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