| Semester | Spring Semester, 2025 | ||
| Department | Graduate Institute of East Asian Studies MA Program, First Year Graduate Institute of East Asian Studies MA Program, Second Year | ||
| Course Name | Intersection of International Business and National Security: Export Controls, Sanctions, ForeignDirect Investments, and Supply Chain | ||
| Instructor | KIM MI-YONG | ||
| Credit | 3.0 | ||
| Course Type | Elective | ||
| Prerequisite | |||
| Course Objective |
| Course Description |
| Course Schedule |
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 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 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
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| Teaching Methods |
| Teaching Assistant |
| Requirement/Grading |
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. |
| Textbook & Reference |
Topical reading list will be provided prior to commencement of class. Guest speakers will be incorporated throughout the seminar. |
| Urls about Course |
| Attachment |