Type of Credit: Elective
Credit(s)
Number of Students
Course description: This seminar-style class will introduce students to national security and foreign policy considerations in international business. Topics include export controls on military and commercial items including nonproliferation concepts and policies to combat weapons of mass destruction (WMD) and delivery systems, and conventional arms, including a review of international nonproliferation regimes. This class will focus on key issues related to how nonproliferation and national security policies are implemented through strategic trade controls and sanctions at national levels. The class will review how countries balance security with prosperity, how countries cooperate each other in balancing security and prosperity in global trade, and how effective strategic trade controls and sanctions can be key in meeting nonproliferation and national security policies and goals. Lastly, the class will review national security concerns related to emerging technologies, foreign investments, and supply chain.
能力項目說明
This seminar will introduce students to national security and foreign policy considerations in international business. Topics include export controls on military and commercial items including nonproliferation concepts and policies to combat weapons of mass destruction (WMD) and delivery systems, and conventional arms, including a review of international nonproliferation regimes. This seminar-style class will focus on key issues related to how nonproliferation and national security policies are implemented through strategic trade controls and sanctions at national levels. The class will review how countries balance security with prosperity, how countries cooperate each other in balancing security and prosperity in global trade, and how effective strategic trade controls and sanctions can be key in meeting nonproliferation and national security policies and goals. Lastly, the class will review national security concerns related to emerging technologies, foreign investments, and supply chain.
| 教學週次Course Week | 彈性補充教學週次Flexible Supplemental Instruction Week | 彈性補充教學類別Flexible Supplemental Instruction Type |
|---|---|---|
Week 1: Introduction of class, expectations and goals
Reading:
John P. Caves and W. Seth Carus, The Future of Weapons of Mass Destruction: Their Nature and Role in 2030, CSWMD Occasional Paper 10, 1 June 2014 https://ndupress.ndu.edu/Media/News/News-Article-View/Article/717932/the-future-of-weapons-of-mass-destruction-their-nature-and-role-in-2030/
John P. Caves and W. Seth Carus, The Future of Weapons of Mass Destruction – An Update, February 2021 https://ni-u.edu/wp-content/uploads/2023/09/Future_of_WMD_Final.pdf read pp. 1-16, skim the rest
Sibylle Bauer, For the bathroom or the missile factory? Why dual-use trade controls matter, Stockholm International Peace Research Institute, 12 December 2012 https://sipri.org/commentary/essay/2012/bathroom-or-missile-factory-why-dual-use-trade-controls-matter
Week 2: Multilateral nonproliferation regimes: missiles; chemical and biological weapons; nuclear weapons; dual-use national security items
Reading:
General Accountability Office: Nonproliferation: Strategy needed to Strengthen Multilateral Export Control Regimes, October 2002, https://www.gao.gov/assets/240/236191.pdf, read pp. 1 – 30,
Michael D. Beck and Scott A. Jones, The Once and Future Multilateral Export Control Regimes: Innovate or Die, Strategic Trade Review, Winter/Spring 2019, https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-WinterSpring-2019.pdf, read pp. 55 – 76,
Michael D. Beck and Seema Gahlaut, Creating a New Multilateral Export Control Regime, Arms Control Today, Volume 33, April 2003, https://www.armscontrol.org/act/2003-04/features/creating-new-multilateral-export-control-regime
Challenges to Multilateral Export Controls: The case for Inter-regime Dialogue and Coordination, SIPRI, December 2019, https://www.sipri.org/sites/default/files/2019-12/1912_regime_dialogue_brockmann.pdf
https://cset.georgetown.edu/event/a-new-export-control-regime-for-the-21st-century/
Optimizing U.S. Export Controls for Critical and Emerging Technologies: Working with Partners, February 14, 2024, pp. 1 – 39, https://www.csis.org/analysis/optimizing-us-export-controls-critical-and-emerging-technologies-working-partners
Week 3: Multilateral nonproliferation regimes - delivery systems: Hague Code of Conduct Against Ballistic Missile Proliferation (HCOC); Missile Technology Control Regime (MTCR)
Reading:
https://www.hcoc.at/#:~:text=Missile%20Proliferation%20(HCoC)-,The%20Hague%20Code%20of%20Conduct%20against%20Ballistic%20Missile%20Proliferation%20(HCOC,carrying%20weapons%20of%20mass%20destruction Review landing page, text of the HCoC, FAQ.
https://nonproliferation.org/the-hague-code-of-conduct-multivector-expansion/
https://www.nti.org/countries/ Review missile developments by North Korea, China, Russia, United States, Israel; review other countries if interested.
Missile Technology Control Regime https://www.mtcr.info/en Review MTCR Guidelines; skim MTCR Annex.
Joshua H. Pollack, Miles Pomper, Ferenc Dalnoki-Veress, Joy Nasr, and Dave Schmerler, Options for a Verifiable Freeze on North Korea’s Missile Programs CNS Occasional Paper # 46, April 2019 https://www.nonproliferation.org/wp-content/uploads/2019/04/options_for_a_verifiable_freeze.pdf
https://www.sipri.org/sites/default/files/2023-09/mtcr_final_policy_brief_new.pdf
https://www.cfr.org/backgrounder/north-korea-nuclear-weapons-missile-tests-military-capabilities
https://www.cfr.org/podcasts/north-korea-challenge-scott-snyder
https://media.defense.gov/2022/Oct/27/2003103845/-1/-1/1/2022-NATIONAL-DEFENSE-STRATEGY-NPR-MDR.PDF, read pp 63 – 78.
Week 4: Multilateral nonproliferation regimes - nuclear, chemical and biological weapons: Nuclear Suppliers Group; Zangger Committee; Australia Group
Reading:
https://www.nti.org/countries/ Read Country Reports for U.S., Russia, Pakistan, India, France, UK, North Korea, Iran, and China
Nuclear Suppliers Group https://nuclearsuppliersgroup.org Review information on the landing page, skim “guidelines”, documents under “national practices” tabs
Implications for US Extended Deterrence and Assurance in East Asia, November 22, 2015 https://www.38north.org/2015/11/nukefuture112015/
U.S. Nuclear and Extended Deterrence: Considerations and Challenges, May 2010 https://www.brookings.edu/research/u-s-nuclear-and-extended-deterrence-considerations-and-challenges/ - skim
U.S. National Defense Strategy, 2022 https://media.defense.gov/2022/Oct/27/2003103845/-1/-1/1/2022-NATIONAL-DEFENSE-STRATEGY-NPR-MDR.PDF read pp 33 - 61
Australia Group https://www.dfat.gov.au/publications/minisite/theaustraliagroupnet/site/en/index.html Review “guidelines and common control lists under “Resources” tab
Organization for the Prohibition of Chemical Weapons https://www.opcw.org/ Review information under “About Us” tab
Biological Weapons Convention https://www.un.org/disarmament/biological-weapons/ Review “about bwc” tab
https://www.gppi.net/media/GPPi_Schneider_Luetkefend_2019_Nowhere_to_Hide_Web.pdf, read pp 1-14, skim the rest
Week 5: Conventional weapons proliferation: Wassenaar Arrangement
Readings
Wassenaar Arrangement https://wassenaar.org
Scott Jones, Think twice before bringing back the COCOM export control regime, April 2021, https://www.defensenews.com/opinion/commentary/2021/04/09/think-twice-before-bringing-back-the-cocom-export-control-regime/
Great Power Competition: Implications for Defense – Issues for Congress, February 28, 2024 https://s3.documentcloud.org/documents/24466470/r43838-4.pdf, read pp 16 - 44, skim rest of the document
Elsa B. Kania and Lorand Laskai, Myths and Realities of China’s Military-Civil Fusion Strategy, January 2021, https://www.cnas.org/publications/reports/myths-and-realities-of-chinas-military-civil-fusion-strategy
Richard A. Bitzinger, Yoram Evron, and Zi Yang, China’s Military-Civil Fusion Strategy: Development, Procurement, and Secrecy, January 2021, https://www.nbr.org/wp-content/uploads/pdfs/publications/ap16-1_china_mcf_rt_jan2021.pdf, read pp 1 – 44
https://thearmstradetreaty.org/# Read the text of the Treaty and peruse through other tabs
https://www.sipri.org/sites/default/files/2024-03/fs_2403_at_2023.pdf
Week 6: Individual presentations on a WMD program; select group presentation on a strategic trade control system in the Asia Pacific region
Week 7: Strategic trade controls - adopting multilateral controls into national strategic trade controls - development of national systems
Reading:
United Nations Security Council Resolution1540 Committee https://www.un.org/en/sc/1540/resolutions-committee-reports-and-SC-briefings/security-council-resolutions.shtml
United Nations Security Council Resolution 1540 Implementation: More of the Same or Brave New World
https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-Winter-2019.pdf
2021-2022 Comprehensive Review of UNSCR 1540 https://www.un.org/en/sc/1540/documents/Background%20Document-1540%20Committee%20Open%20Consultations%20CR%202021-22.pdf
The Center for Information on Security Trade Controls (CISTEC) Export Control Model of Japan: Role, Utility, and Management, Strategic Trade Review, Winter/Spring 2019, https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-WinterSpring-2019.pdf, read pp. 77 - 92
Hyuk Kim and Robert Shaw, “Strategic Trade Controls as a Foreign Policy Tool in Strategic Competition: Implications of a Shift Beyond Global Nonproliferation Goals,” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 17 - 35
Scott A. Jones, “The Sino-U.S. Technology Cold War: How the U.S. Leverages Technology Advantages through Economic Statecraft”, https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 37 – 59
Week 8: Elements of an export control system
Readings:
Elements of an Effective Export Control System, pdf file
David Santoro and Carl Baker, “Special Section: Trade Controls in Southeast Asia,” Strategic Trade Review, Spring 2016, https://strategictraderesearch.org/wp-content/uploads/2017/11/STR_02.pdf, read pp. 72 - 139
“Guidelines for Managing Trade of Strategic Goods,” A Memorandum from the Council for Security Cooperation in the Asia Pacific (CSCAP) NO. 14, March 2009 http://www.cscap.org/uploads/docs/Memorandums/CSCAP%20Memorandum%20No%2014%20--%20Guidelines%20for%20Managing%20Trade%20of%20Strategic%20Goods.pdf
Frauke Renz, “An Additional Tool for Economic Integration? How Coordination on Strategic Trade Controls Can Promote Regional Cooperation within ASEAN,” Strategic Trade Review, Autumn 2016, pp. 85 - 102 https://strategictraderesearch.org/wp-content/uploads/2017/11/STR_03.pdf
Peter Heine, Tye Blackburn and Heidi Hamling, “A Strategic Trade Control Systems Model,” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 5 - 15
Week 9: Emerging/foundational technologies
Scott A. Jones, “Trading Emerging Technologies: Export Controls Meet Reality,” Brill.com, February 2021, https://brill.com/view/journals/shrs/aop/article-10.1163-18750230-31010004/article-10.1163-18750230-31010004.xml?language=en
Thibault Denamiel et al, May 3, 2024, Beyond Economics: How U.S. Policies Can Undermine National Security Goals (csis.org)
A Report by the Fast Track Action Subcommittee on Critical and Emerging Technologies
of the National Science and Technology Council, February 2024, Critical-and-Emerging-Technologies-List-2024-Update.pdf (whitehouse.gov)
EIC Working paper 1/2022, Identification of Emerging Technologies and Breakthrough Innovation, European Innovation Council, February 2022, identification of emerging technologies and breakthrough-EA0522034ENN (1).pdf
Emerging Technologies Developments in the Context of Dual-Use Export Controls https://trade.ec.europa.eu/doclib/docs/2021/september/tradoc_159791.pdf
EU-US Trade and Technology Council (europa.eu) (review all links on left-hand side and documents)
Week 10: Academic research/collaboration; intangible technology transfer; technology transfers to foreign nationals (deemed export)
https://www.youtube.com/watch?v=yhOpIq4oPFc (Video)
https://itlaw.wikia.org/wiki/Deemed_Export
Lauriane Heau et al, Intangible Transfers of Technology and Software, Challenges for the Missile Technology Control Regime, April 2024, intangible_transfers_of_technology_and_software_0.pdf (sipri.org), read pp 1 – 18, skim rest.
Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes, September 2020, https://www.kcl.ac.uk/csss/assets/itt-case-studies-2020.pdf
US Department of Justice, Attorney General Jeff Session’s China Initiative Fact Sheet, 1 November 2018, https://www.justice.gov/opa/speech/file/1107256/download
US Department of Justice, 19 November 2021, https://www.justice.gov/archives/nsd/information-about-department-justice-s-china-initiative-and-compilation-china-related
MIT Technology Review, 2 December 2021, https://www.technologyreview.com/2021/12/02/1040656/china-initative-us-justice-department/
Brennan Center for Justice, 25 March 2022, https://www.brennancenter.org/our-work/analysis-opinion/end-justice-departments-china-initiative-brings-little-relief-us
https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32021H1700&qid=1671944227540&from=EN, read pages 24 – 36, appendices 1, 2, 3, and 4, skim the rest.
https://www.reuters.com/world/us/us-committee-targets-georgia-techs-alleged-ties-chinese-military-linked-research-2024-05-09/
Maria J. Espona and Mayra Ameneiros, “Cooperative Nonproliferation Controls to Support Research and Security: Risks and Challenges in Research Institutions and Universities Offering STEM Degrees in Argentina” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, pp 121 - 149
Week 11: Sanctions
Reading:
John Park, Jim Walsh, “Stopping North Korea, Inc.: Sanctions Effectiveness and Unintended Consequences,” MIT, 2016 https://www.belfercenter.org/sites/default/files/legacy/files/Stopping%20North%20Korea%20Inc%20Park%20and%20Walsh%20.pdf read pp 1-30, skim rest
PODCAST: “Do Sanctions Work,” Tell Me More, National Public Radio 2013. Run time: 11minutes https://www.npr.org/templates/story/story.php?storyId=246733368
https://iranprimer.usip.org/blog/2020/oct/11/chilling-effect-us-sanctions-iran
skim related materials links
Jonathan Masters, “What Are Economic Sanctions?” Council on Foreign Relations, Backgrounder, August 2019 https://www.cfr.org/backgrounder/what-are-economic-sanctions
United States General Accounting Office “Economic Sanctions: Effectiveness as Tools of Foreign Policy” February 1992 https://www.gao.gov/assets/nsiad-92-106.pdf (skim)
The Treasury 2021 Sanctions Review https://home.treasury.gov/system/files/136/Treasury-2021-sanctions-review.pdf
Are sanctions actually hurting Russia's economy? Here's what you need to know, July 2022, https://www.npr.org/2022/07/01/1109033582/are-sanctions-actually-hurting-russias-economy-heres-what-you-need-to-know (Podcast)
Gerard DiPippo, Strangling the Bear? Sanctions on Russia after Four Months, June 2022, https://www.csis.org/analysis/strangling-bear-sanctions-russia-after-four-months
Week 12: US export control system
Week 13: Individual presentations on export control system
Week 14: National security review of foreign investments
Reading:
Global economic fracturing and shifting investment patterns United Nations Conference on Trade and Development, 23 April 2024, https://unctad.org/system/files/official-document/diae2024d1_en.pdf, read pp 1 – 39, skim references and appendix
Investment Policy Monitor, The Evolution of FDI Screening Mechanisms – key trends and features, February 2023, https://unctad.org/system/files/official-document/diaepcbinf2023d2_en.pdf
Foreign Direct Investment: Background and Issues, Congressional Research Service, 21 February 2024, IF10636 (congress.gov)
An FDI Investigation, https://www.csis.org/node/54674 (Podcast)
Week 15: Supply chain security
Reading
Geopolitical Risk and Decoupling: Evidence from U.S. Export Controls, Federal Reserve Bank of New York, April 2024, https://www.newyorkfed.org/medialibrary/media/research/staff_reports/sr1096.pdf?sc_lang=en, Read pp 1-33.
Sujai Shivakumar et al, Balancing the Ledger: Export Controls on U.S. Chip Technology to China, Center for Strategic and International Studies, February 2024, 240221_Shivakumar_Balancing_Ledger.pdf (csis-website-prod.s3.amazonaws.com)
https://www.whitehouse.gov/briefing-room/blog/2021/09/23/when-the-chips-are-down-preventing-and-addressing-supply-chain-disruptions/
Building Resilient Supply Chains, Revitalizing American Manufacturing, and Fostering Broad-based Growth July 2021 https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf, read pp.1 – 18, 21-27, 53-80, skim pp 27-53.
Bradley Martin, “Supply Chain Disruptions: The Risks and Consequences,” November 2021, https://www.rand.org/blog/2021/11/supply-chain-disruptions-the-risks-and-consequences.html
https://www.wilsoncenter.org/event/taiwans-role-us-semiconductor-supply-chain-network (Video)
Weeks 16 and 17: Research days
Week 18: Final papers due
Week 1: Introduction of class, expectations and goals
Reading:
John P. Caves and W. Seth Carus, The Future of Weapons of Mass Destruction: Their Nature and Role in 2030, CSWMD Occasional Paper 10, 1 June 2014 https://ndupress.ndu.edu/Media/News/News-Article-View/Article/717932/the-future-of-weapons-of-mass-destruction-their-nature-and-role-in-2030/
John P. Caves and W. Seth Carus, The Future of Weapons of Mass Destruction – An Update, February 2021 https://ni-u.edu/wp-content/uploads/2023/09/Future_of_WMD_Final.pdf read pp. 1-16, skim the rest
Sibylle Bauer, For the bathroom or the missile factory? Why dual-use trade controls matter, Stockholm International Peace Research Institute, 12 December 2012 https://sipri.org/commentary/essay/2012/bathroom-or-missile-factory-why-dual-use-trade-controls-matter
Week 2: Multilateral nonproliferation regimes: missiles; chemical and biological weapons; nuclear weapons; dual-use national security items
Reading:
General Accountability Office: Nonproliferation: Strategy needed to Strengthen Multilateral Export Control Regimes, October 2002, https://www.gao.gov/assets/240/236191.pdf, read pp. 1 – 30,
Michael D. Beck and Scott A. Jones, The Once and Future Multilateral Export Control Regimes: Innovate or Die, Strategic Trade Review, Winter/Spring 2019, https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-WinterSpring-2019.pdf, read pp. 55 – 76,
Michael D. Beck and Seema Gahlaut, Creating a New Multilateral Export Control Regime, Arms Control Today, Volume 33, April 2003, https://www.armscontrol.org/act/2003-04/features/creating-new-multilateral-export-control-regime
Challenges to Multilateral Export Controls: The case for Inter-regime Dialogue and Coordination, SIPRI, December 2019, https://www.sipri.org/sites/default/files/2019-12/1912_regime_dialogue_brockmann.pdf
https://cset.georgetown.edu/event/a-new-export-control-regime-for-the-21st-century/
Optimizing U.S. Export Controls for Critical and Emerging Technologies: Working with Partners, February 14, 2024, pp. 1 – 39, https://www.csis.org/analysis/optimizing-us-export-controls-critical-and-emerging-technologies-working-partners
Week 3: Multilateral nonproliferation regimes - delivery systems: Hague Code of Conduct Against Ballistic Missile Proliferation (HCOC); Missile Technology Control Regime (MTCR)
Reading:
https://www.hcoc.at/#:~:text=Missile%20Proliferation%20(HCoC)-,The%20Hague%20Code%20of%20Conduct%20against%20Ballistic%20Missile%20Proliferation%20(HCOC,carrying%20weapons%20of%20mass%20destruction Review landing page, text of the HCoC, FAQ.
https://nonproliferation.org/the-hague-code-of-conduct-multivector-expansion/
https://www.nti.org/countries/ Review missile developments by North Korea, China, Russia, United States, Israel; review other countries if interested.
Missile Technology Control Regime https://www.mtcr.info/en Review MTCR Guidelines; skim MTCR Annex.
Joshua H. Pollack, Miles Pomper, Ferenc Dalnoki-Veress, Joy Nasr, and Dave Schmerler, Options for a Verifiable Freeze on North Korea’s Missile Programs CNS Occasional Paper # 46, April 2019 https://www.nonproliferation.org/wp-content/uploads/2019/04/options_for_a_verifiable_freeze.pdf
https://www.sipri.org/sites/default/files/2023-09/mtcr_final_policy_brief_new.pdf
https://www.cfr.org/backgrounder/north-korea-nuclear-weapons-missile-tests-military-capabilities
https://www.cfr.org/podcasts/north-korea-challenge-scott-snyder
https://media.defense.gov/2022/Oct/27/2003103845/-1/-1/1/2022-NATIONAL-DEFENSE-STRATEGY-NPR-MDR.PDF, read pp 63 – 78.
Week 4: Multilateral nonproliferation regimes - nuclear, chemical and biological weapons: Nuclear Suppliers Group; Zangger Committee; Australia Group
Reading:
https://www.nti.org/countries/ Read Country Reports for U.S., Russia, Pakistan, India, France, UK, North Korea, Iran, and China
Nuclear Suppliers Group https://nuclearsuppliersgroup.org Review information on the landing page, skim “guidelines”, documents under “national practices” tabs
Implications for US Extended Deterrence and Assurance in East Asia, November 22, 2015 https://www.38north.org/2015/11/nukefuture112015/
U.S. Nuclear and Extended Deterrence: Considerations and Challenges, May 2010 https://www.brookings.edu/research/u-s-nuclear-and-extended-deterrence-considerations-and-challenges/ - skim
U.S. National Defense Strategy, 2022 https://media.defense.gov/2022/Oct/27/2003103845/-1/-1/1/2022-NATIONAL-DEFENSE-STRATEGY-NPR-MDR.PDF read pp 33 - 61
Australia Group https://www.dfat.gov.au/publications/minisite/theaustraliagroupnet/site/en/index.html Review “guidelines and common control lists under “Resources” tab
Organization for the Prohibition of Chemical Weapons https://www.opcw.org/ Review information under “About Us” tab
Biological Weapons Convention https://www.un.org/disarmament/biological-weapons/ Review “about bwc” tab
https://www.gppi.net/media/GPPi_Schneider_Luetkefend_2019_Nowhere_to_Hide_Web.pdf, read pp 1-14, skim the rest
Week 5: Conventional weapons proliferation: Wassenaar Arrangement
Readings
Wassenaar Arrangement https://wassenaar.org
Scott Jones, Think twice before bringing back the COCOM export control regime, April 2021, https://www.defensenews.com/opinion/commentary/2021/04/09/think-twice-before-bringing-back-the-cocom-export-control-regime/
Great Power Competition: Implications for Defense – Issues for Congress, February 28, 2024 https://s3.documentcloud.org/documents/24466470/r43838-4.pdf, read pp 16 - 44, skim rest of the document
Elsa B. Kania and Lorand Laskai, Myths and Realities of China’s Military-Civil Fusion Strategy, January 2021, https://www.cnas.org/publications/reports/myths-and-realities-of-chinas-military-civil-fusion-strategy
Richard A. Bitzinger, Yoram Evron, and Zi Yang, China’s Military-Civil Fusion Strategy: Development, Procurement, and Secrecy, January 2021, https://www.nbr.org/wp-content/uploads/pdfs/publications/ap16-1_china_mcf_rt_jan2021.pdf, read pp 1 – 44
https://thearmstradetreaty.org/# Read the text of the Treaty and peruse through other tabs
https://www.sipri.org/sites/default/files/2024-03/fs_2403_at_2023.pdf
Week 6: Individual presentations on a WMD program; select group presentation on a strategic trade control system in the Asia Pacific region
Week 7: Strategic trade controls - adopting multilateral controls into national strategic trade controls - development of national systems
Reading:
United Nations Security Council Resolution1540 Committee https://www.un.org/en/sc/1540/resolutions-committee-reports-and-SC-briefings/security-council-resolutions.shtml
United Nations Security Council Resolution 1540 Implementation: More of the Same or Brave New World
https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-Winter-2019.pdf
2021-2022 Comprehensive Review of UNSCR 1540 https://www.un.org/en/sc/1540/documents/Background%20Document-1540%20Committee%20Open%20Consultations%20CR%202021-22.pdf
The Center for Information on Security Trade Controls (CISTEC) Export Control Model of Japan: Role, Utility, and Management, Strategic Trade Review, Winter/Spring 2019, https://strategictraderesearch.org/wp-content/uploads/2019/02/Strategic-Trade-Review-WinterSpring-2019.pdf, read pp. 77 - 92
Hyuk Kim and Robert Shaw, “Strategic Trade Controls as a Foreign Policy Tool in Strategic Competition: Implications of a Shift Beyond Global Nonproliferation Goals,” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 17 - 35
Scott A. Jones, “The Sino-U.S. Technology Cold War: How the U.S. Leverages Technology Advantages through Economic Statecraft”, https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 37 – 59
Week 8: Elements of an export control system
Readings:
Elements of an Effective Export Control System, pdf file
David Santoro and Carl Baker, “Special Section: Trade Controls in Southeast Asia,” Strategic Trade Review, Spring 2016, https://strategictraderesearch.org/wp-content/uploads/2017/11/STR_02.pdf, read pp. 72 - 139
“Guidelines for Managing Trade of Strategic Goods,” A Memorandum from the Council for Security Cooperation in the Asia Pacific (CSCAP) NO. 14, March 2009 http://www.cscap.org/uploads/docs/Memorandums/CSCAP%20Memorandum%20No%2014%20--%20Guidelines%20for%20Managing%20Trade%20of%20Strategic%20Goods.pdf
Frauke Renz, “An Additional Tool for Economic Integration? How Coordination on Strategic Trade Controls Can Promote Regional Cooperation within ASEAN,” Strategic Trade Review, Autumn 2016, pp. 85 - 102 https://strategictraderesearch.org/wp-content/uploads/2017/11/STR_03.pdf
Peter Heine, Tye Blackburn and Heidi Hamling, “A Strategic Trade Control Systems Model,” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, read pp 5 - 15
Week 9: Emerging/foundational technologies
Scott A. Jones, “Trading Emerging Technologies: Export Controls Meet Reality,” Brill.com, February 2021, https://brill.com/view/journals/shrs/aop/article-10.1163-18750230-31010004/article-10.1163-18750230-31010004.xml?language=en
Thibault Denamiel et al, May 3, 2024, Beyond Economics: How U.S. Policies Can Undermine National Security Goals (csis.org)
A Report by the Fast Track Action Subcommittee on Critical and Emerging Technologies
of the National Science and Technology Council, February 2024, Critical-and-Emerging-Technologies-List-2024-Update.pdf (whitehouse.gov)
EIC Working paper 1/2022, Identification of Emerging Technologies and Breakthrough Innovation, European Innovation Council, February 2022, identification of emerging technologies and breakthrough-EA0522034ENN (1).pdf
Emerging Technologies Developments in the Context of Dual-Use Export Controls https://trade.ec.europa.eu/doclib/docs/2021/september/tradoc_159791.pdf
EU-US Trade and Technology Council (europa.eu) (review all links on left-hand side and documents)
Week 10: Academic research/collaboration; intangible technology transfer; technology transfers to foreign nationals (deemed export)
https://www.youtube.com/watch?v=yhOpIq4oPFc (Video)
https://itlaw.wikia.org/wiki/Deemed_Export
Lauriane Heau et al, Intangible Transfers of Technology and Software, Challenges for the Missile Technology Control Regime, April 2024, intangible_transfers_of_technology_and_software_0.pdf (sipri.org), read pp 1 – 18, skim rest.
Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes, September 2020, https://www.kcl.ac.uk/csss/assets/itt-case-studies-2020.pdf
US Department of Justice, Attorney General Jeff Session’s China Initiative Fact Sheet, 1 November 2018, https://www.justice.gov/opa/speech/file/1107256/download
US Department of Justice, 19 November 2021, https://www.justice.gov/archives/nsd/information-about-department-justice-s-china-initiative-and-compilation-china-related
MIT Technology Review, 2 December 2021, https://www.technologyreview.com/2021/12/02/1040656/china-initative-us-justice-department/
Brennan Center for Justice, 25 March 2022, https://www.brennancenter.org/our-work/analysis-opinion/end-justice-departments-china-initiative-brings-little-relief-us
https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32021H1700&qid=1671944227540&from=EN, read pages 24 – 36, appendices 1, 2, 3, and 4, skim the rest.
https://www.reuters.com/world/us/us-committee-targets-georgia-techs-alleged-ties-chinese-military-linked-research-2024-05-09/
Maria J. Espona and Mayra Ameneiros, “Cooperative Nonproliferation Controls to Support Research and Security: Risks and Challenges in Research Institutions and Universities Offering STEM Degrees in Argentina” https://strategictraderesearch.org/wp-content/uploads/2024/02/Strategic-Trade-Review-WinterSpring-2024.pdf, pp 121 - 149
Week 11: Sanctions
Reading:
John Park, Jim Walsh, “Stopping North Korea, Inc.: Sanctions Effectiveness and Unintended Consequences,” MIT, 2016 https://www.belfercenter.org/sites/default/files/legacy/files/Stopping%20North%20Korea%20Inc%20Park%20and%20Walsh%20.pdf read pp 1-30, skim rest
PODCAST: “Do Sanctions Work,” Tell Me More, National Public Radio 2013. Run time: 11minutes https://www.npr.org/templates/story/story.php?storyId=246733368
https://iranprimer.usip.org/blog/2020/oct/11/chilling-effect-us-sanctions-iran
skim related materials links
Jonathan Masters, “What Are Economic Sanctions?” Council on Foreign Relations, Backgrounder, August 2019 https://www.cfr.org/backgrounder/what-are-economic-sanctions
United States General Accounting Office “Economic Sanctions: Effectiveness as Tools of Foreign Policy” February 1992 https://www.gao.gov/assets/nsiad-92-106.pdf (skim)
The Treasury 2021 Sanctions Review https://home.treasury.gov/system/files/136/Treasury-2021-sanctions-review.pdf
Are sanctions actually hurting Russia's economy? Here's what you need to know, July 2022, https://www.npr.org/2022/07/01/1109033582/are-sanctions-actually-hurting-russias-economy-heres-what-you-need-to-know (Podcast)
Gerard DiPippo, Strangling the Bear? Sanctions on Russia after Four Months, June 2022, https://www.csis.org/analysis/strangling-bear-sanctions-russia-after-four-months
Week 12: US export control system
Week 13: Individual presentations on export control system
Week 14: National security review of foreign investments
Reading:
Global economic fracturing and shifting investment patterns United Nations Conference on Trade and Development, 23 April 2024, https://unctad.org/system/files/official-document/diae2024d1_en.pdf, read pp 1 – 39, skim references and appendix
Investment Policy Monitor, The Evolution of FDI Screening Mechanisms – key trends and features, February 2023, https://unctad.org/system/files/official-document/diaepcbinf2023d2_en.pdf
Foreign Direct Investment: Background and Issues, Congressional Research Service, 21 February 2024, IF10636 (congress.gov)
An FDI Investigation, https://www.csis.org/node/54674 (Podcast)
Week 15: Supply chain security
Reading
Geopolitical Risk and Decoupling: Evidence from U.S. Export Controls, Federal Reserve Bank of New York, April 2024, https://www.newyorkfed.org/medialibrary/media/research/staff_reports/sr1096.pdf?sc_lang=en, Read pp 1-33.
Sujai Shivakumar et al, Balancing the Ledger: Export Controls on U.S. Chip Technology to China, Center for Strategic and International Studies, February 2024, 240221_Shivakumar_Balancing_Ledger.pdf (csis-website-prod.s3.amazonaws.com)
https://www.whitehouse.gov/briefing-room/blog/2021/09/23/when-the-chips-are-down-preventing-and-addressing-supply-chain-disruptions/
Building Resilient Supply Chains, Revitalizing American Manufacturing, and Fostering Broad-based Growth July 2021 https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf, read pp.1 – 18, 21-27, 53-80, skim pp 27-53.
Bradley Martin, “Supply Chain Disruptions: The Risks and Consequences,” November 2021, https://www.rand.org/blog/2021/11/supply-chain-disruptions-the-risks-and-consequences.html
https://www.wilsoncenter.org/event/taiwans-role-us-semiconductor-supply-chain-network (Video)
Weeks 16 and 17: Research days
Week 18: Final papers due
20% class participation; 20% one individual presentation; 20% group presentation; 40% written essay between 7 -10 pages. In addition, two or three unresolved issues/questions from the reading material should be presented for discussion for each class.
Topical reading list will be provided prior to commencement of class. Guest speakers will be incorporated throughout the seminar.