 28 Weekly Comp. Pres. Documents 1213, 1219 (13/07/1992), quoted in Barry J. Hurewitz, “Non-proliferation and Free Access to Outer Space: The Dual-Use Conflict between the Outer Space Treaty and the Missile Technology Control Regime,” High Technology Law Journal, Vol. 9, No. 2 (1994), p. 225.57 Evans, “Revising Export Control Lists,” p. 32.58 Oliver Meier and Iris Hunger, “Between Control and Cooperation: Technology Transfers and the Non-Proliferation of Weapons of Mass Destruction,” Deutsche Stiftung Friedensforschung, 2014, p. 35, <https://d-nb.info/1195565380/34>.59 “If a Category I item is included in a system, that system will also be considered as Category I, except when the incorporated item cannot be separated, removed or duplicated.” MTCR/TEM/2018/Annex), March 22, 2018, Introduction 1(a), <http://mtcr.info/wordpress/wp-content/uploads/2016/03/MTCR-TEM-Technical_Annex_2018-03-22.pdf>.60 Javed Ali, “Chemical Weapons and the Iran–Iraq War: A Case Study in Noncompliance,” Nonproliferation Review, Vol. 8, No, 1 (2001), p. 50.61 Meier and Hunger, “Between Control and Cooperation,” p. 21.62 Ian J. Stewart, “Examining Intangible Controls,” Project Alpha, King’s College London, 2016, <www.kcl.ac.uk/csss/assets/itt-case-studies-part-2-1.pdf >; Kolja Brockmann and Robert Kelley, “The Challenge of Emerging Technologies to Non-proliferation Efforts: Controlling Additive Manufacturing and Intangible Transfers of Technology,” SIPRI, 2018, <www.sipri.org/sites/default/files/2018-04/sipri1804_3d_printing_brockmann.pdf>.63 AG, “Australia Group Common Control Lists,” n.d., <https://australiagroup.net/en/controllists.html>.64 James I. Seevaratnam, “The Australia Group: Origins, Accomplishments and Challenges,” Nonproliferation Review, Vol. 13, No. 2 (2006), pp. 401–15.65 WA, Guidelines and Procedures; Michael L. Lipson, “The Reincarnation of COCOM: Explaining Post-Cold War Export Controls,” Nonproliferation Review, Vol. 6, No. 2 (1999), pp. 33–51.66 WA, List of Dual-Use Goods and Technologies and Munitions List, December 4, 2013, WA-LIST (13) 1, <www.wassenaar.org/app/uploads/2019/consolidated/WA-LIST%20%2813%29%201.pdf>.67 WA, List of Dual-Use Goods and Technologies and Munitions List, WA-LIST (19) 1, December 5, 2019 <www.wassenaar.org/app/uploads/2020/12/Public-Docs-Vol-II-2020-List-of-DU-Goods-and-Technologies-and-Munitions-List-Dec-20-3.pdf>.68 Evans, “Revising Export Control Lists,” p. 19.69 Mark Bromley, “Export Controls, Human Security and Cyber-surveillance Technology: Examining the Proposed Changes to the EU Dual-Use Regulation,” SIPRI, 2017, p. 49.70 Quentin Michel, Christos Charatsis, Lia Caponetti, Sylvain Paile, and Emanuela Marrone, “Do Academic Activities Contribute to WMD Proliferation?” European Studies Unit, University of Liège, 2018; Bauer and Bromley, “The Dual-Use Export Control Policy Review”; Samuel A.W. Evans and Walter D. Valdivia, “Export Controls and the Tensions between Academic Freedom and National Security,” Minerva, Vol. 50, No. 2 (2012), pp. 169–90; Christos Charatsis, “Setting the Publication of ‘Dual-Use Research’ under the Export Authorisation Process: The H5N1 Case,” Strategic Trade Review, Vol. 1, No. 1 (2015), pp. 56–72.71 Emma Scott, Ross Peel, Felix Ruechardt, and Nick Mitchell, “Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes,” Centre for Science and Security Studies, King’s College London, 2020, <www.kcl.ac.uk/csss/assets/itt-case-studies-2020.pdf>.72 WA, List of Dual-Use Goods and Technologies and Munitions List.73 WA, Public Documents: Volume II. List of Dual-Use Goods and Technologies and Munitions List, WA-LIST (18) 1, December 6, 2018, p. 221, <www.wassenaar.org/app/uploads/2019/consolidated/WA-DOC-18-PUB-001-Public-Docs-Vol-II-2018-List-of-DU-Goods-and-Technologies-and-Munitions-List-Dec-18.pdf>.74 The EU dual-use export control regulation adopted in the spring of 2021 includes cyber-surveillance technology as dual use and incorporates human-rights violations as an explicit justification for controlling certain non-WMD-related exports. European Parliament and Council, “Regulation (EU) 2021/821 of the European Parliament and the Council of 20 May 2021 Setting up a Union Regime for the Control of Exports, Brokering, Technical Assistance, Transit and Transfer of Dual-Use Items (Recast),” Official Journal of the European Union, L 206 (2021), <https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32021R0821&from=EN>.75 This phenomenon is comparable to what scholars of international relations call “forum shopping.” Felicity Vabulas and Duncan Snidal, “Rising Powers and Forum Shopping,” paper prepared for the Workshop on Informal Governance, International Studies Association Annual Meeting, Toronto, March 26–29, 2014; Amandine Orsini, Jean-Frédéric Morin, and Oran Young, “Regime Complexes: A Buzz, a Boom or a Boost for Global Governance?” Global Governance, Vol. 19, No. 1 (2013), pp. 27–39. “Forum shopping” can occur when the lists of the different regimes overlap and a state is deciding whether to join one or several forums. Thus, Part 2 of the NSG guidelines overlaps with the dual-use list of the WA, which also overlaps with goods covered by the MTCR. The WA ammunition list also overlaps with part of the AG list, which, in turn, overlaps with the entire CWC list. D.J. van Beek, “A Practical Way to Implement Export Control Lists in Developing Countries,” 1540 Compass, No. 4 (2013), pp. 23–26, </www.sipri.org/sites/default/files/research/disarmament/dualuse/pdf-archive-att/pdfs/cits-a-practical-way-to-implement-export-control-lists-in-developing-countries-english.pdf>.76 De Salazar Serantes, Guerra, paz y civilización, p. 419.77 According to this general principle, if an activity entails a risk of causing serious harm to security, the public, or the environment, and if there is no consensus among experts on whether or not such harm will result, decision makers should not proceed. In this sense, see Suzanne Uniacke, “The Doctrine of Double Effect and the Ethics of Dual-Use,” in Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013), p. 159; Steve Clarke, “The Precautionary Principle and the Dual-Use Dilemma,” in Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013), pp. 223–26.78 For instance, the US system refers to catch-all controls as the “enhanced proliferation control initiative” (EPCI). Although such a term is not defined in the Export Administration Regulations, nowadays EPCI refers to catch-all controls, requiring that items not specifically listed on the Commerce Control List obtain an authorization whenever the end use, or the end user, is believed to be of proliferation concern. Export Administration Regulations, 15 CFR, Section 744.79 The EU Export Control Regulation has its catch-all clause in Article 4 (as well as Article 5 and Article 9). The clause requires that member states inform other EU national authorities as well as the European Commission of their decision to deny an export or to impose an authorization requirement for nonlisted items. European Parliament and Council, “Regulation (EU) 2021/821 of the European Parliament and the Council of 20 May 2021.”80 Multilateral export-control regimes foresee a catch-all within their guidelines: point 5 of the Zangger Committee Guidelines (IAEA, INFCIRC/209/Rev.5, March 2020), point 5 of the NSG Guidelines (IAEA, INFCIRC/254/Rev.12/Part2, July 2022), point 7 of the AG Guidelines for Transfers of Sensitive Chemical or Biological Items, 2015, and point 7 of the MTCR Guidelines for Sensitive Missile-Relevant Transfers, 2003.81 Chaim Braun and Christopher F. Chyba, “Proliferation Rings: New Challenges to the Nuclear Nonproliferation Regime,” International Security, Vol. 29, No. 2 (2004), pp. 5–49.82 Quentin Michel and Lia Caponetti, Introduction to International Strategic Trade Control Regimes (Liège: University of Liège, 2017), p. 86.83 Sibylle Bauer and Ivana Mićić, “Controls on Security-Related International Transfers,” in SIPRI Yearbook 2010: Armaments, Disarmament and International Security (Oxford: Oxford University Press, 2010), pp. 453–54.84 For more on this potential new technology-control regime that would cover other technologies that could be weaponized—that is, used strategically as weapons by enemy states—see James A. Lewis, “Notes on Creating an Export Control Regime,” Center for Strategic and International Studies (CSIS), 15 December 2022, <www.csis.org/analysis/notes-creating-export-control-regime>; Kevin Wolf and Emily S. Weinstein, “COCOM’s daughter?” World ECR, No. 109 (2022), pp. 24–28; Ian Stewart, “Export Controls in an Era of Strategic Competition: Implications for the Existing Landscape and the Need for a New Multilateral Trade Review Regime,” Strategic Trade Review, Vol. 9, No. 10 (2023), pp. 37–50, <https://strategictraderesearch.org/wp-content/uploads/2023/02/Ian-Stewart-Export-Controls.pdf>.Additional informationNotes on contributorsAna Sánchez-CobaledaAna Sánchez Cobaleda is a postdoctoral researcher in international and EU law at the University of Barcelona (UB) and a legal adviser to the EU P2P (partner-to-partner) export-control program for dual-use goods. She studied law at the Albert-Ludwigs-Universität Freiburg and at the Universitat Pompeu Fabra, from which she graduated, and she holds an MA in international cooperation and development and an LlM in international public law from UB. She is an alumna of the OECD Nuclear Energy Agency’s International School of Nuclear Law and a member of the Chaudfontaine Group on strategic trade controls. She has conducted her research on nonproliferation, export controls, and European security at the University of Leiden, EsadeGeo, the University of Geneva, and KU Leuven, among others.","PeriodicalId":118564,"journal":{"name":"The Nonproliferation Review","volume":"59 1","pages":"0"},"PeriodicalIF":0.0000,"publicationDate":"2023-05-30","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":"0","resultStr":null,"platform":"Semanticscholar","paperid":null,"PeriodicalName":"The Nonproliferation Review","FirstCategoryId":"1085","ListUrlMain":"https://doi.org/10.1080/10736700.2023.2202966","RegionNum":0,"RegionCategory":null,"ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":null,"EPubDate":"","PubModel":"","JCR":"","JCRName":"","Score":null,"Total":0}
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Abstract

ABSTRACTThis article analyzes how the legal sources of nonproliferation regimes define “dual-use items,” a concept that lacks a universal and fixed definition despite its importance to international security and trade. The analysis shows how these legally binding and soft-law sources approach dual-use goods and technologies differently and classifies them based on the criteria they employ to define the potential uses of these strategic items: the dichotomies of peaceful versus non-peaceful and civil versus military, and the intentionality criterion. The article also traces the expansion of the concept beyond a concern with the proliferation of weapons of mass destruction. It analyzes how the existence of multiple criteria to define such items affects their international control. It also considers the evolution that this notion may undergo, which may call into question the standards of legal certainty that the international regime of dual-use items aims to provide.KEYWORDS: dual-use itemsnonproliferationweapons of mass destruction (WMD)export-control regimesstrategic itemstrade controls AcknowledgmentsThe author would like to thank the two anonymous reviewers and the editorial team of the Nonproliferation Review for their helpful comments, as well as Milagros Álvarez-Verdugo and Alexandros Tokhi for their comments on earlier drafts. The views expressed in this article are those of the author and do not reflect the views of the organizations with which she is affiliated. All mistakes remain the responsibility of the author.Notes1 Caitríona McLeish, “Reflecting on the Problem of Dual Use,” in Caitríona McLeish and Brian Rappert, eds., A Web of Prevention: Biological Weapons, Life Sciences and the Governance of Research (London: Earthscan, 2007), pp. 189–208; David Resnik, “What Is Dual Use Research? A Response to Miller and Selgelid,” Science and Engineering Ethics, Vol. 15 (2009), pp. 3–5; Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013); Quentin Michel, “Dual-Use Exports Require a Common Definition,” in Friends of Europe, ed., Dual-Use Technologies in the European Union: Prospects for the Future (Brussels: Friends of Europe, 2015), pp. 40–42.2 Samuel A.W. Evans, “Revising Export Control Lists,” Flemish Peace Institute, 2014, p. 3, .3 Ian Anthony, “The Evolution of Dual-Use Technology Controls: A Historical Perspective,” in Oliver Meier, ed., Technology Transfers and Non-Proliferation: Between Control and Cooperation (New York: Routledge, 2014), p. 27.4 Harald Müller and Carmen Wunderlich, “Not Lost in Contestation: How Norm Entrepreneurs Frame Norm Development in the Nuclear Nonproliferation Regime,” Contemporary Security Policy, Vol. 39, No. 3 (2018), p. 356.5 Andreas Persbo and Angela Woodward, “Detection, Deterrence and Confidence-Building: Improving Multilateral Technology Controls,” in Meier, Technology Transfers and Non-Proliferation, pp. 77–95; Johannes Rath, Monique Ischi, and Dana Perkins, “Evolution of Different Dual-Use Concepts in International and National Law and Its Implications on Research Ethics and Governance,” Science and Engineering Ethics, Vol. 20, No. 3 (2014), pp. 769–90.6 Sibylle Bauer and Mark Bromley, “The Dual-Use Export Control Policy Review: Balancing Security, Trade and Academic Freedom in a Changing World,” EU Non-Proliferation and Disarmament Consortium, EU Non-Proliferation Paper No. 48, March 2016, ; Namira Negm, Transfer of Nuclear Technology under International Law: Case Study of Iraq, Iran and Israel (Leiden: Martinus Nijhoff, 2009); Matthew Kroenig, Exporting the Bomb: Technology Transfer and the Spread of Nuclear Weapons (Ithaca, NY: Cornell University Press, 2010); Seema Gahlaut, “Multilateral Export Control Regimes: Operations, Successes, Failures and the Challenges Ahead,” in Daniel H. Joyner, ed., Non-Proliferation Export Controls: Origins, Challenges, and Proposals for Strengthening (Burlington, VT: Ashgate, 2006), p. 246; Quentin Michel, Sylvain Paile, Marina Tsukanova, and Andrea Viski, Controlling the Trade of Dual-Use Goods (Bern: Peter Lang, 2013); Scott Jones, Michael D. Beck, and Seema Gahlaut, “Trade Controls and International Security,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating WMDs: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), pp. 118–35.7 National Research Council of the National Academies, Biotechnology Research in an Age of Terrorism [“The Fink Report”] (Washington, DC: National Academies Press, 2004), ; Ronald M. Atlas and Malcolm R. Dando, “The Dual-Use Dilemma for the Life Sciences: Perspectives, Conundrums, and Global Solutions,” Biosecurity and Bioterrorism, Vol. 4, No. 3 (2006), pp. 276–86; Jo L. Husbands, “The Challenge of Framing for Efforts to Mitigate the Risks of ‘Dual Use’ Research in the Life Sciences,” Futures, No. 102 (2018), pp. 104–13; Gregory Koblentz and Filippa Lentzos, Risks, Trade-offs and Responsible Science (Oslo: International Law and Policy Institute, 2016), ; Jonathan B. Tucker, Innovation, Dual Use, and Security: Managing the Risks of Emerging Biological and Chemical Technologies (Cambridge, MA: MIT Press, 2012).8 Caitríona McLeish and Paul Nightingale, “The Impact of Dual Use Controls on UK Science: Results from a Pilot Study,” SPRU Electronic Working Paper Series, No. 132, 2005, ; Seumas Miller and Michael J. Selgelid, “Ethical and Philosophical Consideration of the Dual-Use Dilemma in the Biological Sciences,” Science and Engineering Ethics, Vol. 13 (2007), pp. 523–80; Resnik, “What Is Dual Use Research?” pp. 3–5; Samuel A.W. Evans, “The Use and Abuse of Science and Technology: Rethinking Dual-Use,” Sam Weiss Evans’ Research, 2018, ; Rath et al., “Evolution of Different Dual-Use Concepts,” pp. 770–88.9 Rath et al., “Evolution of Different Dual-Use Concepts,” p. 770; Anthony, “The Evolution of Dual-Use Technology Controls,” p. 25; McLeish, “Reflecting on the Problem of Dual-Use,” p. 200.10 Koos Van Der Bruggen, “Possibilities, Intentions and Threats: Dual Use in the Life Sciences Reconsidered,” Science and Engineering Ethics, Vol. 18 (2012), p. 754.11 Samuel A.W. Evans, Technological Ambiguity & the Wassenaar Arrangement (Oxford: University of Oxford, 2009).12 Malcolm R. Dando, Preventing Biological Warfare: The Failure of American Leadership (New York: Palgrave Macmillan, 2002); Amitav Mallik, “Technology and Security in the 21st Century: A Demand-Side Perspective,” Stockholm International Peace Research Institute (SIPRI) Research Report No. 20, 2004, .13 Vienna Convention on the Law of Treaties, Vienna, May 23, 1969, Article 31.14 Conference of the States Parties [to the Chemical Weapons Convention], “Decision: Technical Change to Schedule 1(A) of the Annex on Chemicals to the Chemical Weapons Convention,” C-24/DEC.4, November 27, 2019. Decisions by the meetings of states parties of the BWC or the widely accepted INFCIRC documents and guidance series regarding the NPT by the IAEA are also valid examples.15 Jeffrey W. Knopf, “After Diffusion: Challenges to Enforcing Nonproliferation and Disarmament Norms,” Contemporary Security Policy, Vol. 39, No. 3 (2018), p. 371.16 Mohamed Ibrahim Shaker, The Evolving International Regime of Nuclear Non-Proliferation (Leiden: Brill Nijhoff, 2007), pp. 25–39.17 Milagros Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares [Impact of the Security Council on the legal regime for nuclear weapons] (Barcelona: Bosch, 2007), p. 21.18 Braden Goddard, Alexander Solodov, and Vitaly Fedchenko, “IAEA ‘Significant Quantity’ Values: Time for a Closer Look?” Nonproliferation Review, Vol. 23, Nos. 5–6 (2017), pp. 677–89.19 The reference in Article V of the NPT to “any peaceful applications of nuclear explosions” should be understood as an exception to this statement.20 Fritz W. Schmidt, “NPT Export Controls and the Zangger Committee,” Nonproliferation Review, Vol. 7. No. 3 (2000), pp. 136–45.21 Peter Pella, The Midlife Crisis of the Nuclear Nonproliferation Treaty (San Rafael, CA: Morgan & Claypool, 2016), p. 15.22 Defined in IAEA, “Memorandum B. 2”, INFCIRC/209/Rev.5, March 5, 2020, .23 Negm, Transfer of Nuclear Technology under International Law, p. 114.24 Daniel H. Joyner, International Law and the Proliferation of Weapons of Mass Destruction (New York: Oxford University Press, 2009), pp. 88–90.25 Piers D. Millett, “The Biological and Toxin Weapons Convention,” Revue Scientifique et Technique, Vol. 25, No. 1 (2006), p. 37.26 Julian Perry Robinson, “Chemical and Biological Weapons,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating Weapons of Mass Destruction: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), p. 75.27 John Hart and Vitaly Fedchenko, “WMD Inspection and Verification Regimes,” in Nathan E. Busch and Daniel H. Joyner, eds., Combating Weapons of Mass Destruction: The Future of International Nonproliferation Policy (Athens, GA: University of Georgia Press, 2009), p. 98.28 Trevor Findlay, Peace through Chemistry: The New Chemical Weapons Convention (Canberra: Australian National University, 1993), pp. 5–12.29 Daniel Feakes, “The Adoption of the Convention and the Work of the Preparatory Commission,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), p. 17.30 Jean Pascal Zanders, The Future of the CWC in the Post-destruction Phase (Paris: Institute for Security Studies, 2013), p. 10, .31 Mohamed Daooudi, John Hart, Ajey Lele, and Ralf Trapp, “The Future of the Chemical Weapons Convention: Policy and Planning Aspects,” SIPRI Policy Paper No. 35, 2013, .32 Graham S. Pearson, Nicholas A. Sims, and Malcolm R. Dando, Strengthening the Biological Weapons Convention: Key Points for the Eighth Review Conference (Bradford: Division of Peace Studies, University of Bradford, 2016).33 Ralf Trapp, “Convergence at the Intersection of Chemistry and Biology: Implications for the Regime Prohibiting Chemical and Biological Weapons,” Policy Paper 6, Biochemical Security 2030 Project, July 2014, .34 Hart and Fedchenko, “WMD Inspection and Verification Regimes,” p. 98; Walter Krutzsch and Ralf Trapp, “Article II: Definitions and Criteria,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), p. 77.35 For example, the CWC does not interfere with the legitimate production and trade of chlorine, despite its being the first toxic chemical used on a large scale in the First World War.36 Article II.1.b and c complete the CWC's definition of chemical weapons.37 Krutzsch and Trapp, “Article II,” p. 77.38 Daooudi et al., “The Future of the Chemical Weapons Convention.”39 Ralf Trapp, “Annex on Chemicals,” in Walter Krutzsch, Eric Myjer, and Ralf Trapp, eds., The Chemical Weapons Convention: A Commentary (Oxford: Oxford University Press, 2014), pp. 431–44.40 Bryan R. Early, Mark T. Nance, and M. Patrick Cottrell, “Global Governance at the Energy–Security Nexus: Lessons from UNSCR 1540,” Energy Research & Social Science, Vol. 24 (2017), pp. 94–101, ; Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares, p. 11.41 Hanne Veel, “1540 and the 2016 Comprehensive Review: A Brief History of United Nations Security Council Resolution 1540 in Light of the 2016 Comprehensive Review,” International Law and Policy Institute, Background Paper 18, 2016, p. 4; Peter Crail, “Implementing UN Security Council Resolution 1540: A Risk-Based Approach,” Nonproliferation Review, Vol. 13, No. 2 (2006), p. 357; Robinson, “Chemical and Biological Weapons,” p. 80.42 The reference to non-state actors is one of its main contributions, a concept that must be cautiously handled, since it encompasses a wide range of entities depending on the context in which it is used. After UNSCR 1540, subsequent CWC and BWC Review Conferences also started addressing the risk of terrorism. See Richard T. Cupitt, “Capstone and Mortar: Notes on the Creation of UNSCR 1540,” 1540 Compass, No. 6 (2014), p. 5; Rath et al., “Evolution of Different Dual-Use Concepts,” p. 776.43 Jones et al., “Trade Controls and International Security,” p. 126.44 Álvarez-Verdugo, Incidencia del Consejo de Seguridad sobre el régimen jurídico de las armas nucleares, p. 13.45 Masahiko Asada, “Security Council Resolution 1540 to Combat WMD Terrorism: Effectiveness and Legitimacy in International Legislation,” Journal of Conflict & Security Law, Vol. 13 (2008), pp. 303–32. In legal terms, the adoption of UNSCR 1540 is part of a practice initiated three years earlier when the UNSC adopted Resolution 1372 (2001).46 UNSC resolutions in this group are S/RES/1673 (2006), S/RES/1810 (2008), S/RES/1977 (2011), S/RES/205 (2012), and S/RES/2325 (2016).47 Jones et al., “Trade Controls and International Security,” pp. 118–23.48 The intentionality criterion covering malevolent, terrorist-related purposes can be found in IAEA, INFCIRC/254/Rev.12/Part2, July 2022 (Nuclear Suppliers Group Guidelines), Provision 1, ); Australia Group Guidelines for Transfers of Sensitive Chemical or Biological Items, 2015, Provision 1, ; Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies, Guidelines & Procedures, including the Initial Elements, as amended in December 2019, Paragraph I.5, ; MTCR, Guidelines for Sensitive Missile-Relevant Transfers, 2003, Provision 3.F, .49 Rath et al., “Evolution of Different Dual-Use Concepts,” p. 771.50 Joyner, International Law and the Proliferation of Weapons of Mass Destruction, p. 29.51 At the time, India characterized it as a “peaceful nuclear explosion.” Giorgio Franceschini, “Keeping Nuclear Cooperation Peaceful,” in Meier, Technology Transfers and Non-Proliferation, p. 103; Anthony, “The Evolution of Dual-Use Technology Controls,” p. 29.52 Pella, The Midlife Crisis, pp. 4–14.53 NSG, “Public Statement: Plenary Meeting of the Nuclear Suppliers Group,” June 14–15, 2018, . Gonzalo de Salazar Serantes, a diplomat and expert on military and dual-use export controls, has a similar understanding. He considers the main purpose of the group to be “to ensure that the peaceful trade of equipment for the production of nuclear energy for peaceful purposes does not contribute to the proliferation of nuclear technology for military purposes or to the manufacture of nuclear explosive devices.” Gonzalo De Salazar Serantes, Guerra, paz y civilización [War, peace, and civilization] (Madrid: Ministerio de Asuntos Exteriores y de Cooperación, 2016), p. 422 (author’s translation). While use in nuclear weapons is not permitted, there are certain “non-proscribed” military applications of nuclear energy—notably, the use of nuclear reactors to propel submarines.54 IAEA, INFCIRC/254/Rev.10/Part2 (corrected), February 2018, .55 IAEA, INFCIRC/254/Rev.12/Part2, July 29, 2022, Provision 1, .56 Munich Economic Summit, “Political Declaration: Shaping the New Partnership,” 28 Weekly Comp. Pres. Documents 1213, 1219 (13/07/1992), quoted in Barry J. Hurewitz, “Non-proliferation and Free Access to Outer Space: The Dual-Use Conflict between the Outer Space Treaty and the Missile Technology Control Regime,” High Technology Law Journal, Vol. 9, No. 2 (1994), p. 225.57 Evans, “Revising Export Control Lists,” p. 32.58 Oliver Meier and Iris Hunger, “Between Control and Cooperation: Technology Transfers and the Non-Proliferation of Weapons of Mass Destruction,” Deutsche Stiftung Friedensforschung, 2014, p. 35, .59 “If a Category I item is included in a system, that system will also be considered as Category I, except when the incorporated item cannot be separated, removed or duplicated.” MTCR/TEM/2018/Annex), March 22, 2018, Introduction 1(a), .60 Javed Ali, “Chemical Weapons and the Iran–Iraq War: A Case Study in Noncompliance,” Nonproliferation Review, Vol. 8, No, 1 (2001), p. 50.61 Meier and Hunger, “Between Control and Cooperation,” p. 21.62 Ian J. Stewart, “Examining Intangible Controls,” Project Alpha, King’s College London, 2016, ; Kolja Brockmann and Robert Kelley, “The Challenge of Emerging Technologies to Non-proliferation Efforts: Controlling Additive Manufacturing and Intangible Transfers of Technology,” SIPRI, 2018, .63 AG, “Australia Group Common Control Lists,” n.d., .64 James I. Seevaratnam, “The Australia Group: Origins, Accomplishments and Challenges,” Nonproliferation Review, Vol. 13, No. 2 (2006), pp. 401–15.65 WA, Guidelines and Procedures; Michael L. Lipson, “The Reincarnation of COCOM: Explaining Post-Cold War Export Controls,” Nonproliferation Review, Vol. 6, No. 2 (1999), pp. 33–51.66 WA, List of Dual-Use Goods and Technologies and Munitions List, December 4, 2013, WA-LIST (13) 1, .67 WA, List of Dual-Use Goods and Technologies and Munitions List, WA-LIST (19) 1, December 5, 2019 .68 Evans, “Revising Export Control Lists,” p. 19.69 Mark Bromley, “Export Controls, Human Security and Cyber-surveillance Technology: Examining the Proposed Changes to the EU Dual-Use Regulation,” SIPRI, 2017, p. 49.70 Quentin Michel, Christos Charatsis, Lia Caponetti, Sylvain Paile, and Emanuela Marrone, “Do Academic Activities Contribute to WMD Proliferation?” European Studies Unit, University of Liège, 2018; Bauer and Bromley, “The Dual-Use Export Control Policy Review”; Samuel A.W. Evans and Walter D. Valdivia, “Export Controls and the Tensions between Academic Freedom and National Security,” Minerva, Vol. 50, No. 2 (2012), pp. 169–90; Christos Charatsis, “Setting the Publication of ‘Dual-Use Research’ under the Export Authorisation Process: The H5N1 Case,” Strategic Trade Review, Vol. 1, No. 1 (2015), pp. 56–72.71 Emma Scott, Ross Peel, Felix Ruechardt, and Nick Mitchell, “Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes,” Centre for Science and Security Studies, King’s College London, 2020, .72 WA, List of Dual-Use Goods and Technologies and Munitions List.73 WA, Public Documents: Volume II. List of Dual-Use Goods and Technologies and Munitions List, WA-LIST (18) 1, December 6, 2018, p. 221, .74 The EU dual-use export control regulation adopted in the spring of 2021 includes cyber-surveillance technology as dual use and incorporates human-rights violations as an explicit justification for controlling certain non-WMD-related exports. European Parliament and Council, “Regulation (EU) 2021/821 of the European Parliament and the Council of 20 May 2021 Setting up a Union Regime for the Control of Exports, Brokering, Technical Assistance, Transit and Transfer of Dual-Use Items (Recast),” Official Journal of the European Union, L 206 (2021), .75 This phenomenon is comparable to what scholars of international relations call “forum shopping.” Felicity Vabulas and Duncan Snidal, “Rising Powers and Forum Shopping,” paper prepared for the Workshop on Informal Governance, International Studies Association Annual Meeting, Toronto, March 26–29, 2014; Amandine Orsini, Jean-Frédéric Morin, and Oran Young, “Regime Complexes: A Buzz, a Boom or a Boost for Global Governance?” Global Governance, Vol. 19, No. 1 (2013), pp. 27–39. “Forum shopping” can occur when the lists of the different regimes overlap and a state is deciding whether to join one or several forums. Thus, Part 2 of the NSG guidelines overlaps with the dual-use list of the WA, which also overlaps with goods covered by the MTCR. The WA ammunition list also overlaps with part of the AG list, which, in turn, overlaps with the entire CWC list. D.J. van Beek, “A Practical Way to Implement Export Control Lists in Developing Countries,” 1540 Compass, No. 4 (2013), pp. 23–26, .76 De Salazar Serantes, Guerra, paz y civilización, p. 419.77 According to this general principle, if an activity entails a risk of causing serious harm to security, the public, or the environment, and if there is no consensus among experts on whether or not such harm will result, decision makers should not proceed. In this sense, see Suzanne Uniacke, “The Doctrine of Double Effect and the Ethics of Dual-Use,” in Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013), p. 159; Steve Clarke, “The Precautionary Principle and the Dual-Use Dilemma,” in Brian Rappert and Michael J. Selgelid, eds., On the Dual Uses of Science and Ethics: Principles, Practices, and Prospects (Canberra: ANU Press, 2013), pp. 223–26.78 For instance, the US system refers to catch-all controls as the “enhanced proliferation control initiative” (EPCI). Although such a term is not defined in the Export Administration Regulations, nowadays EPCI refers to catch-all controls, requiring that items not specifically listed on the Commerce Control List obtain an authorization whenever the end use, or the end user, is believed to be of proliferation concern. Export Administration Regulations, 15 CFR, Section 744.79 The EU Export Control Regulation has its catch-all clause in Article 4 (as well as Article 5 and Article 9). The clause requires that member states inform other EU national authorities as well as the European Commission of their decision to deny an export or to impose an authorization requirement for nonlisted items. European Parliament and Council, “Regulation (EU) 2021/821 of the European Parliament and the Council of 20 May 2021.”80 Multilateral export-control regimes foresee a catch-all within their guidelines: point 5 of the Zangger Committee Guidelines (IAEA, INFCIRC/209/Rev.5, March 2020), point 5 of the NSG Guidelines (IAEA, INFCIRC/254/Rev.12/Part2, July 2022), point 7 of the AG Guidelines for Transfers of Sensitive Chemical or Biological Items, 2015, and point 7 of the MTCR Guidelines for Sensitive Missile-Relevant Transfers, 2003.81 Chaim Braun and Christopher F. Chyba, “Proliferation Rings: New Challenges to the Nuclear Nonproliferation Regime,” International Security, Vol. 29, No. 2 (2004), pp. 5–49.82 Quentin Michel and Lia Caponetti, Introduction to International Strategic Trade Control Regimes (Liège: University of Liège, 2017), p. 86.83 Sibylle Bauer and Ivana Mićić, “Controls on Security-Related International Transfers,” in SIPRI Yearbook 2010: Armaments, Disarmament and International Security (Oxford: Oxford University Press, 2010), pp. 453–54.84 For more on this potential new technology-control regime that would cover other technologies that could be weaponized—that is, used strategically as weapons by enemy states—see James A. Lewis, “Notes on Creating an Export Control Regime,” Center for Strategic and International Studies (CSIS), 15 December 2022, ; Kevin Wolf and Emily S. Weinstein, “COCOM’s daughter?” World ECR, No. 109 (2022), pp. 24–28; Ian Stewart, “Export Controls in an Era of Strategic Competition: Implications for the Existing Landscape and the Need for a New Multilateral Trade Review Regime,” Strategic Trade Review, Vol. 9, No. 10 (2023), pp. 37–50, .Additional informationNotes on contributorsAna Sánchez-CobaledaAna Sánchez Cobaleda is a postdoctoral researcher in international and EU law at the University of Barcelona (UB) and a legal adviser to the EU P2P (partner-to-partner) export-control program for dual-use goods. She studied law at the Albert-Ludwigs-Universität Freiburg and at the Universitat Pompeu Fabra, from which she graduated, and she holds an MA in international cooperation and development and an LlM in international public law from UB. She is an alumna of the OECD Nuclear Energy Agency’s International School of Nuclear Law and a member of the Chaudfontaine Group on strategic trade controls. She has conducted her research on nonproliferation, export controls, and European security at the University of Leiden, EsadeGeo, the University of Geneva, and KU Leuven, among others.
定义“双重用途物品”:法律近似于一个始终相关的概念
摘要本文分析了防扩散制度的法律渊源如何定义“两用物项”,这一概念尽管对国际安全和贸易具有重要意义,但缺乏普遍和固定的定义。分析显示了这些具有法律约束力的软法律来源如何以不同的方式对待双重用途物品和技术,并根据它们用来定义这些战略物品的潜在用途的标准对它们进行分类:和平与非和平、民用与军事的二分法,以及意向性标准。文章还追溯了这一概念的扩展,超越了对大规模毁灭性武器扩散的关注。它分析了界定这类物项的多重标准如何影响其国际管制。它还审议了这一概念可能发生的演变,这可能使人对双重用途物品国际制度旨在提供的法律确定性标准产生疑问。关键词:军民两用物项防扩散大规模杀伤性武器出口管制制度战略物项贸易管制鸣谢作者要感谢两位匿名审稿人和《防扩散评论》编辑团队提供的有益意见,以及Milagros Álvarez-Verdugo和Alexandros Tokhi对早期草稿的评论。本文中表达的观点是作者的观点,并不反映她所属组织的观点。所有的错误都由作者负责。注1 Caitríona McLeish,“对双重用途问题的反思”,见Caitríona McLeish和Brian Rappert主编。,《预防网络:生物武器、生命科学和研究治理》(伦敦:Earthscan, 2007),页189-208;David Resnik,“什么是军民两用研究?”对Miller和Selgelid的回应,“科学与工程伦理,Vol. 15 (2009), pp. 3-5;Brian Rappert和Michael J. Selgelid编。《科学与伦理的双重用途:原则、实践与展望》(堪培拉:澳大利亚国立大学出版社,2013);Quentin Michel,《双重用途出口需要一个共同的定义》,载于欧洲之友主编,《欧盟的双重用途技术:未来展望》(布鲁塞尔:欧洲之友,2015),第40-42.2页。Samuel A.W. Evans,《修订出口管制清单》,佛兰德和平研究所,2014年,第3页。Ian Anthony,《双重用途技术管制的演变:一个历史视角》,载于Oliver Meier主编,《技术转让与不扩散:控制与合作之间》(纽约:Harald m<e:1> ller和Carmen Wunderlich,“不迷失在争论中:规范企业家如何在核不扩散制度中构建规范发展”,《当代安全政策》,第39卷,第3期(2018),第356.5页。Andreas Persbo和Angela Woodward,“检测、威慑和建立信任:改善多边技术控制”,载于Meier,技术转让和不扩散,第77-95页;西比勒·鲍尔、马克·布罗姆利:《军民两用出口管制政策审查:在不断变化的世界中平衡安全、贸易和学术自由》,《欧盟防扩散与裁军联盟》,2016年3月,第48期;奈米拉·尼格姆:《国际法下的核技术转让:伊拉克、伊朗和以色列的案例研究》(莱顿:Martinus Nijhoff出版社,2009);马修·克鲁尼格,《出口炸弹:技术转让与核武器扩散》(伊萨卡,纽约州:康奈尔大学出版社,2010);Seema Gahlaut,“多边出口管制制度:运作、成功、失败和未来的挑战”,见Daniel H. Joyner主编,《防扩散出口管制:起源、挑战和加强建议》(伯灵顿,佛蒙特州:Ashgate出版社,2006),第246页;昆汀·米歇尔、Sylvain Paile、Marina Tsukanova、Andrea Viski:《控制军民两用物品贸易》(伯尔尼:Peter Lang出版社,2013);Scott Jones, Michael D. Beck和Seema Gahlaut,“贸易管制与国际安全”,载于Nathan E. Busch和Daniel H. Joyner主编。,《打击大规模杀伤性武器:国际防扩散政策的未来》(乔治亚州雅典:佐治亚大学出版社,2009年),第118-35.7页,美国国家科学院国家研究委员会,《恐怖主义时代的生物技术研究》[“芬克报告”](华盛顿特区:美国国家科学院出版社,2004年);Ronald M. Atlas和Malcolm R. Dando,“生命科学的双重用途困境:观点、难题和全球解决方案”,《生物安全和生物恐怖主义》,第4卷,第3期(2006),第276-86页;赵璐,“降低生命科学“双重用途”研究风险的框架挑战”,《未来》,第102期(2018),页。 54 .虽然不允许在核武器中使用核能,但核能在某些“不受禁止”的军事用途上——特别是使用核反应堆来推动潜艇国际原子能机构,INFCIRC / 254 /牧师。10/Part2(修正),2018年2月,.55 IAEA, INFCIRC/254/Rev.;12/ 2部分,2022年7月29日,条款1,56慕尼黑经济峰会,“政治宣言:塑造新的伙伴关系”,28周刊比较出版社文件1213,1219(13/07/1992),引自Barry J. Hurewitz,“不扩散和自由进入外层空间:《外层空间条约》与导弹技术管制制度之间的双重用途冲突》,《高技术法杂志》,第9卷,第2期(1994年),第225.57页。埃文斯,“修订出口管制清单”,第32.58页,奥利弗·梅尔和艾瑞斯·饥饿,“管制与合作之间:《技术转让与不扩散大规模毁灭性武器》,德意志自由基金会,2014年,第35页,第59页,“如果一类项目被纳入一个系统,该系统也将被视为一类,除非所纳入的项目无法分离、删除或复制。”jjaved Ali,“化学武器与两伊战争:一个不遵守的案例研究”,《防扩散评论》,第8卷,第1期(2001),p. 50.61 Meier and Hunger,“控制与合作之间”,p. 21.62 Ian J. Stewart,“无形控制的检验”,Project Alpha,伦敦国王学院,2016,;Kolja Brockmann和Robert Kelley,“新兴技术对防扩散努力的挑战:控制增材制造和无形技术转让”,SIPRI, 2018, 63 AG,“澳大利亚集团共同控制清单”,No d, .64 James I. Seevaratnam,“澳大利亚集团:起源,成就和挑战,”防扩散评论,第13卷,第2期(2006),pp. 401-15.65 WA,指南和程序;Michael L. Lipson,“COCOM的转世:对冷战后出口管制的解释”,《防扩散评论》第6卷第2期(1999),第33-51.66页,《军民两用物品、技术和弹药清单》,2013年12月4日,WA- List(13) 1, 2019年12月5日。68 Evans,“修订出口管制清单”,p. 19.69 Mark Bromley,“出口管制、人类安全和网络监控技术:Quentin Michel, Christos Charatsis, Lia Caponetti, Sylvain Paile, Emanuela Marrone,“学术活动是否助长了大规模杀伤性武器的扩散?”法国里昂热大学欧洲研究中心,2018;鲍尔和布罗姆利,“军民两用出口管制政策审查”;Samuel A.W. Evans和Walter D. Valdivia,“出口管制和学术自由与国家安全之间的紧张关系”,《密涅瓦》,Vol. 50, No. 2 (2012), pp. 169-90;Christos Charatsis,“在出口授权程序下发表“两用研究”:Emma Scott, Ross Peel, Felix Ruechardt和Nick Mitchell,“大学和研究机构无形技术转移案例研究目录”,伦敦国王学院科学与安全研究中心,2020年,第72页,《军民两用物品和技术清单》和《军需品清单》,第73页,《公开文件》第二卷。《军民两用货物和技术清单》,WA-LIST(18) 2018年12月6日,第221页。74欧盟于2021年春季通过的《军民两用出口管制条例》将网络监控技术列为军民两用,并将侵犯人权作为管制某些非大规模杀伤性武器出口的明确理由。欧洲议会和理事会,《2021年5月20日欧洲议会和理事会条例(EU) 2021/821:关于建立双重用途物品出口、中介、技术援助、过境和转让管制的联盟制度(修订版)》,《欧盟官方公报》,L 206(2021), 75。这种现象可与国际关系学者所说的“论坛购物”相提并论。Felicity Vabulas和Duncan Snidal,“崛起的大国和论坛购物”,为非正式治理研讨会准备的论文,国际研究协会年会,多伦多,2014年3月26-29日;阿曼丁·奥尔西尼、让-弗莱姆·莫兰和奥兰·杨,《政权复合体:全球治理的嗡嗡声、繁荣还是推动?》《全球治理》,第19卷第1期(2013),第27-39页。当不同制度的列表重叠,一个国家决定是否加入一个或几个论坛时,就会发生“论坛购物”。因此,核供应国集团准则的第二部分与《武器双重用途清单》重叠,而《武器双重用途清单》也与MTCR所涵盖的货物重叠。WA弹药清单也与部分AG弹药清单重叠,而AG弹药清单又与整个CWC弹药清单重叠。D.J.
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