BOOK-TITLE -- COPYRIGHT -- SPONSORS -- PREFACE -- CONTENTS -- EXECUTIVE SUMMARY -- UNWANTED TRANSFER OF U.S. TECHNOLOGY -- UNIVERSITIES AND SCIENTIFIC COMMUNICATION -- THE CURRENT CONTROL SYSTEM -- COSTS AND BENEFITS OF CONTROLS -- PRINCIPAL FINDINGS AND RECOMMENDATIONS -- Control of University Research Activities -- Unrestricted Areas of Research -- Classification -- Gray Areas -- The Export of Domestically Available Technical Data Under ITAR and EAR Regulations -- The Use of Voluntary Controls -- The Militarily Critical Technologies List -- Technology Transfer to the Third World -- INTRODUCTION -- 1 CURRENT KNOWLEDGE ABOUT UNWANTED TECHNOLOGY TRANSFER AND ITS MILITARY SIGNIFICANCE -- -- THE QUALITY OF THE EVIDENCE -- POTENTIAL CHANNELS AND TYPES OF TECHNOLOGY TRANSFER -- THE OVERALL PROBLEM -- THE ROLE OF THE RESEARCH COMMUNITY -- THE SOVIET ACQUISITION EFFORT -- THE OVERALL PROBLEM -- THE ROLE OF THE RESEARCH COMMUNITY -- EVIDENCE OF THE EXTENT OF UNWANTED TRANSFER -- THE OVERALL PROBLEM -- THE ROLE OF THE RESEARCH COMMUNITY -- EVIDENCE OF THE SOVIET ABSORPTION CAPACITY -- EVIDENCE OF THE MILITARY SIGNIFICANCE OF TECHNOLOGY LOSSES -- THE OVERALL PROBLEM -- THE ROLE OF THE RESEARCH COMMUNITY -- PROJECTIONS FOR CHANGE -- 2 UNIVERSITIES AND SCIENTIFIC COMMUNICATION -- UNIVERSITY RESEARCH AND TEACHING -- SCIENTIFIC COMMUNICATION -- BILATERAL INTERGOVERNMENTAL AGREEMENTS -- NATIONAL ACADEMY OF SCIENCES EXCHANGE PROGRAMS -- INTERNATIONAL RESEARCH AND EXCHANGE BOARD PROGRAM -- 3 THE CURRENT CONTROL SYSTEM -- CLASSIFICATION OF INFORMATION -- EXPORT CONTROLS -- EAA AND EAR -- ARMS EXPORT CONTROL ACT AND ITAR -- LIMITATIONS OF EXPORT CONTROL AUTHORITY -- CONTRACTUAL RESTRICTIONS -- "VOLUNTARY" RESTRICTIONS -- CONTROLS ON FOREIGN VISITORS -- VISA CONTROLS -- EXCHANGE PROGRAMS -- 4 GENERAL CONCLUSIONS: BALANCING THE COSTS AND BENEFITS OF CONTROLS.

PREVENTING SOVIET MILITARY ADVANCES BASED ON U.S. RESEARCH -- THE RELATION TO CONTROLS -- THE PANEL'S ASSESSMENT -- Leakage and the Research Community -- FOSTERING U.S. MILITARY AND ECONOMIC STRENGTH -- THE RELATION TO CONTROLS -- THE PANEL'S ASSESSMENT -- Openness and Military Strength -- Openness and Economic Strength -- Security by Accomplishment -- PROTECTING EDUCATIONAL AND CULTURAL VALUES -- THE RELATION TO CONTROLS -- THE PANEL'S ASSESSMENT -- THE FEASIBILITY OF CONTROLS -- BALANCING COMPETING OBJECTIVES: THE PANEL'S JUDGMENT -- PRINCIPLES FOR UNIVERSITY RESEARCH -- GUIDELINES FOR CLASSIFIED AND GRAY-AREA RESEARCH -- 5 IMPROVING THE CURRENT SYSTEM -- THE WORKABILITY OF THE CURRENT SYSTEM CAN BE IMPROVED -- EXPORT CONTROLS AND DOMESTICALLY AVAILABLE INFORMATION -- PRIORITIES WITHIN THE EXPORT CONTROL SYSTEM -- MILITARILY CRITICAL TECHNOLOGIES LIST -- VOLUNTARY CONTROLS -- STAFFING DEFICIENCIES -- THE FACTUAL BASIS FOR DECISIONS CAN BE IMPROVED -- ASSESSMENT CAPABILITY -- TECHNOLOGY TRANSFERS TO THE THIRD WORLD -- REVIEW OF SCIENTIFIC EXCHANGE PROPOSALS -- BETTER MUTUAL ACCOMMODATION BETWEEN THE GOVERNMENT AND RESEARCHERS CAN AND MUST BE ACHIEVED -- GOVERNMENT-SCIENCE RELATIONS -- UNIVERSITY INVOLVEMENT IN RESEARCH WHOSE RESULTS WILL NOT BE DISSEMINATED -- U.S.-U.S.S.R. SCIENTIFIC EXCHANGE PROGRAMS SHOULD BE BROUGHT INTO BETTER BALANCE -- BILATERAL INTERGOVERNMENTAL AGREEMENTS -- INTER-ACADEMY EXCHANGES (NAS-ASUSSR) -- INTERNATIONAL RESEARCH AND EXCHANGE BOARD PROGRAM -- 6 COMPILATION OF RECOMMENDATIONS -- CONTROL OF UNIVERSITY RESEARCH ACTIVITIES -- UNRESTRICTED AREAS OF RESEARCH -- CLASSIFICATION -- GRAY AREAS -- THE WORKABILITY OF EXPORT CONTROLS ON SCIENTIFIC COMMUNICATION -- EXPORT OF DOMESTICALLY AVAILABLE TECHNICAL DATA UNDER ITAR AND EAR -- SCOPE OF ITAR AND EAR TECHNICAL DATA PROVISIONS -- THE MCTL -- VOLUNTARY CONTROLS -- STAFFING.

DATA FOR DECISION MAKING -- ASSESSMENT CAPABILITY -- TECHNOLOGY TRANSFERS TO THE THIRD WORLD -- REVIEW OF SCIENTIFIC EXCHANGE PROPOSALS -- THE GOVERNMENT-UNIVERSITY RELATIONSHIP -- GOVERNMENT-UNIVERSITY FORUM -- UNIVERSITY INVOLVEMENT IN RESEARCH WHOSE RESULTS WILL NOT BE DISSEMINATED -- U.S.-U.S.S.R. SCIENTIFIC EXCHANGES -- HEIGHTENED AWARENESS -- BILATERAL INTERGOVERNMENTAL AGREEMENTS -- INTER-ACADEMY EXCHANGES (NAS-ASUSSR) -- INTERNATIONAL RESEARCH AND EXCHANGE BOARD PROGRAM -- ADDITIONAL COMMENT BY HAROLD T. SHAPIRO -- LIST OF BRIEFERS, CONTRIBUTORS, AND LIAISON REPRESENTATIVES -- Briefers -- Contributors -- Liaison Representatives -- LIST OF ACRONYMS -- ANNOTATED BIBLIOGRAPHY -- Contents -- 1. PERSPECTIVES ON THE CURRENT PROBLEM -- 1.1 Background on East-West science and technology transfer -- 1.2 Recent correspondence and speeches -- 1.3 Government documents -- 1.3.1 U.S. Congress -- 1.3.2 Central Intelligence Agency -- 1.3.3 Department of Defense -- 2. MECHANISMS FOR CONTROLLING TECHNOLOGY TRANSFER -- 2.1 Classification -- 2.2 Export controls -- 2.3 Contractual controls in government-funded research -- 2.4 Voluntary restraints -- 2.5 Visa control -- 3. INFORMATION RESTRICTIONS AND U.S. SCIENTIFIC AND TECHNOLOGICAL ENTERPRISE -- 4. LEGAL ISSUES -- 5. CASE EXAMPLES -- 5.1 Very high speed integrated circuits (VHSIC) -- 5.2 Cryptography -- 5.3 Other scientific and technological areas -- 6. WORKING PAPERS OF THE PANEL -- Appendix A MEMORANDUM FROM THE INTELLIGENCE SUBPANEL TO THE PANEL ON SCIENTIFIC COMMUNICATION AND NATIONAL SECURITY (UNCLASSIFIED VERSION) -- SUMMARY FINDING -- SOVIET EFFORTS -- EXAMPLES OF SOVIET COLLECTION FROM U.S. ACADEMIC SOURCES -- EFFECTIVENESS OF SOVIET ASSIMILATION OF DATA FROM U.S. ACADEMIC AND OTHER "FREE EXCHANGE" SOURCES -- COMMUNICATION BETWEEN THE INTELLIGENCE COMMUNITY AND THE RESEARCH COMMUNITY.

Appendix B THE HISTORICAL CONTEXT OF NATIONAL SECURITY CONCERNS ABOUT SCIENCE AND TECHNOLOGY -- SECURITY AND TRADE RESTRAINTS IN THE POSTWAR PERIOD -- SECRECY AND LOYALTY DURING THE 1950S -- THE IMPACT OF DETENTE ON SCIENTIFIC COMMUNICATION -- GROWING CONCERN ABOUT TECHNOLOGY LOSS -- SCIENCE AND TECHNOLOGY COMMUNICATION IN THE POSTDETENTE ERA -- RECENT DEVELOPMENTS -- ANNEX COCOM'S PROCEDURES -- MEMBERSHIP -- TARGET COUNTRIES -- OPERATING PRINCIPLES -- Informal Basis -- Unanimity -- Secrecy -- THE LISTS -- Description -- Appendix C A STUDY OF THE RESPONSES OF INDUSTRY TO A LETTER OF INQUIRY FROM THE NAS PANEL ON SCIENTIFIC COMMUNICATION AND NATIONAL SECURITY -- INTRODUCTION -- CONTINUUM MODELS -- COMMON OBSERVATIONS OF THE RESPONDENTS -- MISCELLANEOUS VIEWS OF THE RESPONDENTS -- CONCLUSIONS -- EDITORIAL COMMENTS -- SMALLER COMPANIES -- SHOULD RESTRICTIONS BE DECREASED? -- IS THE CURRENT EXPORT CONTROL SYSTEM OPTIMUM? -- COOPERATION -- LACK OF INFORMATION -- FREE MARKET TRADITION -- Appendix D A BRIEF ANALYSIS OF UNIVERSITY RESEARCH AND DEVELOPMENT EFFORTS RELATING TO NATIONAL SECURITY, 1940-1980 -- Appendix E VOLUNTARY RESTRAINTS ON RESEARCH WITH NATIONAL SECURITY IMPLICATIONS: THE CASE OF CRYPTOGRAPHY, 1975-1982 -- MAJOR GOVERNMENT CONCERNS ABOUT DISSEMINATION -- FORMATION OF THE PUBLIC CRYPTOGRAPHY STUDY GROUP -- WIDER APPLICABILITY OF THE CRYPTOGRAPHY MODEL -- Appendix F THE ROLE OF FOREIGN NATIONALS STUDYING OR WORKING IN U.S. UNIVERSITIES AND OTHER SECTORS -- GRADUATE TRAINING -- DOCTORATE PRODUCTION -- POSTDOCTORATES -- CHARACTERISTICS OF EMPLOYMENT DISTRIBUTION -- Appendix G LETTER FROM FIVE UNIVERSITY PRESIDENTS -- Appendix H STATEMENT OF ADMIRAL B.R.INMAN FOR THE MAY 11, 1982, SENATE GOVERNMENTAL AFFAIRS SUBCOMMITTEE ON INVESTICATIONS HEARING ON TECHNOLOGY TRANSFER.

Appendix I EXECUTIVE ORDER ON NATIONAL SECURITY INFORMATION NATIONAL SECURITY INFORMATION -- EXECUTIVE ORDER NATIONAL SECURITY INFORMATION -- PART 1 ORIGINAL CLASSIFICATION -- SECTION 1.1 CLASSIFICATION LEVELS. -- SEC. 1.2 CLASSIFICATION AUTHORITY. -- SEC. 1.3 CLASSIFICATION CATEGORIES. -- SEC. 1.4 DURATION OF CLASSIFICATION. -- SEC. 1.5 IDENTIFICATION AND MARKINGS. -- SEC. 1.6 LIMITATIONS ON CLASSIFICATION. -- PART 2 DERIVATIVE CLASSIFICATION -- SEC. 2.1 USE OF DERIVATIVE CLASSIFICATION. -- SEC. 2.2 CLASSIFICATION GUIDES. -- PART 3 DECLASSIFICATION AND DOWNGRADING -- SEC. 3.1 DECLASSIFICATION AUTHORITY. -- SEC. 3.2 TRANSFERRED INFORMATION. -- SEC. 3.3 SYSTEMATIC REVIEW FOR DECLASSIFICATION. -- SEC. 3.4 MANDATORY REVIEW FOR DECLASSIFICATION. -- PART 4 SAFEGUARDING -- SEC. 4.1 GENERAL RESTRICTIONS ON ACCESS. -- SEC. 4.2 SPECIAL ACCESS PROGRAMS. -- SEC. 4.3 ACCESS BY HISTORICAL RESEARCHERS AND FORMER PRESIDENTIAL APPOINTEES. -- PART 5 IMPLEMENTATION AND REVIEW -- SEC. 5.1 POLICY DIRECTION. -- SEC. 5.2 INFORMATION SECURITY OVERSIGHT OFFICE. -- SEC. 5.3 GENERAL RESPONSIBILITIES. -- SEC. 5.4 SANCTIONS. -- PART 6 GENERAL PROVISIONS -- SEC. 6.1 DEFINITIONS. -- SEC. 6.2 GENERAL. -- Appendix J CORRESPONDENCE BETWEEN THE STATE DEPARTMENT AND THE UNIVERSITY OF MINNESOTA AND M.I.T. RESTRICTING FOREIGN VISITORS.