Index

A

Administrative due process, 148-149, 193

Administrative law judge, 94-95, 323-325

Administrative Procedure Act (APA), 101, 148-149, 312, 321, 323, 324, 326-331, 333

Administrative reforms

alternatives for consolidating agency functions, 144-146, 179-180

changes in agency and administrative authority, 146-147

need for consolidated functions, 143-144

recommendations for, 190-191

Advanced materials

control/decontrol of, 204-206

relationship to militarily critical weapon systems, 202-204

report of subpanel on, 199-221

Advanced materials industry

effect of export controls on, 20-22, 202

in Taiwan, 289

U.S. export controls and, 20-22, 200-202

Advisory Committee on Export Policy, 82

Afghanistan

foreign policy export controls, 314

Aircraft industry. See Commercial aircraft and jet engine industries

Allen, Lew, Jr., 6, 318

Allen panel, 6, 10-11, 28n, 100

Allen report (Balancing the National Interest: U.S. National Security Export Controls and Global Economic Competition), 6, 10, 153, 318

Antiterrorism controls, in Export Administration Regulations, 78

Argentina

cooperation on export controls with U.S., 123

nuclear facilities in, 56

Armenia, 55

Arms Export Control Act (AECA) of 1976, 62, 77, 104, 114, 146-147, 313, 330-331

Asia fact-finding mission

general issues, 286-288

Hong Kong meetings, 291-293

Japan meetings, 296-299

Macao visit, 293

Republic of Korea meetings, 293-295

Taiwan meetings, 288-291

Atomic Energy Act of 1954, 70, 95, 104

Australia Group

British membership in, 270

core list developed by, 77, 98

export of chemicals to members of, 85

as members of Missile Technology Control Regime, 129-130

purpose of, 71, 135, 136

Swiss membership in, 286

Austria, 67, 124, 125

Azerbaijan, 55

B

Balancing the National Interest: U.S. National Security Export Controls and Global Economic Competition. See Allen report

Battle Act (Mutual Defense Assistance Control Act), 62, 311, 314

Belgium, fact-finding mission to, 282-285

Biological weapons

biological organisms, 79

efforts to limit proliferation, 89



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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Index A Administrative due process, 148-149, 193 Administrative law judge, 94-95, 323-325 Administrative Procedure Act (APA), 101, 148-149, 312, 321, 323, 324, 326-331, 333 Administrative reforms alternatives for consolidating agency functions, 144-146, 179-180 changes in agency and administrative authority, 146-147 need for consolidated functions, 143-144 recommendations for, 190-191 Advanced materials control/decontrol of, 204-206 relationship to militarily critical weapon systems, 202-204 report of subpanel on, 199-221 Advanced materials industry effect of export controls on, 20-22, 202 in Taiwan, 289 U.S. export controls and, 20-22, 200-202 Advisory Committee on Export Policy, 82 Afghanistan foreign policy export controls, 314 Aircraft industry. See Commercial aircraft and jet engine industries Allen, Lew, Jr., 6, 318 Allen panel, 6, 10-11, 28n, 100 Allen report (Balancing the National Interest: U.S. National Security Export Controls and Global Economic Competition), 6, 10, 153, 318 Antiterrorism controls, in Export Administration Regulations, 78 Argentina cooperation on export controls with U.S., 123 nuclear facilities in, 56 Armenia, 55 Arms Export Control Act (AECA) of 1976, 62, 77, 104, 114, 146-147, 313, 330-331 Asia fact-finding mission general issues, 286-288 Hong Kong meetings, 291-293 Japan meetings, 296-299 Macao visit, 293 Republic of Korea meetings, 293-295 Taiwan meetings, 288-291 Atomic Energy Act of 1954, 70, 95, 104 Australia Group British membership in, 270 core list developed by, 77, 98 export of chemicals to members of, 85 as members of Missile Technology Control Regime, 129-130 purpose of, 71, 135, 136 Swiss membership in, 286 Austria, 67, 124, 125 Azerbaijan, 55 B Balancing the National Interest: U.S. National Security Export Controls and Global Economic Competition. See Allen report Battle Act (Mutual Defense Assistance Control Act), 62, 311, 314 Belgium, fact-finding mission to, 282-285 Biological weapons biological organisms, 79 efforts to limit proliferation, 89

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment need for changes in access to, 107 proliferation of, 2, 59 Brazil cooperation on export controls with U.S., 123 nuclear facilities, 56 Bucy, J. Fred, 28n, 339 Bulgaria change in relationship with Soviet Union, 43-44 economic aid for, 50 Bulk licensing, 109 Bureau of Export Administration (BXA), 79-80, 94, 95, 146, 191, 338 C Cambodia, 72, 78 Canada fact-finding mission general issues, 299-300 meeting with government officials, 300-301 meeting with industry representatives, 302-303 Canadian Aerospace Industries Association, 303 Canadian Export Association, 302 Canopies for jet fighter planes, 21n Carter, Jimmy, 314, 316 Center for Information on Strategic Technology, 298 Center for Study of Relation Between Technologies and Strategies (CREST), 276 Central America, regional conflict in southern, 55 Chad, 57 Chemical weapons availability in countries in Middle East, 55 foreign policy controls and, 116 license processing for items related to, 83 need for changes in access to, 107, 108 problems in monitoring, 35-36 proliferation controls, 2, 71, 77, 79, 89, 132, 135-136, 178 proliferation of, 57-59 Chemical Weapons Convention (CWC), 71, 135-137, 185 China. See People's Republic of China China Green Line, 51, 65, 279, 281 CoCom. See Coordinating Committee for Multilateral Export Controls CoCom countries See also Coordinating Committee for Multilateral Export Controls (CoCom); individual countries access to export control information in, 20 differences in control practices vis-à-vis U.S., 19, 101 interest in changing dual use item restrictions, 107 opposition to extraterritoriality, 317 prevention of reexports of CoCom-controlled items, 30 Third Country Cooperation initiative, 66-68, 122-126, 171, 176 trade between European Community members of, 120-122 CoCom High-Level Meeting (June 1990) redefinition of control levels for computers, 25 results, 20, 67, 96, 126, 343 CoCom Industrial List, 3, 75, 87, 95, 118, 121, 175, 192, 242, 302 Cold War era, 310-312, 321 Commerce Department, U.S. as chief export control administrative agency, 145-146, 180 enforcement procedures of, 150 involvement in judicial review, 101-102, 321-333 involvement in National Security Council meetings, 153 licensing responsibilities, 79-86 problem of overlapping jurisdictions facing, 94-95 study on emerging technologies, 21, 200 technical advisory committees established and administered by, 102 , 103, 195, 336, 338, 343-347 Commercial aircraft and jet engine industries Airbus Industrie, 23, 227 effect on U.S. economy and national security, 225 effectiveness of controls based on structure of, 240-241 export control problems related to, 241-243 features of, 224-225 foreign partnerships, 226, 246 impact of export controls on, 22-23, 222, 238-239 major companies, 223 nations with heavy maintenance capability, 226, 247 purchase orders, 244, 245 report of subpanel on, 222-247 Soviet, 234-238 technologies critical to military lead of West, 230-231, 234 technology components, 228-230 trend toward globalization and foreign competition, 225-228 U.S. vs. Soviet technologies, 236-238 Committee on Science, Engineering, and Public Policy (COSEPUP), 57, 6-7, 306-307 Commodities characteristics of, 252 computer products classified as, 256 definition of, 163, 164 Commoditization of products, 250 Commodity Control List (CCL), 72, 73, 77, 80, 95, 190, 192, 241 analysis of selected entries, 207-213 application of risk/opportunity formula to items on, 200, 214 controllability of items, 172 Computer industry controllability issues in, 251-253 export controls, 23-25, 256-261 and foreign availability assessments, 255-256

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment international issues, 261-265 means of control and decontrol in, 253-255 report of subpanel on, 248-265 in Taiwan, 289 trends, 249-250 Computer networks, 258-260 Computer software export controls, 163, 260-261 military-use, 260 over-the-counter, 249, 260-261 sunset provisions, 254 Conference on Disarmament, 71 Congressional Research Service (CRS), 87, 171 Control identifiers, 122 Control list construction (U.S.) comparing benefits and costs, 159-160 defining item-groups, 349-352 development, 20, 155 identifying economic and foreign policy costs, 158-159 identifying items of concern, 156-157 identifying security risks, 158 quantitative analysis used in, 352-355 rank ordering of item-groups, 352 recommendations regarding, 147-148, 188, 192 Control list management administrative problems, 223 and foreign policy controls, 76-77 industry participation, 103, 176 integration and review, 147-148, 160 jurisdictional disputes, 87, 147, 148 national security priorities, 73-76, 162 periodic reconstruction, 161-162 single agency authority, 144 sunsetting, 160, 161, 184, 248 Control lists characteristics of CoCom, 3, 65-66, 73, 75 characteristics of U.S., 72-73, 172-173 controllability aspect, 162-164 policy and procedures established by national security directives, 142-143 problems with established system, 39, 52, 95-98, 154-155 Controllability of computer technology, 248, 251-253 list, 162-164 Coordinating Committee for Multilateral Export Controls (CoCom). See also CoCom countries administration and management, 126-128, 176-177, 187 British views of, 268-269 characteristics of control lists, 3, 65-66, 73, 75 as coordinator of nonproliferation efforts, 131, 177-178 development and strategy, 3, 64-65 effects of borderless trade within European community on, 120-122, 175-176, 186 establishment, 62, 311 involvement of TACs in, 338, 339 involvement of TTGs in, 342, 343 licensing and enforcement standards, 67-69, 127 list development, 24, 52, 65-66, 73, 97-98, 126, 156, 157, 159-164 , 347 list review in 1990, 138, 154 meeting of panel fact-finding delegation and U.S. representatives to, 275 objectives, 118-120, 175 outdated export controls used by, 39, 95-98 recommendations on, 120, 123-124, 126-128, 185-187 relaxation of restrictions, 2, 51, 52, 107, 249 and third country cooperation, 66-67, 122-126, 176 U.S. representation, 151, 194 Copyright protection, software, 261 Corson report (Scientific Communication and National Security), 6 COSEPUP. See Committee on Science, Engineering, and Public Policy Crime control, in Export Administration Regulations, 78 Cuba Canadian trade with, 300 export controls targeted against, 72, 78 Czechoslovakia change in relationship with Soviet Union, 31-32, 43, 47-48 economic aid for, 50 economic change in, 49 export regulations for, 65, 93 D De-Americanization of foreign-made products, 115n, 280, 317 Defense deficiencies in industrial base, 10 impact of export limitations of advanced materials on, 21-22 Defense Advanced Research Projects Agency, 41 Defense article, 87, 190 Defense Department, U.S. as chief administrative agency, 145, 179 influence on U.S. and CoCom policy, 127 involvement in technical advisory committees, 195 jurisdictional problems involving, 93 licensing responsibilities, 80, 81, 83, 316 May 1989 report on militarily critical technologies, 41 Defense industrial base, weakening of U.S., 42 Defense Science Board Task Force report on Export of U.S. Technology (Bucy Report), 28n, 234, 314 Defense Technology Security Administration (DTSA), 316n Departments, U.S. government. See Commerce Department, U.S.; Defense Department, U.S.; Energy Department, U.S.; State Department, U.S. Detente era, 312-313 Differentiation policy

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment British view of, 269 French view of, 273, 274 German view of, 279, 280 Dispute resolution deadlines, 148, 190 inefficient, 98-99, 173 jurisdictional, 87, 93, 147, 148, 172 national security directives regarding, 143, 188 Diversion, technology acquisition through British view of, 269 East European-Soviet cooperation regarding, 44 searches for patterns of, 133 as technology acquisition method, 30, 31, 167-168 Diversion-in-place protection, 253, 257 Drug Enforcement Administration, 150, 180 Dual use products/technologies development of standards for, 190 European support for controls on, 52, 62 export control of, 80, 87, 100, 101, 132, 137, 191, 217, 242 jurisdictional problems, 147 methods of acquisition, 32 military benefits provided to adversaries, 128-129, 134, 156-157 possibility of assurances with Soviets regarding nondiversion of, 45 restriction changes, 107, 111, 118, 120, 182 for Soviet Union and Eastern Europe, 50, 52, 107, 108, 156-157, 169 , 183, 250, 314 Due process, administrative, 148-149, 193 E EAA. See Export Administration Act (EAA) East Germany. See German Democratic Republic Eastern Europe See also Warsaw Treaty Organization (WTO) allies computer industries in, 24 economic and political changes in, 2, 10, 13-14, 16, 27-28, 43-46, 166, 181 economic exchange with West, 49-50, 169 goods eligible for export to, 93, 185 intelligence services of, 28, 44 need for changes in export controls for, 111-112, 118, 120 Economic aid, to Soviet Union and Eastern Europe, 50 Economic challenges, of United States, 14-15, 40-43, 165 Economic Defense Advisory Council (EDAC), Working Group I, 75-76 Embargoed countries, in Export Administration Regulations, 78-79 Embargoes as form of export management, 109, 132 toward Iraq, 72 Enabling technology, 231n Encryption technology, 260 End-use controls explanation of, 162 need for CoCom to revise guidelines on, 164 properties of items for, 163 published standards for, 186 risk reduction through, 248, 253-254 End-use verification, 119-120 Energy Department, U.S. jurisdictional problems, 93 licensing responsibilities, 83, 84 Enforcement of export controls British views regarding, 271 in Japan, 297-298 judicial review of Commerce Department, 323-324 overlapping, 94-95, 172 recommendations regarding, 94, 149-150, 193-194 responsibilities, 150, 180 of sanctions, 85-86, 94-95, 149-150, 180 Espionage, technology acquisition through, 28-29, 167 Europe fact-finding mission to general issues covered, 267-268 meeting with European Parliament, 284-285 meetings in Belgium, 282-285 meetings in Federal Republic of Germany, 276-282 meetings in France, 273-276 meetings in Great Britain, 268-273 meetings in Switzerland, 285-286 European Atomic Energy Community, 283 European Bank for Reconstruction and Development, 50 European Community (EC) delegation meeting with Commission of the, 283-284 German view of, 278 trade within, 120-122, 175-176, 186 European Parliament delegation meeting, 284-285 Export Administration Act (EAA) authority to maintain list of strategically critical elements, 339 control list management under, 73, 75-76 foreign policy export controls under, 76-77 industry participation provisions, 102, 336, 337 judicial review under, 101-102, 321-333 objectives and purpose of, 62-64, 104, 312-313, 321 and overlapping jurisdiction, 94, 95, 146-147 renewals and revisions, 313, 314 on specific export restrictions, 71, 72 time limits on case review, 82 Export Administration Amendments Act (EAAA) of 1985, 64, 317, 318 Export Administration Regulations (EAR), 77-79, 93 Export Administration Review Board (EARB), 81-82, 84, 99 Export Control Act of 1949, 61, 62, 309n, 310, 312 Export Control Policy Coordinating Committee (EC/PCC), 140, 141, 189, 191

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Export controllability. See Controllability Export controls See also Foreign policy export controls; National security export controls; U.S. export control policy; U.S. export controls; individual countries applicability to control of proliferation, 132-133 in changing global environment, 165-166, 174 on computer technologies and products, 256-261 controllability issues, 162-164 economic and foreign policy costs of, 158-160, 318 forms of, 109-110, 132 impact of aircraft industry structure on effectiveness of, 240-241 problems related to commercial aircraft industry, 241-243 Export Facilitation Act of 1990, 331-332 Export/Import Permits Act (Canada), 300 Export management mechanisms, 108-110 F Fact-finding missions Asian, 286-299 Canadian, 299-303 European, 267-286 Farewell affair, 33, 315 Farewell papers, 33 Federal Republic of Germany (FRG) See also German Democratic Republic (GDR) aerospace industry in, 22-23 economic aid for former GDR, 50 economic outlook for, 41 effects of unification, 43, 44, 49, 169 fact-finding mission to, 276-282 involvement in Libya's chemical facility, 57 Fibrous and filamentary materials export controls on, 210-211 Finland, 67, 124, 125 Force multiplier strategy, 62, 312 Foreign availability, 75, 162-163 Foreign availability assessments, 96-98, 248-249, 255-256 Foreign policy and economic costs of export controls, 158-160 national security as goal of U.S., 115, 154 Foreign policy export controls See also U.S. export control policy and control list management, 76-77 effect on aircraft industry, 22-23, 222, 239, 242 explanation, In, 63-64, 114n Japanese, 298-299 license processing, 83-85 limitations on types and uses, 115-117, 175 recommendations regarding, 116-117, 183-184 France aerospace industry, 22-23 fact-finding mission to, 273-276 as missile technology supplier, 57 French Institute of International Relations, 276 G General Accounting Office, 150, 193 General Agreement on Tariffs and Trade (GATT) talks, 215 German Democratic Republic (GDR) See also Federal Republic of Germany dissolution of, 32 export control system for, 277-278 Germany. See Federal Republic of Germany; German Democratic Republic Global Trends in Computer Technology and Their Impact on Export Control (National Research Council), 7, 24, 250, 257-259, 261-264 Great Britain See also United Kingdom aerospace industry in, 23 fact-finding mission to, 268-273 view on economic aid to Soviet Union and Eastern Europe, 50 H Harriman, Averell, 311 High-walls principles/products, 251, 257, 297 Hong Kong concern regarding China, 287 export control program with United Kingdom, 123 fact-finding mission to, 291-293 industrialization of, 41 Hungary change in relationship with Soviet Union, 31-32, 43, 48 economic aid for, 50 economic change in, 49 export regulations regarding, 65, 93 I Illegal sales technology acquisition through, 29-30 India conflict with Pakistan, 55, 57 export controls for, 113 as missile technology source, 134 nuclear weapon capabilities, 56 Indonesia, 123 Industry. See U.S. industry Industry advisory committee, 151-152 Industry representatives, meetings with during fact-finding missions British, 271-273 Canadian, 302-303 French, 274-275 German, 279-282 Institute for Defense Analyses (IDA), 75, 152-153, 195, 339, 341 Intelligence community explanation, 26n implications of evidence regarding technology acquisition, 36-37 recommendations for monitoring computing

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment technologies, 264-265 recommendations regarding monitoring of technology acquisition, 37 -38, 182-183 role in export control policy process, 36, 168 Intermediate-Range Nuclear Forces treaty (1987), 45, 112 International Atomic Energy Agency, 287 International Atomic Energy List (IAEL), 65, 119-120 International Emergency Economic Powers Act (IEEPA) of 1977, 71-72 , 115, 117, 184, 329, 330 International Industrial List (Industrial List) (IL), 65, 119-120 International Munitions List (IML), 65, 119-120, 242 International Trade Administration, 94, 345, 346 International Traffic in Arms Regulations (ITAR), 77, 80, 93, 114, 242, 251, 258-260 Intra-CoCom Trade (ICT) working group, 69 Iran chemical weapon capabilities, 71 export controls targeted against, 85 war with Iraq, 56, 57 Iraq chemical weapon capabilities, 71 conflict with Israel, 57 decision to invade Kuwait, 53-54 export controls targeted against, 85 nuclear weapon capabilities, 56 war with Iran, 56, 57 Ireland, 120 Israel, 56, 57 ITAR. See International Traffic in Arms Regulations (ITAR) Item-groups for lists method of defining, 157, 349-352 rank ordering of, 352 use of quantitative analysis, 352-355 J Jackson-Vanik amendment to Trade Reform Act of 1974, 313 Japan aerospace industry, 23, 227 competition in supercomputer industry, 25 as economic rival of U.S., 286-287 fact-finding mission to, 296-299 position in advanced materials technology, 21, 200 technological and manufacturing advances, 41 U.S. withdrawal of forces from, 55 Jet engine industry, 231, 233-234 See also Commercial aircraft and jet engine industries Judicial review availability and efficiency under current EAA, 322-327 background information, 321-322 and Export Facilitation Act of 1990, 331-332 insufficient, 101-102, 148-149 policy and legal arguments regarding expansion of agency action under EAA, 327-331 recommendations regarding, 173, 193 K Kennan, George, 310 Kennedy, John F., 56 Keystone equipment, 28n Kirghizia, 55 Korea. See North Korea; South Korea Korean Institute for International Economic Policy, 295 Kuwait, invasion by Iraq, 53-54 L Legal sales, technology acquisition through, 31 Libya chemical weapons capabilities, 57, 71, 112 export controls targeted against, 78, 85 Licenses/licensing See also U.S. export licenses/licensing bulk, 109 CoCom standards, 29, 67-69, 127 elimination between CoCom partners, 121, 122 third country comparisons, 123-125 transactional. 109 Lists. See Control list construction; Control list management; Control lists; individual lists London Suppliers Group. See Nuclear Suppliers Group (NSG) M Macao, 293 Machine tool industry, Taiwanese, 289 Malaysia, 201 Microelectronics industry. See Computer industry Middle East, 8, 55 See also Persian Gulf crisis Middle-ground products, 252-253 Militarily critical products in advanced materials industry, 203-204 in computer industry, 251 Militarily Critical Technologies List (MCTL), 73, 75, 95-96, 172, 339, 341, 343 Militarily related technologies See also Dual use products/technologies; Proliferation technologies of commercial aircraft and jet engine industry, 231-234 Soviet utilization of, 33-35 Military procurement process, 10 Military-use software, 260 Missile delivery systems availability to countries in Middle East. 55, 57 need for changes in access to, 107 proliferation control of, 70-71, 79, 89, 134

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment 135, 178 threat posed by proliferation of, 57-59 Missile technology under foreign policy controls, 116 license processing for items related to, 84-85 Missile Technology Control Regime (MTCR) annex to, 76-77, 98 British view of, 270 effectiveness, 134-135, 137 establishment, 70-71 membership, 129, 137, 185, 282 Missile Technology Export Control (MTEC) group, 85 Mongolia, 48 Most favored nation (MFN) trade status, 313 Multilateral export controls See also Coordinating Committee for Multilateral Export Controls (CoCom); Proliferation controls and CoCom administration and management, 126-128 need for collective proliferation controls, 128-136 objectives of CoCom, 118-120 political and economic changes affecting operation of CoCom, 120-126 Multinational firms export control problems created by, 40 sale of small U.S. companies specializing in advanced materials to , 200-201 U.S. advanced materials companies bought by, 21 U.S. compliance requirements faced by, 93-94 Munitions List (ML), 72, 77, 80, 87, 192, 242 function of, 73 jurisdictional problems of, 87, 147, 148, 190 Mutual Defense Assistance Control Act (Battle Act), 62, 311, 314 N National Defense Act, 153 National discretion (administrative exception controls), 101, 127, 128 National Munitions Control Board, 309 National Science Park (Taiwan), 290 National Security Act of 1947, 139-140, 187 National Security Council (NSC), 139-140, 153, 189, 191 National Security Decision Directive189, 6 National security directives (NSD), 140-143, 157-159, 187-189 National security export controls See also U.S. export control policy on commercial aircraft and jet engines, 222, 242 control list management and, 73-76, 158 See also Control list management elimination of unilateral features, 19-20 explanation, 1n, 12n, 63, 114n industry participation, 102 interagency groups, 141-142, 189 international conditions impacting, 106 license processing, 79-83 limitations on types and uses, 114-116, 175 matrix of, 86, 88-89 new targets for, 112-114, 174-175 outdated, 39, 106-110 policy mechanisms, 140-142 presidential role, 139-140, 187-188 recommendations regarding, 116-117 National security interests and changes in sources of threat, 43-59, 170 changes in Soviet Union and Eastern Europe impacting, 43-46, 168-169 economic and technological challenges, 40-43 and economic exchange with East, 49-50, 169 economic factors in formulation of, 43, 168 export control policy and, 140 findings and recommendations concerning traditional threat, 52-53, 181-182 and People's Republic of China, 50-52, 170 proliferation threat, 2-3, 170-171 shifts in, 15 Soviet defense doctrine and military force deployment impacting, 46-49 studies, 5-6 NATO. See North Atlantic Treaty Organization Netherlands, the, 285 Neutrality Act of 1935, 309 Newly industrializing countries (NICs) growth, 41 participation in Third Country Cooperation initiative, 122 Niobates, 212-213 Nixon administration, 313 Non-Soviet Warsaw Pact (NSWP) countries, 32 Nonenforcement, judicial review of, 324-327 North Atlantic Treaty Organization (NATO) espionage as concern of, 28 establishment, 310 force deployment by, 47 meeting of fact-finding delegation with, 285 strategy, 61-62, 311, 312 North Korea export controls targeted against, 72, 78 nuclear weapons and facilities in, 55-57 viewed as threat, 287, 293-294 Nuclear Non-Proliferation Treaty of 1968 (NNPT), 57, 69-70, 73n, 76, 113, 129, 134, 136, 185, 270, 282 Nuclear Referral List (NRL), 72, 73, 76, 84, 98 Nuclear Regulatory Commission, 84 Nuclear Suppliers Group (NSG) lists maintained by, 76, 98 purpose of, 70 view of dual use items, 134, 137 Nuclear weapons/materials/technologies under foreign policy controls, 116 license processing for items related to, 83, 84 need for changes in access to, 107 proliferation controls, 69-70, 76-77, 79, 88, 134, 177-178 proliferation of, 2, 56-59 See also

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Proliferation technologies O Office of Defense Trade Controls, 80 Office of Defense Trade Policy, 80 Office of Export Enforcement, 150, 172, 180 Office of Technology and Policy Analysis, 191, 338, 345 Omnibus Trade and Competitiveness Act of 1988 and companies exporting without a license, 29-30 export control provisions, 319n foreign availability assessments under, 96, 97 judicial review provisions, 101, 149, 321 Section 2433, 5, 7, 304-305 Over-the-counter software, 249, 260-261 P Pakistan conflict with India, 55, 56 nuclear weapon capabilities, 56 Panel on the Future Design and Implementation of National Security Export Controls charge to panel, 7-9 establishment of, 6-7 focus of study, 9-10 key findings and conclusions, 165-180 scope of work, 8-9 summary of recommendations, 181-195 summary of recommendations of See also Policy recommendations Panel on the Impact of National Security Controls on International Technology Transfer (Allen panel), 6, 10-11, 28n, 100, 318 People's Republic of China (PRC) British policy toward, 269 China Green Line, 51, 65, 279, 281 as controlled destination, 51, 65 efforts to deny access to militarily relevant technology to, 106 export restrictions following Tiananmen Square demonstrations, 72 as missile technology source, 57, 134 as national security threat, 50-52, 170, 287 need for changes in export controls for, 111-113, 170-171 need for participation in efforts to reduce proliferation, 2, 58, 171 technology acquisition by, 26, 27 Perle, Richard N., 313n, 314n, 316 Persian Gulf crisis as source of physical threat, 40, 53-54 and Soviet-Western cooperation, 14, 55 trade embargo against Iraq during, 72 Poland change in relationship with Soviet Union, 31-32, 43, 48 economic aid for, 50 economic change in, 49 export regulations regarding, 65, 93 martial law in, 316 Policy Coordinating Committee on Non-Proliferation (PCC), 83, 85 Policy recommendations See also U.S. export control policy; U.S. export control proposed reforms in response to changes in traditional threat, 52-53, 181-182 on administrative due process and judicial review, 102, 148-149, 193 on borderless trade within European Community, 122, 186 on CoCom, 120, 123-124, 126-128, 185-187 on computer equipment/technology controls, 264 on enforcement issues, 94, 149-150, 193-194 on foreign policy export controls, 116-117, 183-184 on industry participation, 151-153, 194-195 on intelligence community, 37-38, 182-183 on national security export controls, 116-117 on policy execution, 143-146, 190-191 on policy formulation, 140, 187-190 on proliferation controls, 58-59, 114, 131-133, 136-137, 182, 184 185 on structure and format of control lists, 147-148, 188, 192 on technology acquisition, 37-38, 182-183 on third country cooperation, 126, 186 Polycarbonate sheet, 211-212 Polymeric substances, 208-209 Postexport recordkeeping, 110 PRC. See People's Republic of China Preexport notification, 110 President authority during World WarII over exports of militarily significant goods, 309 role in formulation of export control policy, 139-140, 184, 187-188 President's Export Council, Subcommittee on Export Administration (PECSEA), 345, 346 Proliferation as national security threat, 10-11 U.S.-Soviet cooperation regarding, 111 Proliferation controls British approach to, 270-271 chemical, 2, 71, 77, 79, 89, 132, 135-136, 178 See also Chemical weapons coordination of, 129-130, 177-178 in Export Administration Act, 115 German approach to, 278 missile, 70-71, 79, 89, 134-135, 178 See also Missile delivery systems; Missile technology need for applicability of export controls to, 132-133 need for high-level leadership and policy coordination to deal with , 130-132 nuclear, 69-70, 76-77, 79, 88, 134, 177 See also Nuclear weapons/materials/technologies problems existing with, 2-4, 128-129 recommendations regarding, 58-59, 114, 131-133, 136-137, 182, 184185

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Proliferation technologies See also Militarily related technologies acquisition of, 35-36 attempts to limit, 69-71 country-specific objectives, 71-72 regional instabilities exacerbated by, 54-56 threat posed by, 56-59, 170-171, 182 Publicly available software, 260-261 Q Quantitative analysis, 252-255 Quartz crystals, 208 R Reagan administration, 314-317 Recordkeeping, postexport, 110 Reexport controls barriers in Eastern Europe to supply for Soviets, 32 CoCom authorization requirements, 171 CoCom participation in, 30, 66, 100 effect on computer and microelectronics industries, 24 U.S. authorization requirements, 66, 100-101, 171 Regional conflict overview of changes in, 54-56 as source of physical threat, 8, 14, 53-54, 112 Regional stability controls, in Export Administration Regulations, 78 Republic of Korea. See South Korea Research and development (R&D) aging U.S., 41 export restrictions on advanced materials limiting incentives for, 21, 201 Romania, 43-44 S Samsung plant, 295 Sanctions enforcement, 85-86, 94-95, 149-150, 180 use of trade, 99 for violations of international agreements or norms of behavior, 3, 108 Scientific Communication and National Security (Corson report), 6 Selective activity prohibitions, 109, 132 Selective export prohibitions, 109, 132 Singapore industrialization of, 41 national security export controls with U.S., 123 third-country licensing comparisons, 124, 125 Software, computer. See Computer software South Africa export controls toward, 79 nuclear weapons capabilities, 56 South Korea business practices, 294-295 economic growth and industrialization of, 41, 286-287 fact-finding mission to, 293-296 national security export controls with U.S., 123 third-country licensing comparisons, 124, 125 U.S. withdrawal of forces from, 55 Soviet Acquisition of Western Technology (U.S. Central Intelligence Agency), 315 Soviet aircraft technology status of, 234-236 U.S. vs., 236-238 Soviet military defense doctrine and force deployment changes, 46-49 influence on design philosophy of aircraft industry, 235 internal and external changes affecting, 43-46, 170 Soviet technology acquisition changes since beginning of 1990, 31-32, 36 methods prior to 1990, 27-31 policy recommendations regarding, 181 role and implications of intelligence evidence on, 26-27, 36-37 U.S. efforts to limit, 3, 12, 52-53, 88, 106, 314 and utilization, 33-35, 46, 315 Soviet Union computer industry/technology in, 24, 261-264 determining items acceptable for export to, 93, 156-159 economic and political changes in, 8, 9, 13-14, 16, 43-46, 49-50, 52, 154, 159, 166, 181, 250 export control changes needed for, 107, 108, 111-112, 118, 120, 161 , 171 human rights issues, 313-314 intelligence services of, 28 as missile technology source, 57, 134 need for participation in efforts to reduce proliferation of weapons , 2, 58, 113, 171 policy recommendations for dealings with, 181-183, 185 Reagan administration view of, 314-316 regional conflict in, 14, 55 South Korean concern regarding, 293 strategic offensive capability in Central Europe, 2 technology denial strategy used against, 311 threat presented by, 39-40, 51-53, 158, 165, 181, 267, 287 U.S. controls on oil and gas equipment to, 72, 115, 316-317 Space launch technology, 36 State Department, U.S. as chief administrative agency, 145, 179 as coordinator of nonproliferation efforts, 131 involvement in technical advisory committees, 195 licensing responsibilities of, 80, 81, 83, 84 Strategic Arms Reduction Talks (START), 45, 48 Strategic Technology Experts Meeting, 127, 128, 187

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Subgroup on Nuclear Export Coordination (SNEC), 84 Subpanel on Advanced Industrial Materials, 20-22 Subpanel on Advanced Industrial Materials Report executive summary, 199-200 recommendations, 206-207 relationship of advanced materials and technology to militarily critical weapons systems, 202-204 review of control/decontrol of advanced materials, 204-206 U.S. advanced materials industry and U.S. export control, 200-202 Subpanel on Commercial Aircraft and Jet Engines, 22-23 Subpanel on Commercial Aircraft and Jet Engines Report civil aircraft industry, 223-225 examination of Western and Soviet technology, 228-238 impact of export controls on U.S. firms, 238-239 influence of industrial structure on control effectiveness, 239-241 major findings of, 222-223 problems with export control system, 241-243 trend toward globalization and foreign competition, 225-228 Subpanel on Computer Technology, 23-25 Subpanel on Computer Technology Report executive summary, 248-249 export control of specific technologies and products, 256-261 foreign availability assessments, 255-256 industry information, 249-251 international issues, 261-265 issue of controllability, 248, 251-253 means of control and decontrol, 253-255 Sunset provisions procedures, 160, 161 recommendations for use, 184, 254-256 risk reduction through use, 248 Supercomputer Safeguard Plan, 251, 257 Supercomputers effect of export controls on, 24-25 export controls on, 257-258 as high-walls product, 251 Supercritical technology, 214n Switzerland licensing benefits, 67 panel fact-finding mission to, 285-286 third-country licensing comparisons, 124, 125 Syria, 71, 85 T TACs. See Technical advisory committees (TACs) Taiwan economic growth and industrialization, 41, 286-287 fact-finding mission to, 288-291 interest in establishing export controls with U.S., 123 third-country licensing comparisons, 124, 125 Tantalates, 212-213 Technical advisory committees (TACS) establishment and function, 75, 102, 336-337 financial responsibility and coordination for, 152-153, 195 meetings, 338-339 recommendations regarding, 343-347 responsibilities and authority, 337-338 role in construction of CoCom core list, 103 Technical task groups (TTGs), 75, 342-343 Technical working groups (TWGs) establishment of, 75, 339-340 meetings, 341-342 membership and application process, 341 recommendations regarding, 343 responsibilities and authority, 340-341 Technological challenges, of United States, 14-15, 40-43, 165 Technology. See Militarily related technologies; Proliferation technologies Technology acquisition changes in nature and patterns since beginning of 1990, 31-32 and implications of intelligence evidence, 36-37 panel examination of, 26-27 of proliferation concern, 35-36 recommendations regarding, 37-38 and role of intelligence community, 36, 168 Soviet. See Soviet technology acquisition Technology acquisition methods diversion, 30, 31, 44, 133, 167-168 , 269, 288 espionage, 28-29, 167 illegal sales, 29-30 legal sales, 31 Technology transfer Allen study on, 6, 10 by multinational firms, 40 with Soviet Union and Eastern Europe, 2, 262-264 Technology Transfer Intelligence Committee (TTIC), 27-28, 36 Terrorism impact of trade restrictions on state-sponsored, 55 as source of physical threat, 54, 112 Third countries control program, 66-68, 122-126, 171, 176 explanation, 28n policy recommendations regarding, 126, 186 technology acquisition through, 30, 31 Third Country Cooperation (TCC), 30, 66-68, 122-126, 176 Third Country Cooperation Working Group, 66 Titanium-based alloys, 213 Toshiba-Kongsberg case, 29, 33, 64, 296-298, 318-319 Trade as catalyst for change in Eastern Europe and Soviet Union, 50 within European Community, 120-122 impact of export control policy on U.S.,

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment 107, 108 importance to U.S. economy, 42 Trade Reform Act of 1974, 313 Trading companies, 292-293 Trading with the Enemy Act of 1917, 71, 72, 78-79, 95, 104-105, 308 -309 Transactional licensing, 109 Transborder data flow, 258-260 Treaty of Rome, 121, 271, 284 Treaty on Conventional Forces in Europe (CFE), 1-2, 34, 45 limitations imposed by, 52 on-site inspection regimes in, 112 terms, 48 Trigger lists, 70, 76 Truman, Harry, 310-311 TTGs. See Technical task groups U Uncontrollable items. See Controllability Unilateralism, of U.S. export policy, 19-20, 167, 173 United Kingdom, 123 See also Great Britain United Nations, 131 United Nations Conference on Disarmament, 58 United States aircraft and jet engine industry, 223 See also Commercial aircraft and jet engine industries economic aid to Soviet Union and Eastern Europe, 50 economic and technological challenges, 14-15, 40-43, 165 economic cost of export controls, 154, 318 efforts to deny Western technology to Soviet Union and its allies, 12 as missile technology supplier, 57 recommendations regarding national security policy, 181-182 Soviet military-related technology vs., 33-35 U.S. Chamber of Commerce fact-finding meeting in Frankfurt, 280, 281 fact-finding meeting in Hong Kong, 292-293 fact-finding meeting in Taiwan, 291 U.S. Customs Service function of export policy enforcement, 85-86, 150, 180 overlapping jurisdiction problem, 94-95, 172 U.S. distribution licenses, 119 U.S. export control policy See also Foreign policy export controls; National security export controls adverse effect on competitive position in international trade, 107 and balancing national interests, 317-319 changes related to proposed reforms, 146-151, 178-179 and CoCom involvement, 64-69 See also Coordinating Committee for Multilateral Export Controls (CoCom) containment policy during Cold War, 310-312 control list management, 72-77 early history, 61-64, 308-309 economic and technological impact of, 10 effectiveness of traditional, 113 European concern regarding, 268 execution of, 143-146 future opportunities for, 319-320 impact on U.S. industry, 18-25, 166-167, 202, 222, 239, 317 industry participation in, 102-103, 151-153, 173-174, 186, 194-195 mechanisms studied by panel, 108-110 organization and objectives of, 1, 3, 4 process goals, 138-139 promotion of trade and national security during détente era, 312-313 Reagan administration influence on, 314-317 redefinition of, 15-17, 165-166 regulations, 77-79 role of intelligence community in, 36 unilateral nature of, 99-101, 173 U.S.-Soviet relations and, 313-314 U.S. export control problems exercise of export control authority, 99 industry participation, 102-103, 173-174 ineffective dispute resolution, 98-99, 173 insufficient judicial review, 101-102, 173 jurisdictional disputes, 87, 93, 147, 148, 172, 190 licensing complexity, 93-94 multiplicity of statutes, agencies, and regimes, 86-92, 171-172 nature and extent of unilateral controls, 99-101, 173 outdated and confusing control lists, 95-97, 172-173 overlapping enforcement, 94-95, 172 severity of restrictions, 215-216, 220, 221 U.S. export control proposed reforms See also Policy recommendations administrative due process and appropriate judicial review, 148-149 changes in agency and legislative authority, 146-147 enforcement issues, 149-150, 180 increased industry participation, 151-152, 336-348 integration and review of control lists, 147-148 munitions and dual use item standards, 147 policy execution, 143-146, 190-191 policy formulation, 139-142, 179, 187-190 time limits and dispute resolution, 148 U.S. representation at CoCom, 151, 194 U.S. export controls See also Export controls enforcement, 85-86, 94-95, 149-150, 180 impact of industry structure on effectiveness, 240-241 impact on U.S. economy, 158-160, 318 limitations on types and uses, 114-116, 175 proposal for decision making, 216-221 U.S. export licenses/licensing See also Licenses/licensing authority for, 144 complexity of regulations, 93-94 dispute resolution, 98-99 impact on manufactured exports, 318

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Finding Common Ground: U.S. Export Controls in a Changed Global Environment improvements, 29 national security directives and, 143, 188 national security license processing, 79-83 requirements, 176 time involved to obtain, 23, 93, 123 U.S. distribution, 119 U.S. industry advanced materials, 20-22, 200-202 commercial aircraft. See Commercial aircraft and jet engine industries computer. See Computer industry concerns regarding export controls, 19-20, 167 effect of export controls on, 18-25, 166-167, 202, 222, 239, 317 participation in control list management, 103, 176 participation in export control policy, 102-103, 151-153, 173-174, 180, 194-195 proposal for use of technical expertise in export control process, 336-348 U.S. Table of Denial Orders, 95 Uzbekistan, 55 V Vietnam export controls targeted against, 72, 78 U.S. trade with, 292 W Warsaw Pact. See Warsaw Treaty Organization (WTO) Warsaw Treaty Organization (WTO) change in relationship with Soviet Union, 44, 168 dissolution of, 1-2, 32, 48, 168 establishment, 61-62, 311 force reduction by, 48 Warsaw Treaty Organization (WTO) allies See also Eastern Europe British policy of differentiation toward, 269 commercial aircraft and jet engine exports to, 236n economic and political changes in, 8, 13-14, 39-40, 43-46, 166, 267 efforts to deny access to militarily relevant technology to, 106 technology acquisition by, 26-31 technology acquisition since beginning of 1990, 31-32 Weapons See also Biological weapons; Chemical weapons; Nuclear weapons/materials/technologies efforts to limit proliferation of, 89 exports from EC members, 121 of mass destruction, 54 need for international attention to trade issues, 128 U.S. export control policy objectives regarding, 3 West Germany. See Federal Republic of Germany World WarII, 309 WTO. See Eastern Europe; Warsaw Treaty Organization; Warsaw Treaty Organization allies Y Yugoslavia, economic aid for, 50 Z Zangger Committee formation of, 70 membership and function, 129-130 trigger lists, 76, 98 view of dual use items, 34, 137, 185