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H Bibliography WEST-EAST TECHNOLOGY TRANSFER Overview National Research Council, Board on International Scientific Exchanges, Commission on International Relations. Review of the U.S.IUSSR Agreement on Cooperation in the Fields of Science and Technology. Washington, D.C., May 1977. Evaluates the effective- ness of the Academy-managed exchange agreement with the Soviet Union and makes specific recommendations regarding the terms of and arrangements for its continuation. Parrott, Bruce, ed. Trade, Technology and Soviet-American Relations. Bloomington: Indiana University Press, 1985. Contains essays that deal with trends In West-East trade and technology transfer since the high point of detente in the mid-1970s. U.S. Congress, Joint Economic Committee. Issues in East-West Commercial Relations. Compendium of Papers, 95th Cong., 2d Sess., January 12, 1979. U.S. Congress, Joint Economic Committee. East-West Technology Transfer: A Congres- sional Dialog with the Reagan Administration. 98th Cong., 2d Sess., December 19, 1984. A response from the Reagan administration to a set of questions from the Joint Economic Committee on a wide range of East-West (i.e., West-East) technology trade issues. U.S. Congress, Senate, Committee on Banking, Housing, and Urban Affairs, Subcommittee on International Finance and Monetary Policy. Hearing on East-West Trade and Technology Transfer. 97th Cong., 2d Sess., April 14, 1982. Includes a written response to questions by Senators Garn, Heinz, and Armstrong. U.S. Congress, Senate, Committee on Governmental Affairs, Permanent Subcommittee on Investigations. Hearing on the Transfer of Technology to the Soviet Bloc. 96th Cong., 2d Sess., February 20, 1980. U.S. Congress, Senate, Committee on Governmental Affairs, Subcommittee on Investiga- tions. Hearings on the Transfer of United States High Technology to the Soviet Union and Soviet Bloc Nations. 97th Cong., 2d Sess., May 4, 5, 6, 11, and 12, 1982. Includes 297

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298 APPENDIX H testimony by Fred Asselin, staff investigator of the Permanent Subcommittee on Inves- tigations; testimony by Adm. Bobby R. Inman, deputy director of the Central Intelligence Agency; and numerous relevant exhibits. Wienert, Helgard, and John Slater. East-West Technology Transfer: The Trade and Economic Aspects. Paris: Organization for Economic Cooperation and Development, 1986. This study analyzes the main factors that determine East-West (i.e., West-East) trade in technology and technology-based products and the capacity of the Eastern countries for assimilating Western technology. It also presents the elements required to assess the advantages and disadvantages of West-East trade as a whole to the OECD countries. Zaleski, Eugene, and Helgard Wienert. Technology TransferBetween East and West. Paris: Organization for Economic Cooperation and Development, 1980. Topics include: histor- ical perspectives on West-East trade, statistical analyses, forms of technology transfer, Eastern and Western policies regarding technology transfer, the influence of transfers on Eastern economies, the effect of economic factors on transfers, and the effect of transfers on Western economies. Aspects of the Soviet Economy and Military U.S. Congress, Joint Economic Committee. Selected Papers on the Soviet Economy in the 1980s: Problems and Prospects, Parts 1 and 2. 97th Cong., 2d Sess., December 31, 1982. U.S. Congress, Office of Technology Assessment. Technology and Soviet Energy Avail- ability. OTA-ISC-153. Washington, D.C.: GPO, 1981. Examines the problems and opportunities that confront the USSR in its five primary energy industries-oil, gas, coal, nuclear, and electric power. It discusses plausible prospects for these industries in the next 10 years; identifies the equipment and technology most important to the USSR in these areas; evaluates the extent to which the United States is the sole or preferred supplier of such items; and analyzes the implications for both the entire Soviet bloc and the Western alliance of either providing or withholding Western equipment and technology. U.S. Department of Defense. Soviet Military Power. Washington, D.C.: GPO, 1986. Comprehensive and detailed assessment of the Soviet bloc's military strength. Includes comparisons of the military strength of NATO versus the Warsaw Pact. Soviet Acquisition Efforts Melvern, Linda, Nick Anning, and David Hebditch. Techno-Bandits. New York: Houghton- Mifflin, 1984. Explores how the Soviets illicitly are acquiring high-technology products and capabilities from the United States. Perle, Richard N. "Raiding the Free World's Technology." Aerospace (Spring 1982). Contends that the USSR has taken advantage of U.S. loose export controls and legally or otherwise acquired vital goods and equipment. Perle, Richard N. "The Soviet Connection." Defense 82 (February 1982). Adapted from congressional testimony of November 12, 1981, this article provides a limited (i.e., unclassified) statement of the Defense Department's concerns about Soviet access to U.S. science and technology. U.S. Central Intelligence Agency. "Soviet Acquisition of Western Technology." April 1982. Describes the Soviet program to acquire U.S. and Western technology, the acquisition mechanisms used, the spectrum of Western technology that has contributed to Soviet military capability, and the problems of restricting the transfer of Western technological information.

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BIBLlO GRAPH Y 299 U.S. Central Intelligence Agency, Technology Transfer Intelligence Committee. `' Soviet Acquisition of Militarily Significant Western Technology: An Update." September 1985. Describes the Soviet program to acquire U.S. and Western technology, provides details on the structure of Soviet acquisition programs, and provides examples of Soviet requirements and successes. U.S. Congress, Senate, Committee on Governmental Affairs, Permanent Subcommittee on Investigations. Report on the Transfer of United States High Technology to the Soviet Union and Soviet Bloc Nations. 97th Cong., 2d Sess., November 15, 1982. Includes examples of how the Soviets obtain American technology and congressional staff recommendations on commerce and national security agencies. Wolton, Thierry. Le KGB en France. Paris: Grasset & Fasquelle, 1986. Describes the Soviet intelligence operation in France including the "Farewell affair," the story of the high-level Soviet employee who passed to the French government hundreds of critical, classified Soviet documents detailing the intensive Soviet technology acquisition effort. The Soviet Ability to Absorb Western Technology Agres, Ted. "Concerted Soviet Efforts Siphon Western Technology." Industrial Research and Development (June 1982). Examines a report published by the CIA, which warns of a Soviet effort to acquire Western technology of military significance through legal and illegal means. Borstein, Morris. East-West Technology Transfer: The Transfer of Western Technology to the USSR. Paris: Organization for Economic Cooperation and Development, 1985. Investigates the Soviet interest in Western technology and how they acquire it, and assesses the impact of this transfer on the Soviet economy in general and on Soviet foreign trade in particular. Taubes, Gary, and Glenn Garelik. "Soviet Science: How Good Is It?" Discover (August 1986). Examines the efficacy, efficiency, history, and practices of the scientific establish- ment in the Soviet Union. Technology Transfer East to West Kiser, John W. III. Commercial Technology Transferfrom Eastern Europe to the United States and Western Europe. Report prepared for the U.S. Department of State. Washington, D.C.: Kiser Research, 1980. Considers commercial technology transfer from four East European countries-Czechoslovakia, Hungary, the German Democratic Republic, and Poland to the United States and selected Western European countries. The report focuses on benefits derived by the United States from such transfers, principally from buying licenses. Kiser, John W. III. "Tapping Eastern Bloc Technology." Harvard Business Review (March-April 1982). Assesses whether the United States should reconsider its view of Soviet bloc nations as technologically backward and investigate new processes and products from these markets. CONTROLLING TECHNOLOGY TRANSFER Assessing the Need for National Security Export Controls Brown, Harold. Thinking About National Security, Defense and Foreign Policy in a Dangerous World. Boulder, Colo.: Westview Press, 1983. Examines the needs of U.S. national defense in light of foreign policy objectives and domestic policy constraints.

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300 APPENDIX H Carey, William D. "Science and the National Security." Science (November 6, 1981). Comments on the perceived concerns of military officials toward technology transfer. President's Blue Ribbon Commission on Defense Management. Quest for Excellence: Final Report to the President (June 1986). Report of the Packard commission analyzing the U.S. Defense Department's management and organizational procedures. Includes recommen- dations aimed at revitalizing national security planning and budgeting, military organiza- tion and command, acquisition organization and procedures, and government-industry accountability . Schneider, William, Jr. Remarks by the under secretary of state for security assistance, science, and technology before the World Business Council, Washington, D.C., March 22, 1983. The under secretary discusses the national security implications of export policy and states that the Reagan administration's trade policy toward the Soviet Union and the Warsaw Pact `'cannot be divorced from our broad political security objectives vis-a-vis these countries. Our economic policies must support our key objectives of deterring Soviet adventurism, redressing the military balance between the West and the Warsaw Pact, and strengthening the Western Alliance." Skolnikoff, Eugene B. "Technology Transfer to Other Countries: Life-Threatening or Unimportant?" Massachusetts Institute of Technology, April 22, 1982. Examines the overall question of technology transfers to other countries and assesses the costs and benefits of more stringent control measures. U.S. Congress, Senate, Committee on Banking, Subcommittee on International Finance and Monetary Policy. Hearing on Export Controls for National Security Purposes. 97th Cong., 2d Sess., April 14, 1982. Testimony of Lawrence Brady (Commerce), Fred C. Ikle (DoD), Ernest B. Johnston (State), and Edward J. O'Malley (FBI). Weinberger, Caspar W. "Technology Transfers to the Soviet Union." The Wall Street Journal (January 12, 1982). Support for and explanation of administration views on the need for export controls. What to Control Barnard, Richard. "Pentagon Mulls New Technology Secrets List." Defense Week (Octo- ber 17, 1983). Reports on a multiagency task force on the control of information and documents relating to "militarily significant technologies." The task force favors the creation of an entirely new category of information to be routinely restricted by the Pentagon. Brady, Lawrence J. "Taking Back the Rope: Technology Transfer and U.S. Security." Statement before the Association of Former Intelligence Officers, March 29, 1982. Buchan, David. Western Security and Economic Strategy Towards the East. Adelphi Papers no. 192. London: International Institute for Strategic Studies, 1984. Discusses the importance of Western technology to Soviet economic and military power, the array of export controls maintained by CoCom, the consequences of trading with the East, and the case for differentiation between the Soviet Union and the nations in Eastern Europe. Channon, Stanley L. Status and Recommendations for Export Control of Composite Materials Technology. IDA Paper P-1592. 2 vole. Institute for Defense Analysis, Science and Technology Division, September 1981. This report presents the results of a 27-month study of U.S. and foreign technology relating to organic matrix materials and a critical review of the relevant U.S. export control regulations. The advantages and disadvantages of export control and the effects of these controls on industrial innovation, academic research, and international technical communications are discussed. Suggested methods for handling proprietary information, emerging technology, and the involvement of foreign nationals in advanced composite materials technology are presented.

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BIB LlO GRAPH Y 30} Eagle Research Group, Inc. "Report of the United States Munitions List Study." ERG 81-123F1. Prepared for the Office of Munitions Control, U.S. Department of State, April 14, 1981. This study was conducted to provide an analytical input into the final report to be submitted to Congress on the Militarily Critical Technologies List (MCTL), as required by the International Security and Development Cooperation Act of 1980. Goodman, S. E. Memorandum on U.S. computer export control policies in relation to value conflicts and policy choice. Reviews U.S. export controls for computer products and know-how and examines the policy choices. Gustafson, Thane. Selling the Russians the Rope? Soviet Technology Policy and U.S. Export Controls. Santa Monica, Calif.: The Rand Corporation, April 1981. Examines the objectives and assumptions of U.S. high-technology export control policy and describes the main developments in Soviet technology policy over the last 10 years, analyzing the reasons for Soviet technology lag and the implications for U.S. policy. Gustafson, Thane. "U.S. Export Controls and Soviet Technology." Technology Review (February-March 1982). Examines whether the critical technologies approach can im- prove the export control system. U.S. Department of Defense, Office of the Under Secretary of Defense for Research and Advanced Engineering. "The Militarily Critical Technologies List." October 1984. Catalog of technologies with important military applications. U.S. Department of Defense, Office of the Director of Defense Research and Engineering. An Analysis of Export Control of U.S. Technology-A DOD Perspective. (Report of the Defense Science Board Task Force on Export of U.S. Technology.) Washington, D.C.: GPO, 1976. This is the so-called Bucy report, which examines a number of critical technologies, their impact on U.S. strategic requirements, the mechanisms through which information about them is transferred, and the current effectiveness of export controls and the CoCom agreement. "The principal findings of the Task Force are: design and manufacturing know-how are the key elements for control of strategic technology; this know-how is most effectively transferred when there is intent to do so, and the donor organization takes active steps in that direction; and high velocity, i.e., rapidly changing technologies, are the ones for which export controls are most effective in slowing the flow of technology." U.S. General Accounting Office. Export Controls: Need to Clarify Policy and Simplify Administration. ID-79-16. Washington, D.C.: GPO, 1979. This report examines the decision-making apparatus for determining which technologies or products must be controlled and the effectiveness of the export control system. It also assesses both domestic and multilateral export control policies and includes an analysis of CoCom control procedures. Control of Unclassified Information Gould, Stephen B. "Secrecy: Its Role in National Scientific and Technical Information Policy." Library Trends (Summer 1986). Reviews federal policy for controlling scientific and technical information-particularly unclassified information and presents commen tary on such controls. Greenstein, Ruth. "National Security Controls on Scientific Information." (Unpublished paper, 1982.) Analyzes the use of export controls to restrict free exchange of scientific information, particularly information only indirectly related to controlled hardware. Addresses the question of whether an export control system can be designed that meets national security objectives while maintaining a vital scientific base. Nelkin, Dorothy. Science as Intellectual Property: Who Controls Scientific Research ? New York: Macmillan Publishing Co., 1984. Discusses issues involving the ownership and control of scientific information.

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302 APPENDIX H Olson, Theodore B. Memorandum from the Office of the Assistant Attorney General on the constitutionality of the proposed revision of the technical data provisions of the Interna- tional Traffic in Arms Regulations directed to William B. Robinson, Office of Munitions Control, U.S. Department of State, July 1, 1981. Balancing Information Control With Open Communication Center for Science and Technology Policy, Graduate School of Business Administration, New York University. Current Issues in Export Controls of Technology (November 1981). (Background information and summary of discussion.) Considers several issues involving the use of export controls to restrict the flow of technology. Presents the results of faculty discussions as to the most critical questions and impacts on the university/industrial research program. Corson, Dale. "What Price Security?" Physics Today (February 1983). Evaluates the trade-offs among the dangers to national security that arise from technology transfers and the threats to the openness of scientific communication that are caused by too much secrecy. Gould, Stephen B., ed. "Commentaries: Scientific Freedom and National Security." TransactionlSocial Science and Modern Society (July-August 1986). Includes presenta- tions made at the 1985 annual meeting of the American Association for the Advancement of Science: Langenberg, Donald N., "Secret Knowledge and Open Inquiry"; Benson, Sumner, "Overcoming Complacency"; Herring, Jan P., "Defining the Basics"; McKelvain, Boyd J., "Determining Military Criticality"; and Wallerstein, Mitchel B., "Nurturing a Dynamic System." National Academy of Sciences. Scientific Communication and National Security. Wash- ington, D.C.: National Academy Press, 1982. Vol. I partial contents: current knowledge about unwanted technology transfer and its military significance; universities and scientific communication; the current control system; and general conclusions balancing the costs and benefits of control. Vol. II appendixes include: Wallerstein, Mitchel B., "The Historical Context of National Security Concerns About Science and Technology"; and Wallerstein, Mitchel B., "The Role of Foreign Nationals Studying or Working in U.S. Universities or Other Sectors." Working papers of the Panel on Scientific Communication and National Security (available from the National Academy Press, 2101 Constitution Avenue, N.W., Wash- ington, DC 20418): Alexander, Arthur J., "Soviet Science and Weapons Acquisition"; Kiser, John W. III, "East-West Technology Transfer"; Wallerstein, Mitchel B., "The Office of Strategic Information (OSI), U.S. Department of Commerce, 1954-1957"; Wallerstein, Mitchel B., "The Coordinating Committee for National Export Controls (CoCom)," with annex by John P. Hardt and Kate S. Tomlinson. Relyea, Harold C., ed. Striking a Balance: National Security and Scientific Freedom. Washington, D.C.: American Association for the Advancement of Science, 1985. Papers presented during the 1982 AAAS annual meeting: Cheh, Mary M., "Government Control of Private Ideas"; Unger, Stephen H., "National Security and the Free Flow of Technical Information"; Denning, Peter J., "A Scientist's View of Government Control Over Scientific Communication"; Inman, Bobby R., "National Security and Technical Infor- mation"; Green, Harold P., "Information Control Under the Atomic Energy Act"; McCloskey, Paul N., Jr., "The Progressive Case and the Need to Amend the Atomic Energy Act"; Schwartz, Daniel C., "Scientific Freedom and National Security: A Case Study of Cryptography"; Relyea, Harold C., "Shrouding the Endless Frontier- Scientific Communication and National Security: The Search for Balance." U.S. Congress, House of Representatives, Committee on Science and Technology, Sub

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BIBLIOGRAPHY 303 committee on Science, Research, and Technology and the Subcommittee on Investiga- tions and Oversight. Hearing on Scientific Communications and National Security. 98th Cong., 2d Sess., May 24, 1984. Includes testimony by Dr. Paul E. Gray, president of the Massachusetts Institute of Technology; Dr. Roland Schmitt, senior vice president for corporate research and development, General Electric Company; and Dr. Edith W. Martin, deputy under secretary of defense for research and engineering. U.S. TRADE ENVIRONMENT U.S. Trade Performance Cooper, Richard N. "Growing American Interdependence: An Overview.', Paper prepared for a conference at the Federal Reserve Bank of St. Louis, October 1985. Investigates the increasing degree to which the United States is involved in the international economy and explores the consequences of this openness. Finan, William F., et al. "The U.S. Trade Position in High Technology: 1980-1986." Report prepared for the Joint Economic Committee of the U.S. Congress, October 1986. Explores recent trends in American high-technology trade using data on a group of industries the Commerce Department defines as "high tech" on the basis of their heavy reliance on research and development expenditures. These industries include, among others, computers, scientific instruments, aircraft, and specialty chemicals, all of which maintained a strong international trade position until recent years. National Research Council, Panel on Advanced Technology Competition and the Industri- alized Allies. International Competition in Advanced Technology: Decisions for America. Washington, D.C.: National Academy Press, 1983. Describes the nature of technology in the context of international competition and recommends fundamental guidelines for national action. Focuses on relations among the major industrialized nations-Canada, the Federal Republic of Germany, France, Japan, the United Kingdom, and the United States. Olmer, Lionel H. U.S. Manufacturing at a Crossroads-Surviving and Prospering in a More Competitive Global Economy. Washington, D.C.: U.S. Department of Commerce, International Trade Administration, 1985. Assesses the potential for erosion of the U.S. domestic manufacturing base. U.S. Department of Commerce, International Trade Administration. An Assessment of U.S. Competitiveness in High-Technology Industries. February 1983. Describes the role of high technology in the U.S. economy, examines the international competition confronting U.S. industry, and explores policy options for reinvigorating U.S. industry. U.S. Department of Commerce, International Trade Administration. 1985 U.S. Industrial Outlook: Prospects for Over 350 Manufacturing and Service Industries. January 1985. Gives a detailed description of the performance of many of the industries that make up the U.S. industrial base. U.S. Department of Commerce, International Trade Administration, Office of Trade and Investment Analysis. The Rising Trading Power of the East Asian NICs. (Prepared by Victoria L. Hatter.) October 1985. Examines the growth of four newly industrializing countries South Korea, Taiwan, Hong Kong, and Singapore in their new role as major manufactures traders. The report also discusses their major markets and suppliers and their most important export commodities. U.S. Department of Commerce, International Trade Administration. U.S. High Technology Trade and Competitiveness (February 1985). (Prepared by Victoria L. Hatter.) Explores the performance of the United States and other major suppliers in terms of exports of

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304 APPENDIX H high-technology manufactured goods from 1965-1982. Provides an overview of U.S. trade and competitiveness in high-technology goods. U.S. Department of Commerce, International Trade Administration. United States Trade- Performance in 1984 and Outlook. Investigates the major causes and implications of U.S. trade performance in the context of an international economic environment. Balancing National Security and Economic Vitality Bonker, Don. "Protecting Economic Interests." Issues in Science and Technology (Fall 1986). Argues that U.S. export control policy has gone awry and that instead of wasting resources trying to control too many products, many of which have no strategic value, the administration should focus controls on advanced goods that can truly enhance the military capability of U.S. adversaries. Business-Higher Education Forum. Export Controls: The Need to Balance National Objectives. Washington, D.C., 1986. Attempts to establish a framework for analyzing the myriad issues involved in the debate over export controls and for achieving the necessary balance between competing interests. The document sets out general principles that should guide policymaking and specific recommendations for improving the control system. Freedenberg, Paul. "U.S. Export Controls: Issues for High Technology Industries." National Journal (December 18, 1982). "The debate over the renewal of the Export Administration Act is certain to be a major legislative battle. Many of the critical questions of trade and foreign policy, and national security which have proven to be so difficult to solve over the past few years will be highlighted in the Act renewal." Hart, Gary W. (U.S. Senator, D-Colo.) "High Technology Trade Act of 1982." Congres- sional Record S. 2356 (Senate, April 1, 1982). Description of a proposed bill that offers a different view of how the United States can maintain its technological edge. Mally, Gerhard. "Technology Transfer Controls." Atlantic Community Quarterly (Fall 1982). Examines U.S. export controls on dual use technologies to Warsaw Pact countries and Communist countries of East Asia. Merrill, Stephen A. "Technological Change and Technological Transfer Policy." Paper prepared for the CSIS Quadrangular Forum Task Forces Meeting in Stowe, Vermont, July 1986. Explores the consensus within the Western Alliance for maintaining national security export controls and examines the changing environment in which the export control system must operate in order to evaluate near- and long-term adjustments to U.S. policy. Merrill, Stephen A., ed. Securing Technological Advantage: Balancing Export Controls and Innovation. Washington, D.C.: Center for Strategic and International Studies, George- town University, 1985. Examines the current U.S. export control policy in terms of balancing national security interests with the desire to maintain domestic innovation. Recommends steps to alleviate current conflicts. Packard, Martin E. "A Businessman's View of the Effect of Export Licensing on Technology Transfer to the USSR." 1981. Examines the many sources of technological information and the effectiveness of various control measures. Considers the costs and benefits of export licensing. Seeger, Murray. "Tightening Up the H~gh-Tech Trade." Fortune (December 28, 1981). "If the Reagan Administration decides to act alone in preventing high-tech know-how from reaching the Soviets, the effort could easily backfire. The best of America's Western competitors might sell Moscow all it is willing to pay for, while U.S. companies would be frozen out of the market." U.S. Congress, House of Representatives, Committee on Armed Services, Technology Trans- fer Panel. Hearings on Technology Transfer. 98th Cong., 1st Sess., June 9, 21, and 23, and

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BIBLIOGRAPHY 305 July 13-14, 1983. Includes statements by Lionel Olmer, under secretary for international trade, Department of Commerce; Richard Perle, assistant secretary for international security policy, Department of Defense; and various representatives of industry. U.S. Congress, House of Representatives, Committee on Foreign Affairs, Subcommittee on International Economic Policy and Trade. Overview of U.S. International Competitive- ness (hearings). 97th Cong., 2d Sess., March, June, and August 1982. Includes statements by W. Stephan Piper, coordinator of aerospace trade policy, Office of the U.S. Trade Representative; Richard Kuba, international marketing director of the National Machine Tool Builders' Association; and Victor Ragosine, government affairs consultant, Ampex Corporation, representing the American Electronics Association. U.S. Congress, House of Representatives, Committee on Science and Technology, Sub- committee on Science, Research, and Technology and Subcommittee on Investigations and Oversight. Hearing on the Impact of National Security Considerations on Science and Technology. 97th Cong., 2d Sess., March 29, 1982. Includes testimony by Admiral Bobby Inman, deputy director of the Central Intelligence Agency; Lawrence J. Brady, assistant secretary of commerce, International Trade Administration; and Dr. Frank Press, president of the National Academy of Sciences. U.S. Congress, Senate, Committee on Small Business. Hearing on Obstacles to Exporting Faced by Small Businesses. 98th Cong., 1st Sess., February 11, 1983. Includes statements by John M. Fluke, chairman and chief executive officer, John Fluke Manufacturing Co.; and Max Gellert, president of ELDEC Corporation. Wallich, Paul. "Technology Transfer at Issue: The Industry Viewpoint." IEEE Spectrum (May 1982). Identifies the nature of the commercial technology export problem and the position of the private sector. THE U.S. EXPORT CONTROL SYSTEM Overview Berman, Harold J., and John R. Carson. '`United States Export Controls Past, Present, and Future." Columbia Law Review (May 1967). A comprehensive review of the legal aspects of U.S. export controls; also contains general background material. Ellicott, John L. "Trends in Export Regulation." Business Lawyer (February 1983). '`The United States exercises controls over exports under a number of statutes with a potentially broad reach. This article outlines the principal relevant statutes, considers national security export controls directed to the Soviet Union and its allies, and examines export controls imposed for foreign policy reasons. The article comments briefly on enforcement and concludes by discussing foreign responses to U.S. controls, particularly their extraterritorial applications." Relyea, Harold C. National Security Controls and Scientific Information. Congressional Issue Brief No. IB82083, updated August 18, 1982. Succinct general policy background paper including bibliography. Stoehr, Delia E. Technology Transfer in 1984: U.S. Export Control of Dual Use High Technology. Washington, D.C.: Naval War College, Center for Advanced Research, June 1984. A status report of the U.S. program for export control of dual use high-technology products. Reviews the perspectives of the government and industry, and of the academic and foreign players involved in the development of U.S. policy. U.S. Congress, Office of Technology Assessment. Technology and East-West Trade. Washington, D.C.: GPO, November 1979. Identifies the economic, political, and military costs and benefits that accrue to the United States in its trade with the Soviet Union, the

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306 APPENDIX H Eastern bloc, and the People's Republic of China. Also includes comparative discussion of the trade policies adhered to by the principal Western allies of the United States: West Germany, France, the United Kingdom, and Japan. U.S. Department of Commerce, International Trade Administration. '`Overview of the Export Administration Program." October 1981. Provides a short summary of the legislative history, administrative organization, and enforcement procedures relating to the Export Administra- tion Regulations. Also deals with interagency consultation and cooperation. U.S. Department of Commerce, Office of Export Administration. Export Administration Annual Report FY1984. November 1985. Gives overview of the export control system and describes the activities undertaken by the International Trade Administration during fiscal year 1984. Legislation Executive Office of the President. "National Security Information." Executive Order No. 12356. Federal Register 47 (April 6, 1982):14877-14880. U.S. Congress, Office of Technology Assessment. Technology and East-West Trade: An Update. Washington, D.C.: GPO, 1983. Summarizes the major provisions of the 1979 Export Administration Act, highlighting those provisions that have led to problems of interpretation or execution; recounts major provisions in U.S. export control policy toward the Soviet Union since 1979; and discusses the impacts and implications of those events-for the domestic economy, for U.S. political relations with the NATO allies and with the Soviet Union, and for U.S. national security. The report concludes with a discussion of the policy alternatives open to Congress in 1983. U.S. Congress, Senate, Committee on Banking, Housing, and Urban Affairs. Hearing on the Export Administration Act: Oversight on the Commerce Department's Fulfillment of its Responsibilities under the Export Administration Act. 98th Cong., 2d Sess., February 3, 1983. Statements by Senators Garn, Proxmire, Heinz, Hawkins, and Mattingly and discussions with Senators Cohen and Nunn. U.S. Congress, Senate, Committee on Governmental Affairs, Subcommittee on Investiga- tions. Hearings on the Transfer of Technology. 98th Cong., 2d Sess., April 1984. Includes testimony by William Root, former chief, U.S. negotiating team to CoCom; Dr. Richard DeLauer, under secretary of defense for research and engineering, Department of Defense; and William T. Archey, acting assistant secretary for trade administration. U.S. Congress, Senate, Committee on Banking, Housing, and Urban Affairs, Subcommit- tee on International Finance and Monetary Policy. Hearing on International Affairs Functions of the Treasury and the Export Administration Act. 97th Cong., 1st Sess., April 30, 1981. Includes testimony by Frank Conahan, director, International Division, GAO; and Dr. Oles Lomacky, director for technology trade, Office of the Secretary of Defense. U.S. Congress, Senate, Committee on Banking, Housing, and Urban Affairs, Subcommittee on International Finance and Monetary Policy. Hearings on Reauthorization of the Export Administration Act. 98th Cong., 1st Sess., March 2 and 16 and April 14, 1983. Includes testimony by Lionel Olmer, under secretary of commerce for international trade; Richard N. Perle, assistant secretary of defense for international security; and William Schneider, under secretary of state for security assistance. U.S. Congress, Senate, Committee on Finance, Subcommittee on International Trade. Hearing on the Export Administration Act of 1983 (first session on S.979). 98th Cong., 1st Sess., August 4, 1983. Includes testimony by Lionel Olmer, under secretary of commerce for international trade; James Mack, public affairs director of the National Machine Tool Builders Association; and various senators.

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BIBLIOGRAPHY 307 Electiveness of Licensing and Enforcement Practices Conahan, Frank C. (director of the International Division, General Accounting Office). "The Administration of Export Controls under the Export Administration Act." (State- ment before the Subcommittee on International Finance and Monetary Policy, Senate Committee on Banking, Housing, and Urban Affairs, April 30, 1981.) Hearings on International Affairs Functions of the Treasury and the Export Administration Act. 97th Cong., 1st Sess., 1982. Provides a critical analysis of the administration of export controls, including the constraints imposed by the necessity to seek compromise within CoCom and the inefficiencies of the bureaucratic review process. Schlechty, David L. "Export Control Policy and Licensing Program of the Reagan Administration: New Focus-New Direction." Federal Bar News & Journal (January 1982). This paper presents a report on the administration's emerging West-East trade policy and its progress in implementing the 1979 Export Administration Act. It deals with the efforts over the past 12 months of improving the export control program. U.S. Congress, Senate, Committee on Governmental Affairs, Permanent Subcommittee on Investigations. Report on the Transfer of Technology. 98th Cong., 2d Sess., October 5, 1984. Includes discussion of enforcement of the Export Administration Act and the dispute over organization of the Pentagon in export control processes. U.S. Department of Defense, Office of the Under Secretary for Policy. "Assessing the Effect of Technology Transfer on U.S./Western Security: A Defense Perspective.', February 1985. Presents results from the first in a series of annual assessments designed to estimate the impact on Western security of the international transfer of technology, goods, services, and munitions. U.S. General Accounting Office. Export Control Regulation Could Be Reduced Without Affecting National Security. ID-82-14. Washington, D.C.: GPO, 1982. This report examines the process of review for export applications and considers ways in which the process could be streamlined without damaging U.S. national security. The report also discusses inefficiencies in the licensing review process and government efforts to curtail illegal export activity. `'Industry is required to obtain export licenses for many more products than is necessary to protect national security. In fiscal year 1981, almost 65,000 export applications were processed but only 1 of every 17 was carefully examined by the Government. GAO found that: Almost half the export license applications received each year could be eliminated without affecting national security. There is a strong possibility for further reducing license requirements to close U.S. allies." U.S. General Accounting Office. Export Licensing: Commerce-Defense Review of Appli- cations to Certain Free World Nations. NSIAD-86-169. Washington, D.C.: GPO, 1986. This report examines export licensing at the Departments of Commerce and Defense under the terms of a January 1985 presidential directive to determine the nature and extent of differences resulting from the joint review. GAO reviewed how the Defense Department developed its recommendations and how the Commerce Department responded to these recommendations with licensing decisions. GAO found that Com- merce approved about 65 percent of the license applications that Defense wanted to deny and denied about 1 percent of the licenses that Defense wanted to approve; Defense generally based its denial recommendations on general categories of concern rather than on specific adverse information related to individual license applications, whereas Commerce made licensing decisions principally based on the latter kind of information. According to GAO, the major issue dividing Commerce and Defense was the appropriateness of issuing export licenses when the foreign purchasers planned to resell the items to customers unknown to U.S. licensing authorities. U.S. General Accounting Office. Details of Certain Controversial Export Licensing Deci

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308 APPENDIX H signs Involving Soviet Bloc Countries. ID-83-46. Washington, D.C.: GPO, 1983. Provides short case studies on the considerations and actions attendant to each of eight controver- sial export licensing decisions. In seven of the eight cases, the military risk of exporting each product or technology was recognized, deliberated, and often lessened by some means before the export was approved. In one case, military risk was not recognized, and the government licensed the export of a product containing technology critical to antisubmarine warfare. U.S. Extraterritorial Controls Dekker, W. "The Technology Gap: Western Countries Growing Apart?" Speech delivered at the Atlantic Institute for International Affairs, Paris, December 5, 1985. Expresses the concerns of the European business community regarding recent trends in the extraterri- torial application of U.S. export controls. U.S. Congress, Senate, Committee on Governmental Affairs, Permanent Subcommittee on Investigations. Hearing on the Transfer of Technology and the Dresser Industries Export Licensing Actions. 95th Cong., 2d Sess., October 3, 1978. Includes testimony by J. Fred Bucy, chairman, Special Defense Science Task Board; and Dr. Ruth Davis, deputy under secretary for research and engineering. INTERNATIONAL CONTROL OF TECHNOLOGY Aeppel, Timothy. "The Evolutions of Multilateral Export Controls: A Critical Study of the COCOM Regime." The Fletcher Forum (Winter 1985). Describes the differing perspec- tives and national styles of the CoCom members and argues that they have reduced the effectiveness of CoCom. Explores ways to revitalize the effort. Bertsch, Gary K. East-West Strategic Trade, COCOM and the Atlantic Alliance. Atlantic Papers no. 49. Paris: Atlantic Institute for International Affairs, 1983. The author notes that "the progression from control on strategic exports to the East, on which there was, and is, a substantial consensus within the [Atlantic] alliance, to controls as sanctions or penalties for Soviet political behavior, catalyzed debate within the Western Alliance on the many tough questions about East-West trade, technology transfer and export controls." This work traces the history of Western technology sales to the East and export controls, and it examines Western efforts to control the sales of strategic technology. Bertsch, Gary K., et al. East-West Technology Transfer and Export Controls. Osteuropa- Wirtschaft, June 1981. "This paper examines (1) the nature (mechanisms, level, and impact) of West to East technology transfers, (2) the performance (responsiveness and effectiveness) of the multilateral coordinating committee (COCOM) in restricting the eastward flow of technology, and (3) competing Western rationales for restricting technology transfers." The paper concludes that while COCOM's survival in the short term may rest on its ability to deal with the exigencies of the moment, its long-term effectiveness depends on agreement on a coherent, realistic export control rationale. In the absence of such agreement, any new system is likely to display many of the shortcomings of the one it replaces. Frost, Ellen L., and Angela E. Stent. "NATO's Troubles with East-West Trade." International Security 8 (Summer 1983):179-200. Argues that the NATO "alliance should thus move toward a two-track East-West trade policy, combining long-term predictability with short-term flexibility, so that the West can agree on continuity in the major security-related aspects of trade while reserving some instruments of commerce to respond to short-term political developments."

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BIBLIOGRAPHY 309 Relyea, Harold C. "Business, Trade Secrets, and Information Access Policy Developments in Other Countries: An Overview." Administrative Law Review (Spring 1982). Presents capsule descriptions of existing or emerging policy concerning the right of access to official information or records held by governments in Western Europe, Australia, New Zealand, Canada, and Scandinavia. Special consideration is given to the implications for business, commercial records, and trade data. A final section explores the issue of transborder data flows. Sternheimer, Stephen. East-West Technology Transfer: Japan and the Communist Bloc. Beverly Hills: Sage Publications, 1980. Analyzes Japan's policy of exporting advanced technology to the Communist bloc in light of the U.S. determination to restrict the flow of such technology for strategic reasons. Yergin, Angela Stent. East-West Technology Transfer: European Perspectives. Beverly Hills: Sage Publications, 1980. Assesses British, French, and West German policies to limit technology transfer to Communist countries, particularly In light of CoCom and U.S. policies.

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