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Volumn 27, Issue 3, 1997, Pages 361-389

COCOM is dead, long live COCOM: Persistence and change in multilateral security institutions

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EID: 0039325898     PISSN: 00071234     EISSN: None     Source Type: Journal    
DOI: 10.1017/S0007123497000185     Document Type: Article
Times cited : (26)

References (126)
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    • In November 1949 these states had established an informal Consultative Group (CG), but extensive co-ordination of export controls required close contact at the operational level.
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    • Lisa Martin, Coercive Co-operation: Explaining Multilateral Economic Sanctions (Princeton, NJ: Princeton University Press, 1992), does use the number of countries that apply export controls as a measure of the extent of co-operation, but does not fully examine changes in the degree of co-operation over time.
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    • note
    • The data come from a variety of government documents, publications, some private communications and dozens of interviews with US and foreign officials who took part in COCOM and post-COCOM decisions. US officials include those in the Departments of Commerce, State, Energy, and Defense. Overseas, officials were situated primarily in the ministries of foreign affairs, international trade, and defence. The interviews were conducted by one author from July 1992 through February 1995, and in February 1996, and by the other author in May and June 1995. Generally, if the data is not corroborated by at least three sources, including at least two public sources, it is preceded by words such as 'alleged' or 'reported'.
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    • note
    • Interviews conducted by the authors with officials from the US Departments of Defense and State, the British Ministry of Defence, the Japanese Ministries of International Trade and Industry (MITI) and Foreign Affairs, and the Australian Ministries of Defense and Foreign Affairs.
  • 85
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    • Clinton administration refocuses Asian Pacific security strategy
    • 24 March
    • Barbara Wanner, 'Clinton Administration Refocuses Asian Pacific Security Strategy', JEI Report, 11A, 24 March 1995, pp. 8-11.
    • (1995) JEI Report , vol.11 A , pp. 8-11
    • Wanner, B.1
  • 86
    • 85033094787 scopus 로고    scopus 로고
    • note
    • Officials who expressed these views were situated primarily in the US Departments of State, Defense, Commerce, and Energy, as well as in the Japanese Ministry of Foreign Affairs.
  • 87
    • 85033084953 scopus 로고
    • COCOM allies struggle with core list
    • 16 November
    • 'COCOM Allies Struggle with Core List', Export Control News, 4, No. 11 (16 November 1990), p. 8.
    • (1990) Export Control News , vol.4 , Issue.11 , pp. 8
  • 88
    • 85033098034 scopus 로고
    • German fiber optics sale enrages US industry, prompts COCOM telecom review
    • 18 December
    • 'German Fiber Optics Sale Enrages US Industry, Prompts COCOM Telecom Review', Export Control News, 5, No. 12 (18 December 1991), pp. 2-3.
    • (1991) Export Control News , vol.5 , Issue.12 , pp. 2-3
  • 89
    • 85033073189 scopus 로고
    • Defence white paper emphasizes North Korean security threat
    • 14 July
    • Officials in the US Department of State, and in the Japanese Ministry of International Trade and Industry (MITI) and Ministry of Foreign Affairs, expressed these views. For a discussion of recent Japanese defence policy, see Barbara Wanner, 'Defence White Paper Emphasizes North Korean Security Threat', JEI Report, 26B, 14 July 1995, pp. 3-4.
    • (1995) JEI Report , vol.26 B , pp. 3-4
    • Wanner, B.1
  • 90
    • 85033086114 scopus 로고
    • Washington, DC: US Government Printing Office
    • US Department of Commerce, Bureau of Export Administration, Export Administration Annual Report Fiscal Year 1989 (Washington, DC: US Government Printing Office, 1990), p. 27.
    • (1990) Export Administration Annual Report Fiscal Year 1989 , pp. 27
  • 94
    • 85033081589 scopus 로고
    • COCOM ministerial meeting planned
    • 30 November
    • Even in the infamous Toshiba case in the 1980s, Reagan administration officials opposed the use of punitive sanctions as inimitable to promoting co-operation to prevent future violations. See 'COCOM Ministerial Meeting Planned', Export Control News, 1, No. 7 (30 November 1987), pp. 12-16.
    • (1987) Export Control News , vol.1 , Issue.7 , pp. 12-16
  • 96
    • 85033086909 scopus 로고
    • COCOM nears final agreement on core list
    • 29 April
    • 'COCOM Nears Final Agreement on Core List', Export Control News, 5, No. 4 (29 April 1991), pp. 4-5.
    • (1991) Export Control News , vol.5 , Issue.4 , pp. 4-5
  • 97
    • 85033093782 scopus 로고    scopus 로고
    • Appendix D: Estimate of direct economic costs associated with US national security controls
    • the Panel on the Impact of National Security Controls on International Technology Transfer, National Academy of Sciences
    • For examples of a few attempts to estimate costs, see William F. Finan, 'Appendix D: Estimate of Direct Economic Costs Associated with US National Security Controls', in the Panel on the Impact of National Security Controls on International Technology Transfer, National Academy of Sciences, Balancing the National Interest, pp. 254-77; and J. David Richardson, Sizing Up US Export Disincentives (Washington, DC: Institute for International Economics, 1993). For an assessment of security benefits, see Douglas E. McDaniel, United States Technology Export Control: An Assessment (Westport, Conn: Praeger, 1993), pp. 97-134, or Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley, Calif.: Institute of International Relations, 1978).
    • Balancing the National Interest , pp. 254-277
    • Finan, W.F.1
  • 98
    • 85050416794 scopus 로고
    • Washington, DC: Institute for International Economics
    • For examples of a few attempts to estimate costs, see William F. Finan, 'Appendix D: Estimate of Direct Economic Costs Associated with US National Security Controls', in the Panel on the Impact of National Security Controls on International Technology Transfer, National Academy of Sciences, Balancing the National Interest, pp. 254-77; and J. David Richardson, Sizing Up US Export Disincentives (Washington, DC: Institute for International Economics, 1993). For an assessment of security benefits, see Douglas E. McDaniel, United States Technology Export Control: An Assessment (Westport, Conn: Praeger, 1993), pp. 97-134, or Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley, Calif.: Institute of International Relations, 1978).
    • (1993) Sizing Up US Export Disincentives
    • Richardson, J.D.1
  • 99
    • 0040784696 scopus 로고
    • Westport, Conn: Praeger
    • For examples of a few attempts to estimate costs, see William F. Finan, 'Appendix D: Estimate of Direct Economic Costs Associated with US National Security Controls', in the Panel on the Impact of National Security Controls on International Technology Transfer, National Academy of Sciences, Balancing the National Interest, pp. 254-77; and J. David Richardson, Sizing Up US Export Disincentives (Washington, DC: Institute for International Economics, 1993). For an assessment of security benefits, see Douglas E. McDaniel, United States Technology Export Control: An Assessment (Westport, Conn: Praeger, 1993), pp. 97-134, or Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley, Calif.: Institute of International Relations, 1978).
    • (1993) United States Technology Export Control: An Assessment , pp. 97-134
    • McDaniel, D.E.1
  • 100
    • 0039006331 scopus 로고
    • Berkeley, Calif.: Institute of International Relations
    • For examples of a few attempts to estimate costs, see William F. Finan, 'Appendix D: Estimate of Direct Economic Costs Associated with US National Security Controls', in the Panel on the Impact of National Security Controls on International Technology Transfer, National Academy of Sciences, Balancing the National Interest, pp. 254-77; and J. David Richardson, Sizing Up US Export Disincentives (Washington, DC: Institute for International Economics, 1993). For an assessment of security benefits, see Douglas E. McDaniel, United States Technology Export Control: An Assessment (Westport, Conn: Praeger, 1993), pp. 97-134, or Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley, Calif.: Institute of International Relations, 1978).
    • (1978) East-west Technology Transfer in Perspective
    • Carrick, R.J.1
  • 101
    • 85033085398 scopus 로고
    • Brussels: European Round Table of Industrialists
    • European Round Table of Industrialists, Export Regulations: European Industry and COCOM (Brussels: European Round Table of Industrialists, 1990); and 'Industry Groups Urge Repeal of "No-Exceptions" Policy', Export Control News, 3, No. 4 (30 April 1989), pp. 6-8.
    • (1990) Export Regulations: European Industry and COCOM
  • 102
    • 85033076211 scopus 로고
    • Industry groups urge repeal of "No-exceptions" policy
    • 30 April
    • European Round Table of Industrialists, Export Regulations: European Industry and COCOM (Brussels: European Round Table of Industrialists, 1990); and 'Industry Groups Urge Repeal of "No-Exceptions" Policy', Export Control News, 3, No. 4 (30 April 1989), pp. 6-8.
    • (1989) Export Control News , vol.3 , Issue.4 , pp. 6-8
  • 103
    • 0040784709 scopus 로고
    • White Paper for the Ministry of International Trade and Industry (Tokyo: MITI)
    • Security Export Control Committee, Industrial Structure Council, 'The Future of Security Export Controls', White Paper for the Ministry of International Trade and Industry (Tokyo: MITI, 1993).
    • (1993) The Future of Security Export Controls
  • 104
    • 85033079534 scopus 로고
    • Administration announces mammoth control reform
    • 30 September
    • 'Administration Announces Mammoth Control Reform', Export Control News, 7, No. 9 (30 September 1993), pp. 2-6.
    • (1993) Export Control News , vol.7 , Issue.9 , pp. 2-6
  • 105
    • 85033079510 scopus 로고
    • COCOM prepares for busy September
    • 27 August
    • 'COCOM Prepares for Busy September', Export Control News, 6, No. 8 (27 August 1992), p. 3.
    • (1992) Export Control News , vol.6 , Issue.8 , pp. 3
  • 106
    • 85033075902 scopus 로고
    • Bush administration announces COCOM position
    • 31 May
    • 'Bush Administration Announces COCOM Position', Export Control News, 4, No. 3 (31 May 1990), pp. 2-4.
    • (1990) Export Control News , vol.4 , Issue.3 , pp. 2-4
  • 107
    • 0040190250 scopus 로고
    • mimeo, July
    • National Association of Manufacturers, 'NAM Export Control Survey', mimeo, July 1992.
    • (1992) NAM Export Control Survey
  • 108
    • 85033088816 scopus 로고    scopus 로고
    • note
    • Discussions with Japanese business officials, Tokyo, July 1994 and September 1995.
  • 109
    • 85033093439 scopus 로고
    • COCOM continues unfinished work on telecommunications controls
    • 29 April
    • 'COCOM Continues Unfinished Work on Telecommunications Controls', Export Control News, 6, No. 4 (29 April 1992), pp. 7-8.
    • (1992) Export Control News , vol.6 , Issue.4 , pp. 7-8
  • 110
    • 85033090658 scopus 로고    scopus 로고
    • note
    • Officials from the US Departments of Defense and State, Australian Ministries of Foreign Affairs and Defense, and Japanese MITI and Ministry of Foreign Affairs have expressed this view. In addition, officials from Belarus, Bulgaria, the Czech Republic, Hong Kong, Poland, Romania, Russia, Singapore and Ukraine have made similar statements about the importance of export controls and a liberal community.
  • 111
    • 0040190236 scopus 로고
    • Full text of the political declaration issued at the Munich summit
    • 8 July
    • 'Full text of the political declaration issued at the Munich Summit', Japan Times, 8 July 1992, p. 19.
    • (1992) Japan Times , pp. 19
  • 112
    • 85033093100 scopus 로고    scopus 로고
    • note
    • 'Full text of the political declaration'.
  • 113
    • 0003518075 scopus 로고
    • Stockholm: Almqvist and Wiksell
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1968) Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy
    • Adler-Karlsson, G.1
  • 114
    • 85033094603 scopus 로고
    • Stanford: Hoover Institution
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1973) Western Technology and Soviet Economic Development 1945-1965 , vol.3
    • Sutton, A.1
  • 115
    • 0039006331 scopus 로고
    • Berkeley: Institute for International Studies
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1978) East-west Technology Transfer in Perspective
    • Carrick, R.J.1
  • 116
    • 0040190247 scopus 로고
    • After COCOM, a danger of more Iraqs
    • 5 March
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1994) International Herald Tribune
    • Bryen, S.1
  • 117
    • 84939737056 scopus 로고    scopus 로고
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • Balancing the National Interest , pp. 183-220
  • 118
    • 3042892420 scopus 로고
    • Washington, DC: National Academy Press
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1991) Finding Common Ground: US Export Controls in a Changed Global Environment , pp. 266-303
  • 119
    • 85033094773 scopus 로고
    • Export control goes national in post-Cold War era
    • 11 April
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1994) Reuters Limited
  • 120
    • 85033076484 scopus 로고
    • Background briefing on export control by senior administration official
    • 29 September, both in Lexis
    • For arguments that COCOM was ineffective, see Gunnar Adler-Karlsson, Western Economic Warfare 1947-1967: A Case Study in Foreign Economic Policy (Stockholm: Almqvist and Wiksell, 1968); or Anthony Sutton, Western Technology and Soviet Economic Development 1945-1965, Vol. 3 (Stanford: Hoover Institution, 1973). For arguments that COCOM was effective, see Roger J. Carrick, East-West Technology Transfer in Perspective (Berkeley: Institute for International Studies, 1978); or more recently Stephen Bryen, 'After COCOM, a danger of more Iraqs', International Herald Tribune, 5 March 1994. In addition to interviews by the authors of officials in the US Departments of Energy, Defense, and State, this is clear from the mission reports in Balancing the National Interest, pp. 183-220, and National Academy of Sciences, Finding Common Ground: US Export Controls in a Changed Global Environment (Washington, DC: National Academy Press, 1991), pp. 266-303. For more recent statements, see Frans Engering, the senior Dutch official who chaired the discussions on the end of COCOM, 'Export control goes national in post-Cold War era', Reuters Limited (11 April 1994); or 'Background briefing on export control by senior administration official', US Newswire, Inc., 29 September 1994, both in Lexis.
    • (1994) US Newswire, Inc.
  • 121
    • 85033073610 scopus 로고
    • Core list round two negotiations
    • 12 December
    • 'Core List Round Two Negotiations', Export Control News, 4, No. 12(12 December 1990), p. 11.
    • (1990) Export Control News , vol.4 , Issue.12 , pp. 11
  • 125
    • 84974505405 scopus 로고
    • Democracy and the peaceful settlement of international conflict
    • See, for example, William J. Dixon, 'Democracy and the Peaceful Settlement of International Conflict', American Political Science Review, 88 (1994), 14-32; or Bruce Russett, Grasping the Democratic Peace (Princeton, NJ: Princeton University Press, 1993).
    • (1994) American Political Science Review , vol.88 , pp. 14-32
    • Dixon, W.J.1
  • 126
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    • Princeton, NJ: Princeton University Press
    • See, for example, William J. Dixon, 'Democracy and the Peaceful Settlement of International Conflict', American Political Science Review, 88 (1994), 14-32; or Bruce Russett, Grasping the Democratic Peace (Princeton, NJ: Princeton University Press, 1993).
    • (1993) Grasping the Democratic Peace
    • Russett, B.1


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