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Beyond 'Fortress America': National Security Controls on Science and Technology in a Globalized World (2009)

Chapter: Appendix I: Principles to Underpin the Militarily Critical Technologies List (MCTL)

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Suggested Citation:"Appendix I: Principles to Underpin the Militarily Critical Technologies List (MCTL)." National Research Council. 2009. Beyond 'Fortress America': National Security Controls on Science and Technology in a Globalized World. Washington, DC: The National Academies Press. doi: 10.17226/12567.
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Page 129
Suggested Citation:"Appendix I: Principles to Underpin the Militarily Critical Technologies List (MCTL)." National Research Council. 2009. Beyond 'Fortress America': National Security Controls on Science and Technology in a Globalized World. Washington, DC: The National Academies Press. doi: 10.17226/12567.
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Page 130

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Appendix I Principles to Underpin the Militarily Critical Technologies List (MCTL) Alan E. Haggerty, former Deputy Undersecretary of Defense, Inter- national Technology Security, asked COSSP to examine and recommend principles to underpin the MCTL. The committee derived the following principles from those outlined in Recommendation 2: 1. Justify and limit each restriction: Restrictions can be justified only when they can be implemented effectively and when their security benefits clearly and specifically outweigh the harm they will necessarily impose to other values. Therefore, restrictions on a technology—which should include consideration of clas- sification—should be implemented only when a. The United States alone, or the United States and cooperat- ing allies, possess technology that leads not only to identifi- able military advantage, but to an advantage that is likely to persist for many years (i.e., the time needed to field a system based on that technology); b. The United States, or the United States acting together with allies, control the technology such that they can prevent it from moving into the hands of possible adversaries; c. The restrictions do not impose costs and inefficiencies that are disproportionate to the restrictions’ security benefits; d. Restrictions are re-examined and re-justified periodically to ensure they remain appropriate. 2. Define technologies narrowly and precisely: Serious complica- tions can arise from treating system components, subsystems, and parts as critical technologies themselves when those sub- systems and components draw from a commercial or global 129

130 APPENDIX I technology base. If a technology is to be defined as militarily critical, the system must be clearly delineated from everything else, and that definition should not extend controls over broad swaths of technologies with multiple applications. 3. Partner with Allies: The United States needs to create a basis for cooperative control of shared technology with friendly nations, that assures that timely agreement can be reached on what to control, and that all relevant parties have control systems that are as secure as our own. If controls on shared technology can- not be agreed and implemented on a multilateral basis, they cannot be effective. 4. Run faster: Advances in exploiting technology and in furthering research are typically made when the fundamentals of a field are understood, a process that takes generally place in the unclas- sified and the international communities. The United States must prevent technological surprise by being better poised to anticipate and capitalize on research breakthroughs than those who would use these advances to harm us or compete against us economically. The leading technology edge for militarily critical technologies should be delineated and re-examined on a peri- odic basis.

Next: Appendix J: Export Control Legislation in the 110th Congress »
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The national security controls that regulate access to and export of science and technology are broken. As currently structured, many of these controls undermine our national and homeland security and stifle American engagement in the global economy, and in science and technology. These unintended consequences arise from policies that were crafted for an earlier era. In the name of maintaining superiority, the U.S. now runs the risk of becoming less secure, less competitive and less prosperous.

Beyond "Fortress America" provides an account of the costs associated with building walls that hamper our access to global science and technology that dampen our economic potential. The book also makes recommendations to reform the export control process, ensure scientific and technological competitiveness, and improve the non-immigrant visa system that regulates entry into the United States of foreign science and engineering students, scholars, and professionals.

Beyond "Fortress America" contains vital information and action items for the President and policy makers that will affect the United States' ability to compete globally. Interested parties--including military personnel, engineers, scientists, professionals, industrialists, and scholars--will find this book a valuable tool for stemming a serious decline affecting broad areas of the nation's security and economy.

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