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2023 | OriginalPaper | Chapter

4. The Role of Export Controls in Managing Emerging Technology

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Abstract

Since World War II, export control regimes have been used as a trade mechanism to restrict the proliferation of military-use technology by hostile states. The rapid development of emerging technologies such as artificial intelligence, quantum computing, robotics, and cyber surveillance technologies has created the need to amend export control restrictions to address new security threats. A growing number of states resorted to export controls as a key tool of economic statecraft to manage the trade flows of these strategically important items. This chapter examines how emerging technologies shape export control regimes – unilaterally in the US and EU and multilaterally through the US-EU Trade and Technology Council (TTC). Imposing new guardrails on emerging technologies requires a balancing act between avoiding protectionism and compromising national security interests.

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Footnotes
1
Daniele Rotolo, Diana Hicks and Ben R. Martin, “What is an Emerging Technology?,” Research Policy, 44:10 (December 2015), p. 1831.
 
2
Kolja Brockmann, “Drafting, Implementing, and Complying with Export Controls: The Challenge Presented by Emerging Technologies,” Strategic Trade Review, Spring/Summer 2018, Issue 06, pp. 5–28.
 
3
Scott Jones, “Trading Emerging Technologies: Export Controls Meet Reality,” Security and Human Rights 31 (2020), pp. 56–57.
 
4
Public Comments of Kevin Wolf, Emily Kilcrease, and Jasper Helder. Regarding Areas and Priorities for US and EU Export Control Cooperation under the US-EU Trade and Technology Council, p. 23; https://​www.​cnas.​org/​publications/​commentary/​public-commentskilcreas​eus-and-eu-export-control-cooperation-under-the-us-eu-trade-and-technology-council.
 
5
Natasha E. Bajema, “WMD in the Digital Age: Understanding the Impact of Emerging Technologies,” Emergence & Convergence, Research Paper No. 4, October 2018.
 
6
Matthew Kroenig and Tristan Volpe, “3D Printing the Bomb?: The Nuclear Proliferation Challenge,” The Washington Quarterly, 38:3 (Fall 2015).
 
7
Brockmann, p. 13.
 
8
Michael Mastanduno, Economic containment: CoCom and the politics of East–West trade (Ithaca, N.Y.: Cornell University Press, 1992).
 
9
Jon Bateman, “U.S.-China technological ‘decoupling’: A Strategy and Policy Framework,” Carnegie Endowment for International Peace, 2022, p. 2.
 
10
Ian F. Fergusson and Karren M. Sutter, “U.S. Export Control Reform and China: Issues for Congress,” Congressional Research Service, 14 January 2021, https://​crsreports.​congress.​gov/​product/​pdf/​IF/​IF11627/​3.
 
11
Public Comments of Kevin Wolf, Emily Kilcrease, and Jasper Helder. Regarding Areas and Priorities for US and EU Export Control Cooperation under the US-EU Trade and Technology Council, p. 17.
 
12
Text - H.R.5040—115th Congress (2017–2018): Export Control Reform Act of 2018 | Congress.gov | Library of Congress.
 
13
Jones, Trading Emerging Technologies, p. 55.
 
14
National Science and Technology Council, Critical and Emerging Technologies List Update, February 2022, https://​www.​whitehouse.​gov/​wp-content/​uploads/​2022/​02/​02-2022-Critical-and-Emerging-Technologies-List-Update.​pdf.
 
15
“New Controls on Emerging Technologies Released, While U.S. Commerce Department Comes Under Fire for Delay,” Gibson Dunn, 27 October 2020, https://​www.​gibsondunn.​com/​new-controls-on-emerging-technologies-released-while-us-commerce-department-comes-under-fire-for-delay/​
 
17
Stephen Ezell and Caleb Foote (2019): “How Stringent Export Controls on Emerging Technologies Would Harm the U.S. Economy,” Information Technology & Innovation Foundation, (May 2019), p. 3.
 
19
Public Comments of Kevin Wolf et al., p. 21.
 
20
“New Controls on Emerging Technologies Released, While U.S. Commerce Department Comes Under Fire for Delay”.
 
21
U.S. Department of the Treasury, The Committee on Foreign Investment in the United States, https://​home.​treasury.​gov/​policy-issues/​international/​the-committee-on-foreign-investment-in-the-united-states-cfius.
 
22
Fergusson and Sutter, “U.S. Export Control Reform and China: Issues for Congress.”
 
23
Anahita Thoms, “Export Controls in the European Union”, The Guide to Sanctions, Third Edition, 2022, p. 187.
 
24
Samuel Stolton, “EU Nears Conclusion on Cyber Surveillance Export Controls”, EURACTIV, (21 September 2020), https://​www.​euractiv.​com/​section/​digital/​news/​eu-nears-conclusion-on-cyber-surveillance-export-controls/​.
 
25
“Proposal for a Regulation of the European Parliament and of the Council setting up a Union Regime for the Control of Exports, Transfer, Brokering, Technical Assistance and Transit of Dual-Use Items (recast), European Commission, (28 September 2016), https://​eur-lex.​europa.​eu/​resource.​html?​uri=​cellar:​1b8f930e-8648-11e6-b076-01aa75ed71a1.​0013.​02/​DOC_​1&​format=​PDF.
 
26
“Regulation (EU) 2021/821 of the European Parliament and the Council of 20 May 2021 setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast), Official Journal of the European Union, (11 June 2021), https://​eur-lex.​europa.​eu/​legal-content/​EN/​TXT/​PDF/​?​uri=​CELEX:​32021R0821.
 
27
“Commission’s actions to implement new EU Export Control Regulation,” News archive, European Commission (europa.eu), (9 September 2021), https://​policy.​trade.​ec.​europa.​eu/​news/​commissions-actions-implement-new-eu-export-control-regulation-memo-2021-09-09_​en.
 
28
Vera Z. Eichenauer, Michael Dorsch & Feicheng Wang, “Investment Screening Mechanism: The Trend to Control Inward Foreign Investments,” EconPol Policy Report, (December 2021), https://​www.​econpol.​eu/​sites/​default/​files/​2021-12/​EconPol_​PolicyReport34.​pdf.
 
31
Public Comments of Kevin Wolf et al., p. 25.
 
32
Fact Sheet: Export Controls and Human Rights Initiative Launched at the Summit for Democracy, The White House, (10 December 2021), https://​www.​whitehouse.​gov/​briefing-room/​statements-releases/​2021/​12/​10/​fact-sheet-export-controls-and-human-rights-initiative-launched-at-the-summit-for-democracy/​.
 
34
Ibid.
 
35
Ibid.
 
36
Public Comments of Kevin Wolf et al., p. 27.
 
37
Ibid., p. 6.
 
38
Ibid., p. 26.
 
39
Daniel Castro, Michael McLaughlin & Eline Chivot, “Who Is Winning the AI Race: China, the EU or the United States?”, Center for Data Innovation, (August 2019), https://​www2.​datainnovation.​org/​2019-china-eu-us-ai.​pdf.
 
40
Kevon Wolf & Emily S. Weinstein “COCOM’s Daughter?” WorldECR, (May 2022), https://​cset.​georgetown.​edu/​wp-content/​uploads/​WorldECR-109-pp24-28-Article1-Wolf-Weinstein.​pdf.
 
Metadata
Title
The Role of Export Controls in Managing Emerging Technology
Author
Maria Shagina
Copyright Year
2023
DOI
https://doi.org/10.1007/978-3-031-24673-9_4

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