Balancing the Needs for Space Research and National Security in the Context of the International Traffic in Arms RegulationsIntroductionExport Control in a Changing EnvironmentPrecautionary and Reactionary ApproachesSignificance of Export Control in National SecurityCurrent Precautionary PerspectiveMilitary Superiority by Technological SuperiorityU.S. Military Reliance on TechnologyConsequences of International Knowledge SharingU.S. Level of Innovation Relative to Hostile Nations and OrganizationsEmergence of Asymmetric Threats to National SecuritySummaryITAR and its Effect on Space Research InstitutionsCreation of Export RestrictionsAuthority for ITARThe Purpose of ITARKey Concepts in ITARThe United States Munitions ListThe Licensing ProcessLicense ExemptionsThe Fundamental Research ExemptionOther ExemptionsFormal Political Process of ITARStakeholdersMaking Changes to ITARInformal Political Process of ITARInnovation in Research Institutions and the Free Exchange of KnowledgeReactionary PerspectiveUniversities and CollaborationThe Role of Openness in University ResearchInnovation in a Global SocietyITAR’s Impact on Foreign StudentsITAR and SocioeconomicsLiability for ViolationsStriking a Balance between Openness in Research and National Security: Improving ITARDynamics of Innovation, Technical Superiority, and National SecurityVariable RelationshipShort-term effectLong-term effectImproving ITAR PolicyResolving Ambiguities Surrounding ITARAmbiguity Surrounding the Fundamental Research ExemptionThe Consequences of Removing the Fundamental Research ExemptionSensitive But Unclassified InformationReview of the United States Munitions ListImproving the ITAR Approval ProcessInterpretation of the US Munitions List & Licensing OverheadEvaluation of Research Projects at the Funding StageOpen DialogueSelf-RegulationSummary of RecommendationsBalancing the Needs for Space Research and NationalSecurity in the Context of the International Traffic inArms Regulations**Draft Report**Final Revision – 11/22/04Draft Final Course ReportESD.10 – Introduction to Technology and Policy8 December 2004Prepared by:David André BroniatowskiNicole JordanAndrew LongMatthew RichardsRoland WeibelBalancing the Needs for Space Research and National Security in the Context of ITAR*Draft*Introduction___________________________________________________________________1Export Control in a Changing Environment______________________________________1Precautionary and Reactionary Approaches______________________________________2Significance of Export Control in National Security___________________________________3Current Precautionary Perspective______________________________________________3Military Superiority by Technological Superiority_________________________________3Emergence of Asymmetric Threats to National Security_____________________________7Summary___________________________________________________________________8ITAR and its Effect on Space Research Institutions____________________________________9Creation of Export Restrictions_________________________________________________9Key Concepts in ITAR_______________________________________________________10Formal Political Process of ITAR_______________________________________________14Informal Political Process of ITAR_____________________________________________15Innovation in Research Institutions and the Free Exchange of Knowledge________________16Reactionary Perspective______________________________________________________16Universities and Collaboration_________________________________________________16ITAR and Socioeconomics____________________________________________________20Liability for Violations_______________________________________________________21Striking a Balance between Openness in Research and National Security: Improving ITAR__22Dynamics of Innovation, Technical Superiority, and National Security_______________22Improving ITAR Policy_______________________________________________________26Resolving Ambiguities Surrounding ITAR_______________________________________26Improving the ITAR Approval Process__________________________________________30Summary of Recommendations____________________________________________________34iiBalancing the Needs for Space Research and National Security in the Context of ITAR *Draft*Striking a Balance between Openness in Research and National Security: Improving ITAR1IntroductionUnited States export control laws have become a salient issue for academic spaceresearch institutions. Although export control has been used as a policy lever since theCold War, the state of modern technology brought about by the computer revolution andshifts in the world economy have resulted in the categorization of some information as“deemed exports”. Academic space research institutions now find themselves in aclimate of uncertainty. This chapter posits two fundamentally different ways of operatingwithin this uncertain climate are identified: a precautionary stance and a reactionarystance. Export Control in a Changing EnvironmentSince the beginning of the Cold War, the national security implications of exportingtechnology with military applications have concerned the United States. The concernover the export of technology stems from the fear that those devices could one day beused against the United States. During the Cold War, the United States’ concern overthe export of technology was focused on the export of hardware that could potentially beused by the Soviet Union. As a result of these security concerns, the United Statescreated strict export controls to both assess the potential threats caused by exportedtechnology and to restrict exports as needed.Today’s security and technological environments are dramatically different from those ofthe Cold War. The United States no longer faces one single threat, but must protectitself from a variety of possible adversaries, including nations and terrorists. Additionally,sharing information across nations has become much easier – both through theincreased ease with which information is communicated through the Internet, and withthe reduced cost of transportation. Information can be transferred to a potential threatwith the click of a mouse, the punch of an airline ticket, or the push of a mobile phonebutton.As a result of shifts in the world economy, the United States has