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Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
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APPENDIX
K

Glossary

5(k)

refers to Section 5(k) of the Export Administration Act, which requires preferential licensing treatment ("5(k) benefits") for countries that promise to adopt the "five essential elements" defined by CoCom as constituting an effective export control program. The 5(k) benefits consist of the same special or general license practices that automatically apply to CoCom members.


Administrative exception note (AEN)

a CoCom term denoting the type of license that is approvable after review by national licensing authorities, without full CoCom review; also known as national discretion licensing.

Advanced materials

this category of materials covers powder metal alloys, composites, polymers, fibers, ceramics, aluminides, radar-absorbing materials, magnetic metals, and fluorinated compounds.

Australia Group

a group of 20 nations, under the leadership of Australia, that have taken steps to restrict, if not ban, the sale of chemical weapons precursors. The other members are Austria, Belgium, Canada, Denmark, France, the Federal Republic of Germany, Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, New Zealand, Norway, Portugal, Spain, Switzerland, the United Kingdom, and the United States.


China Green Line

the decision of the United States in the early 1980s to assist China with its efforts to modernize was reflected in a substantial relaxation within CoCom of the restriction on strategic technology exports to China. The level of technology approved for general licensing as a result of this relaxation is known as the China Green Line.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×

CoCom (Coordinating Committee for Multilateral Export Controls)

a nontreaty organization that cooperatively restricts strategic exports to controlled countries. It consists of 17 member nations: Australia, Belgium, Canada, Denmark, France, the Federal Republic of Germany, Greece, Italy, Japan, Luxembourg, the Netherlands, Norway, Portugal, Spain, Turkey, the United Kingdom, and the United States.

Commodity

in general parlance, any article, material, or supply. As used in this report, it refers to an item characterized by widespread availability and low cost; the term is used in association with the concept of controllability.

Core list

the June 1990 CoCom High-Level Meeting produced a commitment on the part of the members to further reductions in the number of controlled-item categories. The result of this exercise is to be a sharply reduced list of controlled items.


De-Americanization

the tendency of foreign companies to design-out U.S. products, components, or suppliers in order to avoid U.S. reexport controls.

Defense industrial base

refers to the complex of industries, skilled personnel, and technologies needed to manufacture today's—and tomorrow's—sophisticated weapons systems.

Diversion

shipment of militarily significant dual use items to unapproved end users, either directly, through the export of controlled items without a license (i.e., smuggling), or indirectly, through transshipment using a complex chain of untraceable reexports.

Dual use

in the context of this report, items that have both military and commercial applications.


Eastern Europe

in the context of this report, refers to the former Soviet allies in the Warsaw Treaty Organization.

Embargo

a legal prohibition on commerce.

Enabling technology

the data and know-how required to design and produce a product or its components. This includes knowledge regarding design systems, materials processing, manufacturing processes, or components thereof.

End use

the purpose or application for which controlled commodities or technical data will be used by a consignee.

Espionage

covert efforts to obtain illicitly—by theft, bribery, or black-mail—protected information or technology that is classified or of relevance to military systems.

Extraterritoriality

in the context of this report, the assertion by the U.S. government that its export control regulations govern trade in U.S.-controlled commodities and technical data of U.S. origin outside the territorial boundaries of the United States.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×

Foreign availability

according to the Export Administration Act of 1979, a situation existing when an item comparable to a CoCom-proscribed item is available to adversaries, from non-CoCom sources, in quantities sufficient to satisfy their military needs. Foreign availability may apply to items that CoCom-proscribed nations manufacture domestically or buy freely from uncontrolled sources.

Foreign policy controls

restriction imposed on the export of items to a specified country (or countries) in order to further the foreign policy of the United States or to fulfill its international obligations (see the Export Administration Act of 1979, as amended).


General exception cases

approved sales of controlled items to CoCom-proscribed countries otherwise under general embargo.

General license

an export license established by the Department of Commerce for which no application is required and for which no document is granted or issued. General licenses are available for use by all persons or organizations, except those listed in and prohibited by the provisions of the Export Administration Regulations, Supplement No. 1 to Part 388. The licenses permit exports within the above provisions as prescribed in the regulations. These general licenses are not applicable to exports under the licensing jurisdiction of agencies other than the Department of Commerce.

Generic control indicator

an internationally standardized marking system (for example, a bar code) that might be used to identify the contents, origin, and destination of goods in trade.

Glasnost

(openness) the comprehensive strategy introduced by Soviet President Mikhail Gorbachev for political, economic, and social reform in the Soviet Union based on the democratization and decentralization of political and economic institutions; increased openness and public participation in decision making; modernization based on technological restructuring; and a new foreign economic strategy based on interdependence.


"High walls"

refers to certain end-use control techniques and to the items to which they apply. High-walls characteristics permit individual management of items and verification of their end uses. Among such characteristics are individual production and maintenance, large size and complexity, existence of internal performance tracking mechanisms, and ongoing vendor involvement in maintenance, repair, and resale.


Import certificate/delivery verification (IC/DV)

a procedure sometimes used by the United States, other CoCom countries, Austria, and Hong Kong to monitor the movement of exports of militarily strategic commodities.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×

Indexing

a possible mechanism for review and modification of export control lists. It involves linking control thresholds with item performance characteristics so that controls on lower performance items are gradually relaxed as the performance of the item class increases over time.

Intelligence community

a collective term denoting the director of central intelligence, the Central Intelligence Agency, the intelligence and counterintelligence elements of the Army, Navy, Air Force, and Marine Corps, the Defense Intelligence Agency, the National Security Agency, the intelligence elements of the Departments of Defense, State, Energy, and the Treasury, and the counterintelligence element of the Federal Bureau of Investigation.

Item

in the context of this report, the units or entities subject to export controls. Items can be systems, individual products, critical components, unique or exotic materials, associated test and calibration equipment, software, and technical data and know-how.


Keystone equipment

a term developed in the 1976 report of the Defense Science Board Task Force on Export of U.S. Technology, also known as the Bucy report after its chairman, J. Fred Bucy. The term is used to denote critical technological equipment, such as sophisticated machine tools, necessary to manufacture other products.


Militarily Critical Technologies List (MCTL)

a document originally mandated by Congress listing technologies that the Department of Defense considers to have current or future utility in military systems. It briefly describes arrays of design and manufacturing know-how; keystone manufacturing, inspection, and test equipment; and goods accompanied by sophisticated operation, application, and maintenance know-how. Military justification for each entry is included in the classified version of the list.


National discretion item

a level of CoCom control under which some items on the International Industrial List, as indicated in administrative exception notes, may be licensed for sale to proscribed nations by one member country without the approval of the others.

National security export controls

procedures designed to regulate the transfer of items from one country to another in such a way as to protect militarily important technologies from acquisition by potential adversaries (see the Export Administration Act of 1979, as amended).

Neutrality Acts

passed by Congress in 1935 and 1936, these acts forbade the sale of arms or their transport to warring countries once the President acknowledged the outbreak of war.

Nuclear Non-Proliferation Treaty (NNPT)

a system of physical safeguards that help to prevent the diversion of peaceful nuclear energy technology into nuclear weapons programs.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×

Perestroika

(restructuring) an effort led by Soviet President Mikhail Gorbachev to restructure the Soviet economy from a centrally planned to a market-based system.

Proscribed countries

in terms of U.S. national security export controls, Albania, Bulgaria, Cambodia, Cuba, Czechoslovakia, Estonia, Hungary, Laos, Latvia, Lithuania, the Mongolian People's Republic, North Korea, the People's Republic of China, Poland, Romania, the Soviet Union, and Vietnam.


Reexports

the exportation of commodities or technical data from one foreign destination to another at any time after initial export from the country of origin.

Reverse engineering

obtaining design and manufacturing know-how and data on an item by study of the item itself.


Sunset provision

in the context of this report, a clause mandating the periodic review and automatic termination of an export restriction unless its continued inclusion on a control list has been rejustified and agreed upon.

Supercomputer Safeguard Plan

places restrictions on access to end use of supercomputers installed outside the United States, Canada, and Japan.


Technology transfer

in the context of this report, the acquisition by one country from another of products, technology, or know-how that directly or indirectly enables a qualitative or quantitative upgrading of deployed military systems or the development of effective countermeasures to military systems deployed by others.

Third countries

nonproscribed countries that are not part of CoCom.

Third Country Cooperation initiative

efforts made by CoCom countries, modeled on U.S. bilateral agreements, to convince third countries to cooperate with CoCom export control policies by preventing reexports of CoCom-controlled items.


Unilateralism

in the context of this report, refers to actions relating to export controls that are taken by only one nation.

U.S. Commodity Control List

the list of commodities under the export control jurisdiction of the Commerce Department's Bureau of Export Administration.

U.S. Munitions List a list of defense articles and services developed by the Department of Defense and now maintained by the State Department with the advice of the Defense Department.

W

Weapons of mass destruction

weapons for use against large population concentrations, inevitably including both civilian and military personnel and facilities.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×

West-West trade

refers to trade between nonproscribed countries, including intra-CoCom trade.


Zangger Committee

(the Nuclear Exporters Committee) a group of signatories to the Nuclear Non-Proliferation Treaty that have agreed to prohibit the export of certain items to nonnuclear states without a pledge of ''no explosive use" and acceptance of International Atomic Energy Agency safeguards. The committee takes its name from its first chairman.

Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
Page 356
Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
Page 357
Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
Page 358
Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
Page 359
Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
Page 360
Suggested Citation:"Appendix K." Institute of Medicine, National Academy of Sciences, and National Academy of Engineering. 1991. Finding Common Ground: U.S. Export Controls in a Changed Global Environment. Washington, DC: The National Academies Press. doi: 10.17226/1617.
×
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Protecting U.S. security by controlling technology export has long been a major issue. But the threat of the Soviet sphere is rapidly being superseded by state-sponsored terrorism; nuclear, chemical, biological, and missile proliferation; and other critical security factors.

This volume provides a policy outline and specific steps for an urgently needed revamping of U.S. and multilateral export controls.

It presents the latest information on these and many other pressing issues:

  • The successes and failures of U.S. export controls, including a look at U.S. laws, regulations, and export licensing; U.S. participation in international agencies; and the role of industry.
  • The effects of export controls on industry.
  • The growing threat of "proliferation" technologies.

World events make this volume indispensable to policymakers, government security agencies, technology exporters, and faculty and students of international affairs.

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