Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.
INDEX 379 Index A Argentina Administrative due process, 148-149, 193 cooperation on export controls with U.S., 123 Administrative law judge, 94-95, 323-325 nuclear facilities in, 56 Administrative Procedure Act (APA), 101, Armenia, 55 148-149, 312, 321, 323, 324, Arms Export Control Act (AECA) of 1976, 62, 326-331, 333 77, 104, 114, 146-147, 313, 330-331 Administrative reforms Asia fact-finding mission alternatives for consolidating agency func- general issues, 286-288 tions, 144-146, 179-180 Hong Kong meetings, 291-293 changes in agency and administrative author- Japan meetings, 296-299 ity, 146-147 Macao visit, 293 need for consolidated functions, 143-144 Republic of Korea meetings, 293-295 recommendations for, 190-191 Taiwan meetings, 288-291 Advanced materials Atomic Energy Act of 1954, 70, 95, 104 control/decontrol of, 204-206 Australia Group relationship to militarily critical weapon sys- British membership in, 270 tems, 202-204 core list developed by, 77, 98 report of subpanel on, 199-221 export of chemicals to members of, 85 Advanced materials industry as members of Missile Technology Control effect of export controls on, 20-22, 202 Regime, 129-130 in Taiwan, 289 purpose of, 71, 135, 136 U.S. export controls and, 20-22, 200-202 Swiss membership in, 286 Advisory Committee on Export Policy, 82 Austria, 67, 124, 125 Afghanistan Azerbaijan, 55 foreign policy export controls, 314 B Aircraft industry. See Commercial aircraft and Balancing the National Interest: U.S. National jet engine industries Security Export Controls and Global Eco- Allen, Lew, Jr., 6, 318 nomic Competition. See Allen report Allen panel, 6, 10-11, 28n, 100 Battle Act (Mutual Defense Assistance Control Allen report (Balancing the National Interest: Act), 62, 311, 314 U.S. National Security Export Controls Belgium, fact-finding mission to, 282-285 and Global Economic Competition), 6, Biological weapons 10, 153, 318 biological organisms, 79 Antiterrorism controls, in Export Administra- efforts to limit proliferation, 89 tion Regulations, 78
INDEX 380 need for changes in access to, 107 CoCom High-Level Meeting (June 1990) proliferation of, 2, 59 redefinition of control levels for computers, 25 Brazil results, 20, 67, 96, 126, 343 cooperation on export controls with U.S., 123 CoCom Industrial List, 3, 75, 87, 95, 118, nuclear facilities, 56 121, 175, 192, 242, 302 Bucy, J. Fred, 28n, 339 Cold War era, 310-312, 321 Bulgaria Commerce Department, U.S. change in relationship with Soviet Union, as chief export control administrative agency, 43-44 145-146, 180 economic aid for, 50 enforcement procedures of, 150 Bulk licensing, 109 involvement in judicial review, 101-102, Bureau of Export Administration (BXA), 321-333 79-80, 94, 95, 146, 191, 338 involvement in National Security Council C meetings, 153 licensing responsibilities, 79-86 Cambodia, 72, 78 problem of overlapping jurisdictions facing, Canada fact-finding mission 94-95 general issues, 299-300 study on emerging technologies, 21, 200 meeting with government officials, 300-301 technical advisory committees established meeting with industry representatives, and administered by, 102 , 103, 195, 302-303 336, 338, 343-347 Canadian Aerospace Industries Association, 303 Commercial aircraft and jet engine industries Canadian Export Association, 302 Airbus Industrie, 23, 227 Canopies for jet fighter planes, 21n effect on U.S. economy and national security, Carter, Jimmy, 314, 316 225 Center for Information on Strategic Technol- effectiveness of controls based on structure ogy, 298 of, 240-241 Center for Study of Relation Between Tech- export control problems related to, 241-243 nologies and Strategies (CREST), 276 features of, 224-225 Central America, regional conflict in southern, foreign partnerships, 226, 246 55 impact of export controls on, 22-23, 222, Chad, 57 238-239 Chemical weapons major companies, 223 availability in countries in Middle East, 55 nations with heavy maintenance capability, foreign policy controls and, 116 226, 247 license processing for items related to, 83 purchase orders, 244, 245 need for changes in access to, 107, 108 report of subpanel on, 222-247 problems in monitoring, 35-36 Soviet, 234-238 proliferation controls, 2, 71, 77, 79, 89, 132, technologies critical to military lead of West, 135-136, 178 230-231, 234 proliferation of, 57-59 technology components, 228-230 Chemical Weapons Convention (CWC), 71, trend toward globalization and foreign compe- 135-137, 185 tition, 225-228 China. See People's Republic of China U.S. vs. Soviet technologies, 236-238 China Green Line, 51, 65, 279, 281 Committee on Science, Engineering, and Public CoCom. See Coordinating Committee for Multi- Policy (COSEPUP), 57, 6-7, 306-307 lateral Export Controls Commodities CoCom countries characteristics of, 252 See also Coordinating Committee for Multi- computer products classified as, 256 lateral Export Controls (CoCom); definition of, 163, 164 individual countries Commoditization of products, 250 access to export control information in, 20 Commodity Control List (CCL), 72, 73, 77, differences in control practices vis-Ã -vis U.S., 80, 95, 190, 192, 241 19, 101 analysis of selected entries, 207-213 interest in changing dual use item restrictions, application of risk/opportunity formula to 107 items on, 200, 214 opposition to extraterritoriality, 317 controllability of items, 172 prevention of reexports of CoCom-controlled Computer industry items, 30 controllability issues in, 251-253 Third Country Cooperation initiative, 66-68, export controls, 23-25, 256-261 122-126, 171, 176 and foreign availability assessments, 255-256 trade between European Community mem- bers of, 120-122
INDEX 381 international issues, 261-265 licensing and enforcement standards, 67-69, means of control and decontrol in, 253-255 127 report of subpanel on, 248-265 list development, 24, 52, 65-66, 73, 97-98, in Taiwan, 289 126, 156, 157, 159-164 , 347 trends, 249-250 list review in 1990, 138, 154 Computer networks, 258-260 meeting of panel fact-finding delegation and Computer software U.S. representatives to, 275 export controls, 163, 260-261 objectives, 118-120, 175 military-use, 260 outdated export controls used by, 39, 95-98 over-the-counter, 249, 260-261 recommendations on, 120, 123-124, sunset provisions, 254 126-128, 185-187 Conference on Disarmament, 71 relaxation of restrictions, 2, 51, 52, 107, 249 Congressional Research Service (CRS), 87, 171 and third country cooperation, 66-67, Control identifiers, 122 122-126, 176 Control list construction (U.S.) U.S. representation, 151, 194 comparing benefits and costs, 159-160 Copyright protection, software, 261 defining item-groups, 349-352 Corson report (Scientific Communication and development, 20, 155 National Security), 6 identifying economic and foreign policy COSEPUP. See Committee on Science, Engi- costs, 158-159 neering, and Public Policy identifying items of concern, 156-157 Crime control, in Export Administration Regu- identifying security risks, 158 lations, 78 quantitative analysis used in, 352-355 Cuba rank ordering of item-groups, 352 Canadian trade with, 300 recommendations regarding, 147-148, 188, export controls targeted against, 72, 78 192 Czechoslovakia Control list management change in relationship with Soviet Union, administrative problems, 223 31-32, 43, 47-48 and foreign policy controls, 76-77 economic aid for, 50 industry participation, 103, 176 economic change in, 49 integration and review, 147-148, 160 export regulations for, 65, 93 jurisdictional disputes, 87, 147, 148 D national security priorities, 73-76, 162 periodic reconstruction, 161-162 De-Americanization of foreign-made products, single agency authority, 144 115n, 280, 317 sunsetting, 160, 161, 184, 248 Defense Control lists deficiencies in industrial base, 10 characteristics of CoCom, 3, 65-66, 73, 75 impact of export limitations of advanced characteristics of U.S., 72-73, 172-173 materials on, 21-22 controllability aspect, 162-164 Defense Advanced Research Projects Agency, policy and procedures established by national 41 security directives, 142-143 Defense article, 87, 190 problems with established system, 39, 52, Defense Department, U.S. 95-98, 154-155 as chief administrative agency, 145, 179 Controllability influence on U.S. and CoCom policy, 127 of computer technology, 248, 251-253 involvement in technical advisory commit- list, 162-164 tees, 195 Coordinating Committee for Multilateral jurisdictional problems involving, 93 Export Controls (CoCom). licensing responsibilities, 80, 81, 83, 316 See also CoCom countries May 1989 report on militarily critical tech- administration and management, 126-128, nologies, 41 176-177, 187 Defense industrial base, weakening of U.S., 42 British views of, 268-269 Defense Science Board Task Force report on characteristics of control lists, 3, 65-66, 73, Export of U.S. Technology (Bucy 75 Report), 28n, 234, 314 as coordinator of nonproliferation efforts, Defense Technology Security Administration 131, 177-178 (DTSA), 316n development and strategy, 3, 64-65 Departments, U.S. government. See Commerce effects of borderless trade within European Department, U.S.; community on, 120-122, 175-176, 186 Defense Department, U.S.; establishment, 62, 311 Energy Department, U.S.; involvement of TACs in, 338, 339 State Department, U.S. involvement of TTGs in, 342, 343 Detente era, 312-313 Differentiation policy
INDEX 382 British view of, 269 need for CoCom to revise guidelines on, 164 French view of, 273, 274 properties of items for, 163 German view of, 279, 280 published standards for, 186 Dispute resolution risk reduction through, 248, 253-254 deadlines, 148, 190 End-use verification, 119-120 inefficient, 98-99, 173 Energy Department, U.S. jurisdictional, 87, 93, 147, 148, 172 jurisdictional problems, 93 national security directives regarding, 143, licensing responsibilities, 83, 84 188 Enforcement of export controls Diversion, technology acquisition through British views regarding, 271 British view of, 269 in Japan, 297-298 East European-Soviet cooperation regarding, judicial review of Commerce Department, 44 323-324 searches for patterns of, 133 overlapping, 94-95, 172 as technology acquisition method, 30, 31, recommendations regarding, 94, 149-150, 167-168 193-194 Diversion-in-place protection, 253, 257 responsibilities, 150, 180 Drug Enforcement Administration, 150, 180 of sanctions, 85-86, 94-95, 149-150, 180 Dual use products/technologies Espionage, technology acquisition through, development of standards for, 190 28-29, 167 European support for controls on, 52, 62 Europe fact-finding mission to export control of, 80, 87, 100, 101, 132, general issues covered, 267-268 137, 191, 217, 242 meeting with European Parliament, 284-285 jurisdictional problems, 147 meetings in Belgium, 282-285 methods of acquisition, 32 meetings in Federal Republic of Germany, military benefits provided to adversaries, 276-282 128-129, 134, 156-157 meetings in France, 273-276 possibility of assurances with Soviets regard- meetings in Great Britain, 268-273 ing nondiversion of, 45 meetings in Switzerland, 285-286 restriction changes, 107, 111, 118, 120, 182 European Atomic Energy Community, 283 for Soviet Union and Eastern Europe, 50, 52, European Bank for Reconstruction and Devel- 107, 108, 156-157, 169 , 183, 250, 314 opment, 50 Due process, administrative, 148-149, 193 European Community (EC) E delegation meeting with Commission of the, EAA. See Export Administration Act (EAA) 283-284 German view of, 278 East Germany. See German Democratic Repub- trade within, 120-122, 175-176, 186 lic European Parliament delegation meeting, Eastern Europe 284-285 See also Warsaw Treaty Organization (WTO) Export Administration Act (EAA) allies authority to maintain list of strategically criti- computer industries in, 24 cal elements, 339 economic and political changes in, 2, 10, control list management under, 73, 75-76 13-14, 16, 27-28, 43-46, 166, 181 foreign policy export controls under, 76-77 economic exchange with West, 49-50, 169 industry participation provisions, 102, 336, goods eligible for export to, 93, 185 337 intelligence services of, 28, 44 judicial review under, 101-102, 321-333 need for changes in export controls for, objectives and purpose of, 62-64, 104, 111-112, 118, 120 312-313, 321 Economic aid, to Soviet Union and Eastern and overlapping jurisdiction, 94, 95, 146-147 Europe, 50 renewals and revisions, 313, 314 Economic challenges, of United States, 14-15, on specific export restrictions, 71, 72 40-43, 165 time limits on case review, 82 Economic Defense Advisory Council (EDAC), Export Administration Amendments Act Working Group I, 75-76 (EAAA) of 1985, 64, 317, 318 Embargoed countries, in Export Administration Export Administration Regulations (EAR), Regulations, 78-79 77-79, 93 Embargoes Export Administration Review Board (EARB), as form of export management, 109, 132 81-82, 84, 99 toward Iraq, 72 Export Control Act of 1949, 61, 62, 309n, Enabling technology, 231n 310, 312 Encryption technology, 260 Export Control Policy Coordinating Committee End-use controls (EC/PCC), 140, 141, 189, 191 explanation of, 162
INDEX 383 Export controllability. See Controllability fact-finding mission to, 273-276 Export controls as missile technology supplier, 57 See also Foreign policy export controls; French Institute of International Relations, 276 National security export controls; G U.S. export control policy; General Accounting Office, 150, 193 U.S. export controls; individual countries General Agreement on Tariffs and Trade applicability to control of proliferation, (GATT) talks, 215 132-133 German Democratic Republic (GDR) in changing global environment, 165-166, See also Federal Republic of Germany dissolution of, 32 174 export control system for, 277-278 on computer technologies and products, 256-261 Germany. See Federal Republic of Germany; controllability issues, 162-164 German Democratic Republic economic and foreign policy costs of, Global Trends in Computer Technology and 158-160, 318 Their Impact on Export Control (National forms of, 109-110, 132 Research Council), 7, 24, 250, 257-259, impact of aircraft industry structure on effec- 261-264 tiveness of, 240-241 Great Britain problems related to commercial aircraft indus- See also United Kingdom aerospace industry try, 241-243 in, 23 Export Facilitation Act of 1990, 331-332 fact-finding mission to, 268-273 Export/Import Permits Act (Canada), 300 view on economic aid to Soviet Union and Export management mechanisms, 108-110 Eastern Europe, 50 F H Fact-finding missions Harriman, Averell, 311 Asian, 286-299 High-walls principles/products, 251, 257, 297 Canadian, 299-303 Hong Kong concern regarding China, 287 European, 267-286 export control program with United King- Farewell affair, 33, 315 dom, 123 Farewell papers, 33 fact-finding mission to, 291-293 Federal Republic of Germany (FRG) industrialization of, 41 Hungary See also German Democratic Republic (GDR) change in relationship with Soviet Union, aerospace industry in, 22-23 economic aid for former GDR, 50 31-32, 43, 48 economic outlook for, 41 economic aid for, 50 effects of unification, 43, 44, 49, 169 economic change in, 49 fact-finding mission to, 276-282 export regulations regarding, 65, 93 involvement in Libya's chemical facility, 57 I Fibrous and filamentary materials export con- Illegal sales trols on, 210-211 technology acquisition through, 29-30 Finland, 67, 124, 125 India Force multiplier strategy, 62, 312 conflict with Pakistan, 55, 57 Foreign availability, 75, 162-163 export controls for, 113 Foreign availability assessments, 96-98, as missile technology source, 134 248-249, 255-256 nuclear weapon capabilities, 56 Foreign policy and economic costs of export Indonesia, 123 controls, 158-160 Industry. See U.S. industry national security as goal of U.S., 115, 154 Industry advisory committee, 151-152 Foreign policy export controls Industry representatives, meetings with during See also U.S. export control policy and con- fact-finding missions trol list management, 76-77 British, 271-273 effect on aircraft industry, 22-23, 222, 239, Canadian, 302-303 242 French, 274-275 explanation, In, 63-64, 114n German, 279-282 Japanese, 298-299 Institute for Defense Analyses (IDA), 75, license processing, 83-85 152-153, 195, 339, 341 limitations on types and uses, 115-117, 175 Intelligence community recommendations regarding, 116-117, explanation, 26n 183-184 implications of evidence regarding technol- France ogy acquisition, 36-37 aerospace industry, 22-23 recommendations for monitoring computing
INDEX 384 technologies, 264-265 policy and legal arguments regarding recommendations regarding monitoring of expansion of agency action under EAA, technology acquisition, 37 -38, 182-183 327-331 role in export control policy process, 36, 168 recommendations regarding, 173, 193 Intermediate-Range Nuclear Forces treaty K (1987), 45, 112 International Atomic Energy Agency, 287 Kennan, George, 310 International Atomic Energy List (IAEL), 65, Kennedy, John F., 56 119-120 Keystone equipment, 28n International Emergency Economic Powers Act Kirghizia, 55 Korea. See North Korea; (IEEPA) of 1977, 71-72 , 115, 117, South Korea 184, 329, 330 Korean Institute for International Economic International Industrial List (Industrial List) Policy, 295 (IL), 65, 119-120 Kuwait, invasion by Iraq, 53-54 International Munitions List (IML), 65, 119-120, 242 L International Trade Administration, 94, 345, Legal sales, technology acquisition through, 31 346 Libya chemical weapons capabilities, 57, 71, International Traffic in Arms Regulations 112 (ITAR), 77, 80, 93, 114, 242, 251, export controls targeted against, 78, 85 258-260 Licenses/licensing Intra-CoCom Trade (ICT) working group, 69 See also U.S. export licenses/licensing Iran bulk, 109 chemical weapon capabilities, 71 CoCom standards, 29, 67-69, 127 export controls targeted against, 85 elimination between CoCom partners, 121, war with Iraq, 56, 57 122 Iraq third country comparisons, 123-125 chemical weapon capabilities, 71 transactional. 109 conflict with Israel, 57 Lists. See Control list construction; decision to invade Kuwait, 53-54 Control list management; export controls targeted against, 85 Control lists; nuclear weapon capabilities, 56 individual lists war with Iran, 56, 57 London Suppliers Group. See Nuclear Suppli- Ireland, 120 ers Group (NSG) Israel, 56, 57 M ITAR. See International Traffic in Arms Regula- tions (ITAR) Macao, 293 Item-groups for lists method of defining, 157, Machine tool industry, Taiwanese, 289 349-352 Malaysia, 201 rank ordering of, 352 Microelectronics industry. See Computer indus- use of quantitative analysis, 352-355 try Middle East, 8, 55 J See also Persian Gulf crisis Jackson-Vanik amendment to Trade Reform Middle-ground products, 252-253 Act of 1974, 313 Militarily critical products Japan aerospace industry, 23, 227 in advanced materials industry, 203-204 competition in supercomputer industry, 25 in computer industry, 251 as economic rival of U.S., 286-287 Militarily Critical Technologies List (MCTL), fact-finding mission to, 296-299 73, 75, 95-96, 172, 339, 341, 343 position in advanced materials technology, Militarily related technologies 21, 200 See also Dual use products/technologies; technological and manufacturing advances, 41 Proliferation technologies U.S. withdrawal of forces from, 55 of commercial aircraft and jet engine indus- Jet engine industry, 231, 233-234 try, 231-234 See also Commercial aircraft and jet engine Soviet utilization of, 33-35 industries Military procurement process, 10 Judicial review Military-use software, 260 availability and efficiency under current Missile delivery systems EAA, 322-327 availability to countries in Middle East. 55, 57 background information, 321-322 need for changes in access to, 107 and Export Facilitation Act of 1990, 331-332 proliferation control of, 70-71, 79, 89, insufficient, 101-102, 148-149 134-135 ,
INDEX 385 178 changes in Soviet Union and Eastern Europe threat posed by proliferation of, 57-59 impacting, 43-46, 168-169 Missile technology economic and technological challenges, 40-43 under foreign policy controls, 116 and economic exchange with East, 49-50, 169 license processing for items related to, 84-85 economic factors in formulation of, 43, 168 Missile Technology Control Regime (MTCR) export control policy and, 140 annex to, 76-77, 98 findings and recommendations concerning British view of, 270 traditional threat, 52-53, 181-182 effectiveness, 134-135, 137 and People's Republic of China, 50-52, 170 establishment, 70-71 proliferation threat, 2-3, 170-171 membership, 129, 137, 185, 282 shifts in, 15 Missile Technology Export Control (MTEC) Soviet defense doctrine and military force group, 85 deployment impacting, 46-49 Mongolia, 48 studies, 5-6 Most favored nation (MFN) trade status, 313 NATO. See North Atlantic Treaty Organization Multilateral export controls Netherlands, the, 285 See also Coordinating Committee for Multi- Neutrality Act of 1935, 309 lateral Export Controls (CoCom); Newly industrializing countries (NICs) Proliferation controls growth, 41 and CoCom administration and management, participation in Third Country Cooperation 126-128 initiative, 122 need for collective proliferation controls, Niobates, 212-213 128-136 Nixon administration, 313 objectives of CoCom, 118-120 Non-Soviet Warsaw Pact (NSWP) countries, 32 political and economic changes affecting Nonenforcement, judicial review of, 324-327 operation of CoCom, 120-126 North Atlantic Treaty Organization (NATO) Multinational firms espionage as concern of, 28 export control problems created by, 40 establishment, 310 sale of small U.S. companies specializing in force deployment by, 47 advanced materials to , 200-201 meeting of fact-finding delegation with, 285 U.S. advanced materials companies bought strategy, 61-62, 311, 312 by, 21 North Korea U.S. compliance requirements faced by, 93-94 export controls targeted against, 72, 78 Munitions List (ML), 72, 77, 80, 87, 192, 242 nuclear weapons and facilities in, 55-57 function of, 73 viewed as threat, 287, 293-294 jurisdictional problems of, 87, 147, 148, 190 Nuclear Non-Proliferation Treaty of 1968 Mutual Defense Assistance Control Act (Battle (NNPT), 57, 69-70, 73n, 76, 113, 129, Act), 62, 311, 314 134, 136, 185, 270, 282 N Nuclear Referral List (NRL), 72, 73, 76, 84, 98 Nuclear Regulatory Commission, 84 National Defense Act, 153 Nuclear Suppliers Group (NSG) National discretion (administrative exception lists maintained by, 76, 98 controls), 101, 127, 128 purpose of, 70 National Munitions Control Board, 309 view of dual use items, 134, 137 National Science Park (Taiwan), 290 Nuclear weapons/materials/technologies National Security Act of 1947, 139-140, 187 under foreign policy controls, 116 National Security Council (NSC), 139-140, license processing for items related to, 83, 84 153, 189, 191 need for changes in access to, 107 National Security Decision Directive189, 6 proliferation controls, 69-70, 76-77, 79, 88, National security directives (NSD), 140-143, 134, 177-178 157-159, 187-189 proliferation of, 2, 56-59 National security export controls See also See also U.S. export control policy on com- mercial 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
INDEX 386 Proliferation technologies See also U.S. export control policy; O U.S. export control proposed reforms Office of Defense Trade Controls, 80 in response to changes in traditional threat, Office of Defense Trade Policy, 80 52-53, 181-182 Office of Export Enforcement, 150, 172, 180 on administrative due process and judicial review, 102, 148-149, 193 Office of Technology and Policy Analysis, on borderless trade within European Commu- 191, 338, 345 nity, 122, 186 Omnibus Trade and Competitiveness Act of on CoCom, 120, 123-124, 126-128, 1988 185-187 and companies exporting without a license, 29-30 on computer equipment/technology controls, export control provisions, 319n 264 foreign availability assessments under, 96, 97 on enforcement issues, 94, 149-150, 193-194 on foreign policy export controls, 116-117, judicial review provisions, 101, 149, 321 183-184 Section 2433, 5, 7, 304-305 Over-the-counter software, 249, 260-261 on industry participation, 151-153, 194-195 on intelligence community, 37-38, 182-183 P on national security export controls, 116-117 Pakistan on policy execution, 143-146, 190-191 conflict with India, 55, 56 on policy formulation, 140, 187-190 nuclear weapon capabilities, 56 on proliferation controls, 58-59, 114, Panel on the Future Design and Implementation 131-133, 136-137, 182, 184185 of National Security Export Controls on structure and format of control lists, charge to panel, 7-9 147-148, 188, 192 establishment of, 6-7 on technology acquisition, 37-38, 182-183 focus of study, 9-10 on third country cooperation, 126, 186 key findings and conclusions, 165-180 Polycarbonate sheet, 211-212 scope of work, 8-9 Polymeric substances, 208-209 summary of recommendations, 181-195 Postexport recordkeeping, 110 summary of recommendations of PRC. See People's Republic of China See also Policy recommendations Preexport notification, 110 Panel on the Impact of National Security Con- President trols on International Technology Trans- authority during World WarII over exports of fer (Allen panel), 6, 10-11, 28n, 100, 318 militarily significant People's Republic of China (PRC) goods, 309 British policy toward, 269 role in formulation of export control policy, China Green Line, 51, 65, 279, 281 139-140, 184, 187-188 as controlled destination, 51, 65 President's Export Council, Subcommittee on efforts to deny access to militarily relevant Export Administration technology to, 106 (PECSEA), 345, 346 export restrictions following Tiananmen Proliferation Square demonstrations, 72 as national security threat, 10-11 as missile technology source, 57, 134 U.S.-Soviet cooperation regarding, 111 as national security threat, 50-52, 170, 287 Proliferation controls need for changes in export controls for, British approach to, 270-271 111-113, 170-171 chemical, 2, 71, 77, 79, 89, 132, 135-136, need for participation in efforts to reduce pro- 178 liferation, 2, 58, 171 See also Chemical weapons technology acquisition by, 26, 27 coordination of, 129-130, 177-178 Perle, Richard N., 313n, 314n, 316 in Export Administration Act, 115 Persian Gulf crisis German approach to, 278 as source of physical threat, 40, 53-54 missile, 70-71, 79, 89, 134-135, 178 and Soviet-Western cooperation, 14, 55 See also Missile delivery systems; trade embargo against Iraq during, 72 Missile technology Poland need for applicability of export controls to, change in relationship with Soviet Union, 132-133 31-32, 43, 48 need for high-level leadership and policy economic aid for, 50 coordination to deal with , 130-132 economic change in, 49 nuclear, 69-70, 76-77, 79, 88, 134, 177 export regulations regarding, 65, 93 See also Nuclear weapons/materials/ martial law in, 316 technologies Policy Coordinating Committee on Non- problems existing with, 2-4, 128-129 Proliferation (PCC), 83, 85 recommendations regarding, 58-59, 114, Policy recommendations 131-133, 136-137, 182, 184185 -
INDEX 387 Proliferation technologies third-country licensing comparisons, 124, 125 See also Militarily related technologies U.S. withdrawal of forces from, 55 acquisition of, 35-36 Soviet Acquisition of Western Technology (U.S. attempts to limit, 69-71 Central Intelligence Agency), 315 country-specific objectives, 71-72 Soviet aircraft technology regional instabilities exacerbated by, 54-56 status of, 234-236 threat posed by, 56-59, 170-171, 182 U.S. vs., 236-238 Publicly available software, 260-261 Soviet military Q defense doctrine and force deployment changes, 46-49 Quantitative analysis, 252-255 influence on design philosophy of aircraft Quartz crystals, 208 industry, 235 R internal and external changes affecting, Reagan administration, 314-317 43-46, 170 Recordkeeping, postexport, 110 Soviet technology acquisition Reexport controls changes since beginning of 1990, 31-32, 36 barriers in Eastern Europe to supply for Sovi- methods prior to 1990, 27-31 ets, 32 policy recommendations regarding, 181 CoCom authorization requirements, 171 role and implications of intelligence evidence CoCom participation in, 30, 66, 100 on, 26-27, 36-37 effect on computer and microelectronics U.S. efforts to limit, 3, 12, 52-53, 88, 106, industries, 24 314 U.S. authorization requirements, 66, and utilization, 33-35, 46, 315 100-101, 171 Soviet Union Regional conflict computer industry/technology in, 24, 261-264 overview of changes in, 54-56 determining items acceptable for export to, as source of physical threat, 8, 14, 53-54, 112 93, 156-159 Regional stability controls, in Export Adminis- economic and political changes in, 8, 9, tration Regulations, 78 13-14, 16, 43-46, 49-50, 52, 154, 159, Republic of Korea. See South Korea 166, 181, 250 Research and development (R&D) export control changes needed for, 107, 108, aging U.S., 41 111-112, 118, 120, 161 , 171 export restrictions on advanced materials lim- human rights issues, 313-314 iting incentives for, 21, 201 intelligence services of, 28 Romania, 43-44 as missile technology source, 57, 134 S need for participation in efforts to reduce pro- liferation of weapons , 2, 58, 113, 171 Samsung plant, 295 policy recommendations for dealings with, Sanctions 181-183, 185 enforcement, 85-86, 94-95, 149-150, 180 Reagan administration view of, 314-316 use of trade, 99 regional conflict in, 14, 55 for violations of international agreements or South Korean concern regarding, 293 norms of behavior, 3, 108 strategic offensive capability in Central Scientific Communication and National Secu- Europe, 2 rity (Corson report), 6 technology denial strategy used against, 311 Selective activity prohibitions, 109, 132 threat presented by, 39-40, 51-53, 158, Selective export prohibitions, 109, 132 165, 181, 267, 287 Singapore U.S. controls on oil and gas equipment to, 72, industrialization of, 41 115, 316-317 national security export controls with U.S., Space launch technology, 36 123 State Department, U.S. third-country licensing comparisons, 124, 125 as chief administrative agency, 145, 179 Software, computer. See Computer software as coordinator of nonproliferation efforts, 131 South Africa involvement in technical advisory commit- export controls toward, 79 tees, 195 nuclear weapons capabilities, 56 licensing responsibilities of, 80, 81, 83, 84 South Korea Strategic Arms Reduction Talks (START), 45, business practices, 294-295 48 economic growth and industrialization of, 41, Strategic Technology Experts Meeting, 127, 286-287 128, 187 fact-finding mission to, 293-296 national security export controls with U.S., 123
INDEX 388 Subgroup on Nuclear Export Coordination third-country licensing comparisons, 124, 125 (SNEC), 84 Tantalates, 212-213 Subpanel on Advanced Industrial Materials, Technical advisory committees (TACS) 20-22 establishment and function, 75, 102, 336-337 Subpanel on Advanced Industrial Materials financial responsibility and coordination for, Report 152-153, 195 executive summary, 199-200 meetings, 338-339 recommendations, 206-207 recommendations regarding, 343-347 relationship of advanced materials and tech- responsibilities and authority, 337-338 nology to militarily critical weapons role in construction of CoCom core list, 103 systems, 202-204 Technical task groups (TTGs), 75, 342-343 review of control/decontrol of advanced mate- Technical working groups (TWGs) rials, 204-206 establishment of, 75, 339-340 U.S. advanced materials industry and U.S. meetings, 341-342 export control, 200-202 membership and application process, 341 Subpanel on Commercial Aircraft and Jet recommendations regarding, 343 Engines, 22-23 responsibilities and authority, 340-341 Subpanel on Commercial Aircraft and Jet Technological challenges, of United States, Engines Report 14-15, 40-43, 165 civil aircraft industry, 223-225 Technology. See Militarily related technologies; examination of Western and Soviet technol- Proliferation technologies ogy, 228-238 Technology acquisition impact of export controls on U.S. firms, changes in nature and patterns since begin- 238-239 ning of 1990, 31-32 influence of industrial structure on control and implications of intelligence evidence, effectiveness, 239-241 36-37 major findings of, 222-223 panel examination of, 26-27 problems with export control system, 241-243 of proliferation concern, 35-36 trend toward globalization and foreign compe- recommendations regarding, 37-38 tition, 225-228 and role of intelligence community, 36, 168 Subpanel on Computer Technology, 23-25 Soviet. See Soviet technology acquisition Subpanel on Computer Technology Report Technology acquisition methods diversion, executive summary, 248-249 30, 31, 44, 133, 167-168 , 269, 288 export control of specific technologies and espionage, 28-29, 167 products, 256-261 illegal sales, 29-30 foreign availability assessments, 255-256 legal sales, 31 industry information, 249-251 Technology transfer international issues, 261-265 Allen study on, 6, 10 issue of controllability, 248, 251-253 by multinational firms, 40 means of control and decontrol, 253-255 with Soviet Union and Eastern Europe, 2, Sunset provisions 262-264 procedures, 160, 161 Technology Transfer Intelligence Committee recommendations for use, 184, 254-256 (TTIC), 27-28, 36 risk reduction through use, 248 Terrorism Supercomputer Safeguard Plan, 251, 257 impact of trade restrictions on state- Supercomputers sponsored, 55 effect of export controls on, 24-25 as source of physical threat, 54, 112 export controls on, 257-258 Third countries as high-walls product, 251 control program, 66-68, 122-126, 171, 176 Supercritical technology, 214n explanation, 28n Switzerland policy recommendations regarding, 126, 186 licensing benefits, 67 technology acquisition through, 30, 31 panel fact-finding mission to, 285-286 Third Country Cooperation (TCC), 30, 66-68, third-country licensing comparisons, 124, 125 122-126, 176 Syria, 71, 85 Third Country Cooperation Working Group, 66 T Titanium-based alloys, 213 Toshiba-Kongsberg case, 29, 33, 64, TACs. See Technical advisory committees 296-298, 318-319 (TACs) Trade Taiwan as catalyst for change in Eastern Europe and economic growth and industrialization, 41, Soviet Union, 50 286-287 within European Community, 120-122 fact-finding mission to, 288-291 impact of export control policy on U.S., interest in establishing export controls with U.S., 123
INDEX 389 107, 108 effectiveness of traditional, 113 importance to U.S. economy, 42 European concern regarding, 268 Trade Reform Act of 1974, 313 execution of, 143-146 Trading companies, 292-293 future opportunities for, 319-320 Trading with the Enemy Act of 1917, 71, 72, impact on U.S. industry, 18-25, 166-167, 78-79, 95, 104-105, 308 -309 202, 222, 239, 317 Transactional licensing, 109 industry participation in, 102-103, 151-153, Transborder data flow, 258-260 173-174, 186, 194-195 Treaty of Rome, 121, 271, 284 mechanisms studied by panel, 108-110 Treaty on Conventional Forces in Europe organization and objectives of, 1, 3, 4 (CFE), 1-2, 34, 45 process goals, 138-139 limitations imposed by, 52 promotion of trade and national security dur- on-site inspection regimes in, 112 ing détente era, 312-313 terms, 48 Reagan administration influence on, 314-317 Trigger lists, 70, 76 redefinition of, 15-17, 165-166 Truman, Harry, 310-311 regulations, 77-79 TTGs. See Technical task groups role of intelligence community in, 36 U unilateral nature of, 99-101, 173 U.S.-Soviet relations and, 313-314 Uncontrollable items. See Controllability U.S. export control problems Unilateralism, of U.S. export policy, 19-20, exercise of export control authority, 99 167, 173 industry participation, 102-103, 173-174 United Kingdom, 123 ineffective dispute resolution, 98-99, 173 See also Great Britain insufficient judicial review, 101-102, 173 United Nations, 131 jurisdictional disputes, 87, 93, 147, 148, United Nations Conference on Disarmament, 58 172, 190 United States licensing complexity, 93-94 aircraft and jet engine industry, 223 multiplicity of statutes, agencies, and See also Commercial aircraft and jet engine regimes, 86-92, 171-172 industries nature and extent of unilateral controls, economic aid to Soviet Union and Eastern 99-101, 173 Europe, 50 outdated and confusing control lists, 95-97, economic and technological challenges, 172-173 14-15, 40-43, 165 overlapping enforcement, 94-95, 172 economic cost of export controls, 154, 318 severity of restrictions, 215-216, 220, 221 efforts to deny Western technology to Soviet U.S. export control proposed reforms Union and its allies, 12 See also Policy recommendations as missile technology supplier, 57 administrative due process and appropriate recommendations regarding national security judicial review, 148-149 policy, 181-182 changes in agency and legislative authority, Soviet military-related technology vs., 33-35 146-147 U.S. Chamber of Commerce enforcement issues, 149-150, 180 fact-finding meeting in Frankfurt, 280, 281 increased industry participation, 151-152, fact-finding meeting in Hong Kong, 292-293 336-348 fact-finding meeting in Taiwan, 291 integration and review of control lists, U.S. Customs Service 147-148 function of export policy enforcement, munitions and dual use item standards, 147 85-86, 150, 180 policy execution, 143-146, 190-191 overlapping jurisdiction problem, 94-95, 172 policy formulation, 139-142, 179, 187-190 U.S. distribution licenses, 119 time limits and dispute resolution, 148 U.S. export control policy U.S. representation at CoCom, 151, 194 See also Foreign policy export controls; U.S. export controls National security export controls See also Export controls adverse effect on competitive position in enforcement, 85-86, 94-95, 149-150, 180 international trade, 107 impact of industry structure on effectiveness, and balancing national interests, 317-319 240-241 changes related to proposed reforms, impact on U.S. economy, 158-160, 318 146-151, 178-179 limitations on types and uses, 114-116, 175 and CoCom involvement, 64-69 proposal for decision making, 216-221 See also Coordinating Committee for Multi- U.S. export licenses/licensing lateral Export Controls (CoCom) See also Licenses/licensing containment policy during Cold War, 310-312 authority for, 144 control list management, 72-77 complexity of regulations, 93-94 early history, 61-64, 308-309 dispute resolution, 98-99 economic and technological impact of, 10 impact on manufactured exports, 318
INDEX 390 improvements, 29 Z national security directives and, 143, 188 national security license processing, 79-83 Zangger Committee requirements, 176 formation of, 70 time involved to obtain, 23, 93, 123 membership and function, 129-130 U.S. distribution, 119 trigger lists, 76, 98 U.S. industry view of dual use items, 34, 137, 185 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 regard- ing, 3 West Germany. See Federal Republic of Ger- many World WarII, 309 WTO. See Eastern Europe; Warsaw Treaty Organization; Warsaw Treaty Organization allies Y Yugoslavia, economic aid for, 50
