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Suggested Citation:"Index." 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.
×

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, Lew, Jr., 6, 318

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

purpose of, 71, 135, 136

Swiss membership in, 286

Austria, 67, 124, 125

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

Suggested Citation:"Index." 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.
×

need for changes in access to, 107

proliferation of, 2, 59

Brazil

cooperation on export controls with U.S., 123

nuclear facilities, 56

Bucy, J. Fred, 28n, 339

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

Cambodia, 72, 78

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

Carter, Jimmy, 314, 316

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

results, 20, 67, 96, 126, 343

CoCom Industrial List, 3, 75, 87, 95, 118, 121, 175, 192, 242, 302

Cold War era, 310-312, 321

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

Airbus Industrie, 23, 227

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

purchase orders, 244, 245

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

definition of, 163, 164

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

Suggested Citation:"Index." 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.
×

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

export controls, 163, 260-261

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

development, 20, 155

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

establishment, 62, 311

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

list review in 1990, 138, 154

meeting of panel fact-finding delegation and U.S. representatives to, 275

objectives, 118-120, 175

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

U.S. representation, 151, 194

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 article, 87, 190

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

Suggested Citation:"Index." 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.
×

British view of, 269

French view of, 273, 274

German view of, 279, 280

Dispute resolution

deadlines, 148, 190

inefficient, 98-99, 173

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

overlapping, 94-95, 172

recommendations regarding, 94, 149-150, 193-194

responsibilities, 150, 180

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

Suggested Citation:"Index." 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.
×

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

forms of, 109-110, 132

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 affair, 33, 315

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

Finland, 67, 124, 125

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

explanation, In, 63-64, 114n

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

Suggested Citation:"Index." 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.
×

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

war with Iraq, 56, 57

Iraq

chemical weapon capabilities, 71

conflict with Israel, 57

decision to invade Kuwait, 53-54

export controls targeted against, 85

nuclear weapon capabilities, 56

war with Iran, 56, 57

Ireland, 120

Israel, 56, 57

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

Middle East, 8, 55

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

proliferation control of, 70-71, 79, 89, 134

Suggested Citation:"Index." 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.
×

135, 178

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)

annex to, 76-77, 98

British view of, 270

effectiveness, 134-135, 137

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

matrix of, 86, 88-89

new targets for, 112-114, 174-175

outdated, 39, 106-110

policy mechanisms, 140-142

presidential role, 139-140, 187-188

recommendations regarding, 116-117

National security interests

and changes in sources of threat, 43-59, 170

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

strategy, 61-62, 311, 312

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)

lists maintained by, 76, 98

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

proliferation of, 2, 56-59

See also

Suggested Citation:"Index." 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.
×

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

Section 2433, 5, 7, 304-305

Over-the-counter software, 249, 260-261

P

Pakistan

conflict with India, 55, 56

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

(PECSEA), 345, 346

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

Suggested Citation:"Index." 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.
×

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

regional conflict in, 14, 55

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

Strategic Arms Reduction Talks (START), 45, 48

Strategic Technology Experts Meeting, 127, 128, 187

Suggested Citation:"Index." 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.
×

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

procedures, 160, 161

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

Syria, 71, 85

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)

establishment of, 75, 339-340

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

espionage, 28-29, 167

illegal sales, 29-30

legal sales, 31

Technology transfer

Allen study on, 6, 10

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.,

Suggested Citation:"Index." 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.
×

107, 108

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 of Rome, 121, 271, 284

Treaty on Conventional Forces in Europe (CFE), 1-2, 34, 45

limitations imposed by, 52

on-site inspection regimes in, 112

terms, 48

Trigger lists, 70, 76

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

early history, 61-64, 308-309

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

Suggested Citation:"Index." 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.
×

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

establishment, 61-62, 311

force reduction by, 48

Warsaw Treaty Organization (WTO) allies

See also Eastern Europe

British policy of differentiation toward, 269

commercial aircraft and jet engine exports to, 236n

economic and political changes in, 8, 13-14, 39-40, 43-46, 166, 267

efforts to deny access to militarily relevant technology to, 106

technology acquisition by, 26-31

technology acquisition since beginning of 1990, 31-32

Weapons

See also Biological weapons;

Chemical weapons;

Nuclear weapons/materials/technologies

efforts to limit proliferation of, 89

exports from EC members, 121

of mass destruction, 54

need for international attention to trade issues, 128

U.S. export control policy objectives 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

trigger lists, 76, 98

view of dual use items, 34, 137, 185

Suggested Citation:"Index." 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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Suggested Citation:"Index." 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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Suggested Citation:"Index." 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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Suggested Citation:"Index." 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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Suggested Citation:"Index." 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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Suggested Citation:"Index." 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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Finding Common Ground: U.S. Export Controls in a Changed Global Environment Get This Book
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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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