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List of Tables Table 1: Table 2: Table 3: Table 4: U. S. Manufactures Exports U.S. High Technology Exports U.S. High Tech Exports, Selected Categories Comparison of EC10 and Japan vs. U. S . Manufactures Trade with the Soviet Union and Bloc Countries Table 5: U.S. Parent and Foreign Sales of U.S. Affiliates, 1982 Table 6: U.S. Parent Sales and Total Foreign Sales for Selected Industrial Categories, 1982 Table 7: U.S. Exports Total and For U.S.. Parents to Their Affiliates, 1982 Table 8: Industrial Categories of U.S. Exports to Affiliated and Unaffiliated Enterprises, 1982 Use of Licenses by Type, 1985 Summary of DOC Export License Case Handling Approved Applications to All Countries for Manufactures, FY85 Ranking of Top Ten CCL Categories by Number of Occurrences, FY85 Table 9: Table 10: Table 11: Table 12: Table 13: Case Processing Time Profile Table 14: DOC Processing Time for Small vs. Large Firms, by Destination Table 15: Total Processing Time for Small vs. Large Firms, by Destination Table 16: Total Processing Time by Major CCL Category Table 17: Summary of Analysis of Cases Returned Without Action Table 18: Reexport Applications

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Table 19: Analysis of Reexport Licensing Records Table 20: Action on Licenses and Processing Times by Size of Exporter Table 21: Aerospace Industry Table 22: Analytic Instruments Industry Table 23: Semiconductor Equipment Industry Table 24: Use of License Type by Firm Size Table 25: Use of Various License Provisions

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Table 1 U. S. Manufactures Exports $ Bill ions ~ 1980 (%) COCOM less Canada* Canada 1985 (%) 48 31 48 30 30 19 42 26 China 1 1 3 2 Bloc _ _ 1 _ 1 Al ~ Other Countries 7 7 4 9 6 ~ 4 2 Total * * * 156 100 162 100 Trade to ECl 0 + Japan is used to approximate COCOM trade. There are 15 countries in COCOM. Not covered in the clef inition are Norway, Portugal, and Turkey . * * May not sum clue to rounding . Source: U. S . Department of Commerce.

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Table 2 U.S. High Technology Exports ($ Billions) COCOM less Canada 1980 I%) 1985 (%) 21.3 39 26.7 39 Canada S.5 10 8.1 12 China <1.0 <1 1.7 2 Bloc <1. 0 <1 <1. 0 <1 All Other Countries 27.0 49 31.8 46 Total 54.7 100 68.4 100 Source: U.S. Department of Commerce data on U.S. high technology trade. Table 3 U.S. High Tech Exports, Selected (including Machine Tools) ($ Billions) Categories 1980 1985 Communication Equipment 13 4 Aircraft and Parts IS 18 Computers/Of f ice Equipment 9 15 Scienti f ic Instruments Components Machine Tools 6 S - 7 Total 38 51 Source: U.S. Department of Commerce a

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l Table 4 Comparison of EC10 and Japan vs. U.S. Manufactures Trade with the Soviet Union and Bloc Countries ($ Billion) 1980 1981 1982 1983 1984 EC + Japan Exports to the USSR and Bloc 21.9 17.8 17.4 17.7 16.1 (% of Total EC + Japan Exports) 3.5 3.0 3.1 3.2 n/a U.S. Exports to the USSR and Bloc (% of total U.S Exports) . 0.8 0.8 0.9 0.7 0.6 OCR for page 81
Table 5 U.S. Parent and Foreign Sales of U. S . Affiliates, 1982 ($ Billion) U.S. Parent Sales Foreign Sales of U.S. Affiliates in All Countries Sales of Af filiates in Developed Countries Sales of Affiliates in COCOM Countries Total 2,465 1,026 742 611 Manufacturing 1,018 3S9 287 250 Office Equipment 52 22 21 20 Other Machinery 34 12 11 8 Electrical Equipment 118 27 18 16 Other Trans. 7 2 Instruments 33 3 13 3 12 3 , 11 309 77 65 58 Source: U.S. Department of Commerce, Bureau of Economic Analysis, ~ d: 1982 Benchmark survey Data, (Government Printing Office, and Table I.D.4 Washington, DC) 1985, Table 7

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Table 6 U.S. Parent Sales and Total Foreign Sales for Selected Industrial Categories, 1982 ( $ Billion) Office Equipment Total ~ Foreign U.S. Foreign ~ Sales Parent Sales Sales* ~ as a % (~) (2) ~ (2~/~1~+~2~) 1 52 23 1 31 Other Machinery 34 15 ~ 31 Electrical Equip. 118 38 1 24 Other Transport. 72 16 1 18 Instruments 33 15 ~ 31 Total 3 09 107 ~ 2 6 * Foreign sales plus exports to unaffiliated entities Source: Ibid . .

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Table 7 U.S. Exports Total and For U.S. Parents to Their Affiliates, 1982 ($ Billion) Total U.S. Merchandise Exports: $212.0 of which - Agriculture 37.0 - Manufacturing 174.0 U.S. Exports by U.S. Parents 163.0 of which - shipped to affiliates 57.0 - majority owned 53.0 - to other 4.0 - shipped to unaffiliated 107.0 Of the $107 billion shipped to unaffiliated parties: Manufacturing exports of which - high tech Of the $57 billion shipped to Manufacturing exports of which - high tech affiliated parties: - went to COCOM countries May not sum due to rounding. Sources: (~) U.S. Department of Commerce, U.S. Trade Performance in 1984 and Outlook, 1985; (2) U.S. Department of Commerce, Bureau of Economic ~ , Analysis I U. S . Direct Investment Abroad: 1982 Benchmark Survey Data / December 1985 / Table II r p. 1. 65.0 30.0 37.0 10.7 6.1

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Table 8 Industrial Categories of U.S. Exports to Affiliated and Unaffiliated Enterprises, 1982 ($ Billion) Amount from Column (2) Exports to Exports to which went to Sector Unaffiliated Affiliated COCOM Dest. (1) (2) (3) Computing/ Office Equipment 1.2 2.5 2.0 Other Machinery 3.4 1.2 0.6 Communications 2.7 0.7 0.3 Electronics Components 1.9 3.0 0.5 Other Electronics 6.0 1.0 0.7 Other Transportation 12.7 0.3 0.3 Instruments 1.9 2.0 1.7 Total $29.8 $10.7 $6.1 Source: Ibid; Table II, P.4 .

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Table 9 Use of Licenses by Type, 1985 Type of License GDEST IVL DL . Service Project Total*** * ** % of Exports* Unweighted 38% 44 17 <1 1 100 Sample of responses % of Exports** Weighted 41% 23 25 11 100 170 firms, unweighted refers to simple Sample of 170 firms, responses weighted by firm size. * * * May not sum due to rounding. Source: NAS Questionnaire responses . % of Licensed Exports 39 42 19 2 100 average of

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Table 10 Summary of Department of Commerce Export License Case Handling (Calendar Quarters) Number of Cases Closed (Thou) ~ Value (Bil) Amount Rejected ($ Mil) Percent of Cases RWAd* Source: *RWAd = 84.30 84.40 85.10 85.20 85.30 85.40 86.10 29.8 27.6 30.3 20.5 17.3 17.9 31.7 31.7 29.9 29.3 18.1 18.4 17.7 19.3 62.0 166.0 83.0 62.0 125.0 269.0 120.0 .~.t 17.0 17.0 17.0 17.0 17.0 16.0 18.0 U.S. Department of Commerce export license Returned Without Action databank.

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East-West COCOM all other Figure 3 Further Breakdown of Geographic Regions by Purpose of Control Destination o f Trade 1 1 PRO I l l l l Bloc I i I l _ 1. 1, 1 1 1 1 1 1 Canada I l l l MOU I l l Non-COCOM ---1---~ --l------------l non-MOU I l l 1 F-P I Other (Purpose of License) Trade Under Validated License Total U.S. Export Trade SL Trade =

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Figure 4 Export Trade Coverage Broken Down by Geographic Regions, Purpose of License With Further Breakdown of National Security Controls by Type of License Destination of Trade PRC East-West COCOM Bloc Canada all other MOU Non-COCOM non-MOU GCOM = IVL = GCOM IVL N-S General License (This self-license). Individual Validated License Bulk Lic. = Bulk License ,~ I, Bulk I Lic. I (Purpose of License) Trade Under Validated License Total U.S. Export Trade could be considered a form of (Distribution, Service, Project) 1 1 1 1 1 1 1, 1_ 1 1 Nuclear/ SL Other ~ Trade 1 1

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Figure 5 Full Scope of U.S. Economic Activity Covered by Export Control System Area of World East-West COCOM Non-COCOM 1 1 1 I Direct Export | Through Foreign | Direct | Other I I Affiliate I Export I Foreign ! ! I I Sales I Trade/Sales Under Validated Lic.t Total U.S. Foreign Sales Self-License

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5 ~ 1 1 1 1 1 1 1 1 1 Area of the World 1 .1 1 1, 1 1 1 1 1 1 1 1 1 1 1 1 .1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 ,1 Trade/Sales Under Validated License ~ Total U.S. Foreign Sales Figure 6 Schematic of Economic Cost by Area of World, by Segment Under Validated License / Type of Economic Cost - Administrative Costs - Lost Revenue - R&D Impact - Wages/Profits Lost - Long-term Costs Self- License

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Figure 13 U. S. Business Activity Covered by the Licens ing System, 19 8 S - ( $ billion) Area of World East-West ($2, * COCOM (53S) * Other West ~ $3 2 ~ * *Value of direct Under Validated Lic. ($78) Sel f -Licensed ~ $3 62 ~ Estimated Total U. S . Foreign Manufacturing Sales ($440) Sports .