Basic Research Versus Export Controls
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Basic Research Versus Export Controls Paul R. Betten
Every few years the debate between the freedom to disseminate basic research advances and the regulatory aspects of export control is revisited. The debate ne ver seems to be resolved. Enough discussion occurs, however, to allow both sides to claim a marginal victory and see the issue disappear for a few more years. Although the issue cannot be resolved hère, some of the key points can be related along with a few added insights from the technology transfer perspective. The major concern is how one maintains control and use of technological advances in a free society. It is enmeshed with developing concerns about U.S. competitiveness in a global marketplace. A parallel debate centers on whether U.S. research and development ideas hâve been appropriated by overseas industry or whether U.S. businesses hâve been too complacent about capitalizing on their own R&D advances. Export controls are justified on three bases: national security, foreign policy, and limited domestic supply. Controls include various commodity restrictions that dépend on the country involved. But, technical data may also be restricted—and the debate centers hère. Technical data are defined broadly and include installation, opérations, maintenance, and repair manuals; blueprints or manufacturing spécifications; and software (including mass-marketed software). Although export control is commonly thought of in terms of hardware, controlling technical data release can be a greater problem because data are easy to conceal, usually not immediately missed, and easily transmitted by mail, fax or electronic means. Data provide immédiate access to results without the need to reverseengineer the corresponding hardware. Recovery of data is moot once the content has been learned by the compétition. Technical data restrictions also require scrutiny of the access afforded visitors from overseas. Some may feel that export control concerns are exaggerated, especially where data appear far removed from
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practical application. We must remind ourselves that export controls are law, actively enforced, the violation of which carries both criminal and civil penalties. Indeed, hundreds of seizures are made every year by the Customs Service and Export Enforcement Office. Most such instances involve tangible hardware. But in the case of personal computers, for example, the inclusion of associated software illustrâtes how blurred the distinction between hardware and data can be.
The value of basic technical data to whoever receives it really dépends on their willingness to invest in development and to take a risk. It is clear, however, that national security hardware concerns are very real. A case in point is the sale several years ago of advanced machining equipment by a Japanbased industry to the Soviet Union, which enabled significantly reduced submarine propeller noise. That cost the U.S. taxpayer millions of dollars for countermeasures and corresponding R&D. The concerns about technical data are just as real but
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