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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
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. The Role of Umbrella States in the Global Nuclear Order

Author:
Tytti Erästö
Publication Date:
06-2023
Content Type:
Commentary and Analysis
Institution:
Stockholm International Peace Research Institute
Abstract:
This paper focuses on countries under extended nuclear deterrence arrangements, or ‘umbrella’ states. The paper explores the ways in which umbrella states both in the Asia-Pacific region and in Europe have supported prevailing nuclear deterrence practices or distanced themselves from such practices. While there is a tendency for these countries to side with their nuclear-armed patron on matters related to nuclear weapons and nuclear disarmament norms, at times they have taken steps away from the allied mainstream position by advocating for anti-nuclear weapon policies. As long as extended deterrence has a nuclear dimension, allies will need to balance between normative pressures to support nuclear disarmament and alliance commitments that require at least passive support for nuclear deterrence practices.
Topic:
Arms Control and Proliferation, Nuclear Weapons, Treaties and Agreements, Alliance, and Deterrence
Political Geography:
Europe and Asia-Pacific

3. Verifying Nuclear Disarmament: Lessons Learned in South Africa, Iraq and Libya

Author:
Robert E. Kelley
Publication Date:
01-2023
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
Inspections in the 1990s and early 2000s in South Africa, Iraq and Libya were designed to discover the details of nuclear weapon programmes and destroy any remnants. As the global norm against nuclear weapons strengthens, the international community may once more require verification of a state’s denuclearization. But success in the three earlier cases does not guarantee success in the next similar task—any future inspection mission must learn from the lessons of the past. This report draws on the unique experience of Robert E. Kelley, a participant in all three past denuclearization efforts. In it, he gives an account of the unique scale and circumstances of each investigation and the different tools and approaches required. By publicly documenting and comparing obstacles and successes in the three cases for the first time, this report gives meaningful and practical insight into the difficult work of disarmament and its verification. It is an essential resource for future inspectors—and all others interested in what real disarmament looks like on the ground.
Topic:
Arms Control and Proliferation, Nuclear Weapons, Disarmament, and Transparency
Political Geography:
Africa, Iraq, Middle East, Libya, South Africa, and North Africa

4. Revisiting ‘Minimal Nuclear Deterrence’: Laying the Ground for Multilateral Nuclear Disarmament

Author:
Tytti Erästö
Publication Date:
06-2022
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
The prospects for nuclear arms control appear dim following Russia’s invasion of Ukraine. Instead of continued reliance on nuclear deterrence, the resulting new awareness of nuclear risks should inform bold nuclear disarmament measures in the long term. Drawing on previous debates on ‘minimal nuclear deterrence’, this paper argues that nuclear deterrence is possible at low numbers, and hence reliance on nuclear deterrence is not an obstacle to significant progress in nuclear disarmament. In particular, there is scope for reducing the vast Russian and United States nuclear arsenals, which risk planetary-scale destruction and stand in the way of multilateral nuclear disarmament. At the same time, recent military-technological evolution has raised the bar for minimal nuclear deterrence by questioning the survivability of nuclear forces. In addition to making recommendations on how to address such strategic challenges, the paper addresses some conceptual dilemmas traditionally associated with minimal nuclear deterrence.
Topic:
Arms Control and Proliferation, Nuclear Weapons, Weapons of Mass Destruction, Disarmament, Multilateralism, and Deterrence
Political Geography:
Global Focus

5. Multidomain Deterrence and Strategic Stability in China

Author:
Lora Saalman
Publication Date:
01-2022
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
Over the past few years, China has displayed a wide range of advances in military capabilities and infrastructure, including its test of a hypersonic glide vehicle coupled with a fractional orbital bombardment system and evidence of new intercontinental ballistic missile silos. While China and the United States remain at political odds, there are indications that China’s strategies in space, cyberspace and nuclear domains are increasingly converging with those of the USA, as well as Russia. A key question is whether this strategic convergence is a stabilizing or destabilizing phenomenon. To answer the question, this paper explores the current state of Chinese discussions on multidomain deterrence and strategic stability, with a focus on active defence and proactive defence. It then examines how these concepts are manifesting themselves in China’s postural and technological indicators, including pre-mating of nuclear warheads to delivery platforms, expanded nuclear arsenal size, possible shifts towards launch on warning, integration of dual-capable systems, and advances in machine learning and autonomy. It concludes with a discussion of what these trends mean for future strategic stability talks.
Topic:
Arms Control and Proliferation, Nuclear Weapons, Weapons of Mass Destruction, Nonproliferation, and Deterrence
Political Geography:
China and Asia

6. Adapting the Missile Technology Control Regime for Current and Future Challenges

Author:
Kolja Brockmann, Mark Bromley, and Lauriane Héau
Publication Date:
12-2022
Content Type:
Policy Brief
Institution:
Stockholm International Peace Research Institute
Abstract:
The Missile Technology Control Regime (MTCR) is a cornerstone of the non-proliferation architecture for missiles and other uncrewed aerial vehicles. However, geopolitical and technical developments and operational challenges threaten the regime’s effectiveness and create a need for reform in several areas. The MTCR partners should develop a clear strategy for determining if and how to expand MTCR membership. To increase the number of adherents, partners should pursue reinforced outreach and expand and promote the benefits offered. By improving the transparency of its procedures and deliberations, the regime can make them more understandable for non-partners. The partners can also improve the MTCR’s legitimacy by emphasizing that it provides public goods and helps states to meet their international obligations. The regime can also address the challenges of emerging technologies by focusing on technical deliberations and sharing information and good practices. Through all this, the MTCR must ensure its continued functioning in the face of geopolitical tensions and armed conflict between partners.
Topic:
Foreign Policy, Arms Control and Proliferation, Science and Technology, Geopolitics, and Weapons
Political Geography:
Global Focus

7. Arms-production Capabilities in the Indo-Pacific Region: Measuring Self-reliance

Author:
Lucie Béraud-Sudreau, Xiao Liang, Siemon T. Wezeman, and Ming Sun
Publication Date:
10-2022
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
Armed forces in the Indo-Pacific region remain dependent on weapon systems imported from foreign suppliers. This is despite the efforts of many governments in the Indo-Pacific to implement policies that support the development of local arms industrial capabilities with the aim of increasing self-reliance. This report develops three indicators to give a score and regional ranking of self-reliance in arms production to 12 jurisdictions in the Indo-Pacific region: Australia, China, India, Indonesia, Japan, South Korea, Malaysia, Pakistan, Singapore, Taiwan, Thailand and Viet Nam. Overall, this report contributes to knowledge and debates on armament trends and military modernization in the Indo-Pacific. In a region where tensions among neighbours are rising, it further contributes to transparency with regard to levels of self-reliance in domestic arms production, allowing for an independent assessment of the region’s respective arms industries.
Topic:
Security, Foreign Policy, Arms Control and Proliferation, Arms Trade, and Imports
Political Geography:
China, Australia, and Indo-Pacific

8. Supporting Small Arms and Light Weapons Controls through Development Assistance: The Case of sub-Saharan Africa

Author:
Giovanna Maletta and Lucile Robin
Publication Date:
02-2021
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
The proliferation of small arms and light weapons (SALW) has had a negative impact on conflict, security and development. In order to help states to address the multifaceted challenges posed by the proliferation of these weapons, some states as well as regional and international organizations have established a series of funding instruments and assistance programmes that support or provide SALW control-related assistance. In view of the recognized linkages between SALW proliferation, security and development, official development assistance (ODA) has progressively become an eligible source of funding in this field. However, there remains limited clarity on which assistance activities have been supported through development spending. A comprehensive assessment of the use of ODA to support SALW control-related assistance could help donors, policymakers and interested stakeholders to understand how assistance policies have adjusted to the recognition of the link between conventional arms control and sustainable development made in the 2030 Agenda for Sustainable Development. Focusing on SALW control-related assistance provided in sub-Saharan Africa as a case study and comparing information included in separate data sets compiled by SIPRI and the Organisation for Economic Co-operation and Development, this report attempts to provide information on which relevant activities have been supported through ODA in this region. It shows that only a limited number of donors have used ODA to support SALW control-related assistance and that they have different practices in the way they report on the use of these funds. It also outlines the challenges that make mapping this assistance a particularly difficult exercise.
Topic:
Security, Arms Control and Proliferation, Development, and Development Assistance
Political Geography:
Africa and Sub-Saharan Africa

9. Taking Stock of the Arms Trade Treaty: Universalization

Author:
Rachel Stohl
Publication Date:
08-2021
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
The rate at which states are joining the 2013 Arms Trade Treaty (ATT) has naturally slowed. Universalization efforts have been carried out through a variety of different frameworks, both within the ATT regime—including the Working Group on Treaty Universalization (WGTU), a sponsorship programme and the Voluntary Trust Fund (VTF)—and by the United Nations, regional organizations and civil society. Universalization of the ATT contributes to the development of standards and norms in the international arms trade. If a party flouts the treaty’s require­ments, it undermines the treaty and makes universal­ization less meaningful. Thus, universalization means both expanding the number of states parties and ensuring that they live up to their obligations. This is one of a series of five papers that are being produced as part of a wider project aimed at taking stock of specific aspects of the ATT—its scope, the application of the risk-assessment criteria, its processes and forums, universalization efforts, and international assistance to support ATT implementation.
Topic:
Arms Control and Proliferation, Treaties and Agreements, United Nations, Arms Trade, and Risk
Political Geography:
Global Focus

10. Taking Stock of the Arms Trade Treaty: Scope

Author:
Paul Holtom
Publication Date:
08-2021
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
The scope of the 2013 Arms Trade Treaty (ATT) refers to the conventional arms, ammunition/munitions, and parts and components that are covered by the treaty. ATT stakeholders are providing guidance and assistance for states parties to implement provisions on scope contained in Articles 2–5 of the Treaty. ATT Article 17(4) provides for the Conference of States Parties (CSP) to review the treaty’s scope to take into account relevant technological developments in the field of conventional arms. Now is an opportune moment to explore mechanisms to review the scope of the Treaty to keep it in line with, at least, the coverage of the United Nations Register of Conventional Arms (UNROCA). This is one of a series of five papers that are being produced as part of a wider project aimed at taking stock of specific aspects of the ATT—its scope, the application of the risk-assessment criteria, its processes and forums, universalization efforts, and international assistance to support ATT implementation.
Topic:
Arms Control and Proliferation, Treaties and Agreements, and Arms Trade
Political Geography:
Global Focus

11. Taking Stock of the Arms Trade Treaty: Processes and Forums

Author:
Roberto Dondisch
Publication Date:
08-2021
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
The 2013 Arms Trade Treaty (ATT) has a number of attached processes and forums that are aimed at enabling and promoting both the effective implementation of the treaty by states parties and its further universalization. In order to operate effectively these processes and forums need to be designed and operated in ways that reflect the ATT’s unique status as a trade treaty with a core humanitarian objective. The ATT states parties must consider the current support architecture and the challenges that it faces. These include effectively transitioning from a negotiation to an implementation framework; avoiding inherent risks to the treaty’s objective; implementing the risk-mitigation clause; maintaining the balance between exporters and importers; preserving transparency; and implementing possible good practice options. This is one of a series of five papers that are being produced as part of a wider project aimed at taking stock of specific aspects of the ATT—its scope, the application of the risk-assessment criteria, its processes and forums, universalization efforts, and international assistance to support ATT implementation.
Topic:
Arms Control and Proliferation, Treaties and Agreements, and Arms Trade
Political Geography:
Global Focus

12. Taking Stock of the Arms Trade Treaty: International Assistance to Support Implementation

Author:
Giovanna Maletta and Sibylle Bauer
Publication Date:
08-2021
Content Type:
Working Paper
Institution:
Stockholm International Peace Research Institute
Abstract:
The provision of international assistance is key to achieving the effective implementation of the 2013 Arms Trade Treaty (ATT). Assistance instruments include the ATT’s own Voluntary Trust Fund (VTF), mechanisms established by the United Nations and the European Union (EU), and efforts by other international and regional organizations and non-governmental organizations (NGOs). The donors, implementers and ATT states parties should reflect on the role played by the assistance instruments in improving implementation of the treaty. To strengthen the role of international assistance in supporting implementation of the ATT, the ATT Secretariat and ATT-related processes and assistance programmes should enhance the sustainability and effectiveness of assistance efforts and further improve coordination. This is one of a series of five papers that are being produced as part of a wider project aimed at taking stock of specific aspects of the ATT—its scope, the application of the risk-assessment criteria, its processes and forums, universalization efforts, and international assistance to support ATT implementation.
Topic:
Arms Control and Proliferation, Treaties and Agreements, and Arms Trade
Political Geography:
Global Focus

13. Taking Stock of the Arms Trade Treaty: Application of the Risk-assessment Criteria

Author:
Paul Beijer
Publication Date:
08-2021
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
A central element of the 2013 Arms Trade Treaty (ATT) is the risk-assessment criteria in articles 6 and 7. The flexibility in the wording of the two articles has required efforts to reach common interpretations of the criteria in order to lessen the scope for different assessment outcomes. These efforts, as well as improved and aligned national practices, will enhance the treaty’s long-term impact. While there are limits to how far some states parties will want to go, there is a genuine preparedness to look at ways to increase the effectiveness of the ATT that should be encouraged and supported. This is one of a series of five papers that are being produced as part of a wider project aimed at taking stock of specific aspects of the ATT—its scope, the application of the risk-assessment criteria, its processes and forums, universalization efforts, and international assistance to support ATT implementation.
Topic:
Arms Control and Proliferation, Treaties and Agreements, Arms Trade, and Risk
Political Geography:
Global Focus

14. 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
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

15. Additive Manufacturing for Missiles and Other Uncrewed Delivery Systems: Challenges for the Missile Technology Control Regime

Author:
Kolja Brockmann
Publication Date:
10-2021
Content Type:
Policy Brief
Institution:
Stockholm International Peace Research Institute
Abstract:
Additive manufacturing (AM) has become an attractive production technology for the aerospace sector, particularly in the area of missiles, space launch vehicles and uncrewed aerial vehicles (UAVs). Modern AM techniques—often referred to as 3D printing—create objects from feedstock materials such as metallic powders by building them up from the first to the last layer in an iterative process of depositing and fusing layers of material. AM is being used to produce a growing range of components for missiles and UAVs. AM has been recognized to pose a growing proliferation threat and a challenge to existing export controls. The Missile Technology Control Regime (MTCR) has been discussing AM since at least 2013 and seeks to update and harmonize the export controls of the participating states to mitigate the risks posed by AM and ensure the effectiveness of export controls. The export controls prescribed by the MTCR and some of the other regimes already create controls on AM. However, many of these controls are based on overlaps rather than control list items that cover AM by design and may not ensure adequate coverage. This report provides a short introduction to modern AM techniques and describes a range of specific applications of AM in missiles and other delivery systems. It discusses the proliferation risks posed by AM and the engineering and organizational considerations that have to be weighed against the technical capabilities of AM. It analyses the application of export controls to AM, primarily under the MTCR, by discussing controls on AM production equipment; feedstock materials; transfers of technology and technical assistance; and catch-all controls. The report concludes by outlining key measures through which the MTCR could strengthen its efforts to address AM and the proliferation risks and challenges to export controls it poses.
Topic:
Arms Control and Proliferation, Science and Technology, Arms Trade, and Disarmament
Political Geography:
Global Focus

16. South Asia’s Nuclear Challenges: Interlocking Views from India, Pakistan, China, Russia and the United States

Author:
Petr Topychkanov and Lora Saalman
Publication Date:
04-2021
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
This report provides an overview of views on nuclear postures and escalation affecting South Asia, based on 119 research interviews conducted in 2020 with military, nuclear, political and regional experts from India, Pakistan, China, Russia and the United States. The publication also builds on the findings from a virtual workshop that SIPRI hosted on 8 and 9 December 2020 on ‘Nuclear challenges in South Asia: Views from India, Pakistan, China, Russia, Australia, New Zealand and the USA’. These discussions revealed a variety of interlocking insights on such issues as no first use, lowered nuclear thresholds, conventional and nuclear entanglement and emerging technologies that are shaping strategic stability. The publication consists of five country-focused sections that explore nuclear postures, strategic technologies and escalatory risks, as well as conclusions that offer building blocks for the next steps on engagement. This report was prepared in the framework of the SIPRI project Assessing Nuclear Deterrence Risks and Challenges in South Asia, generously supported by the German Federal Foreign Office.
Topic:
Arms Control and Proliferation, Nuclear Power, and Disarmament
Political Geography:
Pakistan, Russia, China, South Asia, India, and United States of America

17. New Technologies and Nuclear Disarmament: Outlining a Way Forward

Author:
Tytti Erästö
Publication Date:
05-2021
Content Type:
Special Report
Institution:
Stockholm International Peace Research Institute
Abstract:
This report sheds light on the impact of recent military-technological advancements on nuclear deterrence and disarmament. Noting that progress towards multilateral disarmament is hardly possible without prior and significant reductions in the largest nuclear weapon arsenals, the report views the resumption of bilateral arms control between Russia and the United States as the most important step towards disarmament at the present moment. It argues that these two countries should move away from their cold war era nuclear doctrines, which seek an ability to win nuclear wars, towards a policy of ‘minimal nuclear deterrence’, that is focused on deterring a nuclear attack. In line with doctrinal changes, further cuts in Russian and US nuclear stockpiles could be achieved by removing nuclear weapons from regional conflict dynamics, meaning that they would no longer serve as a deterrent against conventional aggression. Such a change would help to reduce nuclear risks without undermining regional deterrence, as each side already has robust conventional forces comprised of precision-strike weapons and other advanced military systems. At the same time, the report notes that progress towards nuclear disarmament would be complicated by long-range precision-strike weapons and strategic missile defences, which have raised the bar for credible nuclear deterrence by creating uncertainty about US adversaries’ second-strike capabilities. Lowering that bar and eventually reducing the perceived need for nuclear deterrence will require creative arms control diplomacy, including limits on strategic missile defences; stronger norms against both nuclear and conventional aggression; as well as a clear stigma against nuclear weapons.
Topic:
Arms Control and Proliferation, Nuclear Weapons, Science and Technology, and Disarmament
Political Geography:
Russia and United States of America