export controls and high performance computers
Download
Skip this Video
Download Presentation
Export Controls and High Performance Computers

Loading in 2 Seconds...

play fullscreen
1 / 35

Export Controls and High Performance Computers - PowerPoint PPT Presentation


  • 75 Views
  • Uploaded on

Export Controls and High Performance Computers. Jennifer Lord Kouraichi Riho Kruuv Jennifer King Tome Tanevski. Definition of Export Controls. Most often used to protect National Security

loader
I am the owner, or an agent authorized to act on behalf of the owner, of the copyrighted work described.
capcha
Download Presentation

PowerPoint Slideshow about ' Export Controls and High Performance Computers' - bruce-olson


An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.


- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript
export controls and high performance computers

Export Controls and High Performance Computers

Jennifer Lord Kouraichi

Riho Kruuv

Jennifer King

TomeTanevski

definition of export controls
Definition of Export Controls
  • Most often used to protect National Security
  • Largely regulated by the State Department’s Office of Defense Trade Controls (DTC), Bureau of Political-Military Affairs
  • Industrial products regulated by the Department of Commerce’s Export Control Administration
  • Require companies to obtain licenses to export listed products
brief history
Brief History
  • The Neutrality Act of 1935
  • Mutual Security Act of 1954
  • Export Administration Act of 1969
  • Export Administration Act of 1979
  • Arms Export Control Act of 1976
  • National Defense Authorization Act of 1998
  • National Defense Authorization Act of 2000
main countries under restriction
Afghanistan

Angola

Burma

Belarus

China (PR)

Cuba

Cyprus

Haiti

India

Indonesia

Iran

Iraq

Liberia

Libya

North Korea

Pakistan

Rwanda

Somalia

Sudan

Syria

Vietnam

Yemen

Zaire

Zimbabwe

Main Countries Under Restriction
united states government departments and agencies with export control responsibilities
United States Government Departments and Agencies with Export Control Responsibilities
  • In general, four U.S. Government agencies have primary export licensing responsibilities:
    • Department of Commerce
    • Department of State
    • Department of Energy
    • Department of the Treasury
united states government departments and agencies with export control responsibilities1
United States Government Departments and Agencies with Export Control Responsibilities
  • Department of Commerce, Bureau of Industry and Security (is the primary licensing agency for dual use exports i.e.. commercial items which could have military applications)
  • Department of State, Office of Defense Trade Controls (DTC; Licenses defense services and defense (munitions) articles)
  • Department of the Treasury; Office of Foreign Assets Control (OFAC; Administers and enforces economic and trade sanctions against targeted foreign countries, terrorism sponsoring organizations, and international narcotics traffickers)
united states government departments and agencies with export control responsibilities2
United States Government Departments and Agencies with Export Control Responsibilities
  • Nuclear Regulatory Commission, Office of International Programs (Licenses nuclear material and equipment.)
  • Department of Energy:
    • Office of Arms Controls and Nonproliferation, Export Control Division (Licenses nuclear technology and technical data for nuclear power and special nuclear materials)
    • Office of Fuels Programs (Licenses natural gas and electric power)
  • Department of Defense, Defense Threat Reduction Agency -Technology Security (Responsible for the development and implementation of policies on international transfers of defense-related technology, and reviews certain dual-use export license applications referred by Commerce)
united states government departments and agencies with export control responsibilities3
United States Government Departments and Agencies with Export Control Responsibilities
  • Department of the Interior, Division of Management Authority (Controls the export of endangered fish and wildlife species)
  • Drug Enforcement Administration:
    • International Drug Unit (Oversees the export of controlled substances)
    • International Chemical Control Unit (Controls the import and export of listed chemicals used in the production of control substances under the Controlled Substances Act)
  • Food and Drug Administration:
    • Office of Compliance (Licenses medical devices)
    • Office of Import/Export (Licenses drugs)
united states government departments and agencies with export control responsibilities4
United States Government Departments and Agencies with Export Control Responsibilities
  • Patent and Trademark Office, Licensing and Review (Oversees patent filing data sent abroad)
  • Environmental Protection Agency, Office of Solid Waste, International and Special Projects Branch (Regulates toxic waste exports)
international export control organizations
International Export Control Organizations
  • “Whether seeking to control the spread of dangerous goods and technologies, protect critical infrastructures, or ensure the existence of a strong defense industrial base, international cooperation is critical”
          • Kenneth I. JusterUnder Secretary of Commercefor Industry and Security,
          • October 2002
international export control organizations1
International Export Control Organizations
  • In general, there are four multilateral nonproliferation arrangements or regimes:
  • - the Missile Technology Control Regime (MTCR)
  • - the Australia Group (AG) Chemical/Biological regime
  • - the Nuclear Suppliers Group (NSG)
  • - the Wassenaar Arrangement (WA) Conventional Arms and
  • Dual-Use Goods and Technologies regime
the missile technology control regime mtcr
The Missile Technology Control Regime (MTCR)
  • Created in 1987
  • Member states (Partners) seek to limit the proliferation of missiles capable of delivering WMD and related equipment and technology
  • The centerpiece of the regime is a common export policy known as the MTCR Guidelines, applied to a common list of controlled items known as the MTCR Annex, which each Partner country implements according to its own laws
  • MTCR is not a treaty or a legally-binding arrangement!
  • 33 Partner countries/members
the australia group ag
The Australia Group (AG)
  • Established in 1984
  • Was formed to ensure that companies and persons in participating countries did not - either intentionally or inadvertently - assist states and other actors seeking to acquire a CBW capability
  • Also works toward harmonizing participants’ export controls
  • Controls chemical and biological weapons-related goods
  • Control list covers 54 precursor chemicals used for CW production, many biological toxins and microorganisms with high potential for BW use, as well as dual-use production equipment, technology, and facilities
  • AG is not a treaty or a legally-binding arrangement!
  • 33 members
the nuclear suppliers group nsg
The Nuclear Suppliers Group (NSG)
  • Formed in 1974
  • NSG Guidelines for Nuclear Transfers, first published in 1978, required the following for exports of nuclear materials and equipment:
    • (1) formal recipient government assurances confirming the application of IAEA safeguards and pledging no nuclear explosive use
    • (2) adequate physical protection
    • (3) particular caution in the transfer of sensitive materials
  • In 1992, the NSG added the requirement for full scope IAEA safeguards as a condition of supply to non-nuclear weapons states of nuclear Trigger List items (called the "Trigger List" because such exports trigger the requirement for safeguards)
  • NSG is not a treaty or a legally-binding arrangement!
  • Includes 40 countries
the wassenaar arrangement wa
The Wassenaar Arrangement (WA)
  • Established in 1996
  • Promotes transparency, responsibility, and restraint in transfers of conventional arms and related dual-use products
  • Coordinates control lists of such items and all members have agreed to avoid transfers of listed items to military end-users in "countries of concern.” (Iran, Iraq, Libya, and North Korea)
  • Members exchange information on arms transfers, sensitive list dual-use transfers, and denials of basic list and sensitive list dual-use items
  • WA is not a treaty or a legally-binding arrangement!
  • Includes 32 counties
legally binding multilateral non proliferation mechanisms
Legally Binding Multilateral Non-Proliferation Mechanisms
  • Treaties or conventions
  • Establish basic norms related to chemical, biological, and nuclear weapons
  • Legally binding on members and global in scope
  • They are:
    • Chemical Weapons Convention (CWC)
    • Biological Weapons Convention (BWC)
    • Nuclear Nonproliferation Treaty (NPT)
    • International Atomic Energy Agency (IAEA).
slide17
High Performance computers (HPCs) are important for the US to develop and deploy a variety of military national interests
  • Nuclear Weapons Development
  • Design and Testing of Ballistic Missiles
  • Intelligence Analysis and Code-Breaking
  • Military Command and Control
mtops millions of theoretical operations per second
Number of operations that the computer’s processor or group of processors can perform in one second

Core of export controls

Artificial and only used for export control purposes

Does not accurately measure performance of current microprocessors

MTOPS based hardware controls are irrelevant

CTP (Composite Theoretical Performance): refers to the measurement standard of a system’s cumulative MTOPs capability

MTOPS- Millions of Theoretical Operations Per Second
slide19

Countries were divided into 4 tier groups in 1995, but in January 2001 tier 2 was combined with tier 1 making a 3 tiered country group structure

  • Tier 1- Western Europe, Japan, Canada, Mexico, Australia, New Zealand, Hungary, Poland, the Czech Republic, and Brazil and what was formerly Tier 2- South and Central America, South Korea, ASEAN, Slovenia, and most of Africa
  • Tier 3- India, Pakistan, All Middle East/Maghreb, former Soviet Union, China, Vietnam, and the Balkans
  • Tier 4- Iraq, Iran, Libya, North Korea, Cuba, Sudan, and Syria
issues
ISSUES
  • Military applications do not require super computing power. Especially for weapons & design.
  • US designed and built its weapons with computers of 500 to 1000 MTOPS and at the time they were considered super computers.
  • Current level of MTOPS that require individual license were recently raised from 85, 000 to 190,000 MTOPS.
  • MTOPS have come under pressure because performance increases of HPC’s in the last 5 years has forced the US to choose between raising control levels or licensing millions of commodity level computers.
slide21
Changes in the U.S. Export Control Threshold for High PerformanceComputers, 1993-2002 (Measured in MTOPs)
slide25

Export Administration Regulations(EAR)

  • Administered by USDOC/Bureau of Export Administration (BXA)
  • License Exception CTP: authorizes exports/re-exports without a license
  • -HPCs < 28,000 MTOPs generally do not require a license
  • -HPCs eligible for License Exception CTP can’t be accessed physically or computationally by Tier 4 nationals; limited exceptions
  • Security Safeguard Plans
  • -Usually required for military or university end-users
  • Import Certificates & Post-Shipment Verification
slide26

A Basic Approach to Export Licensing

  • 1. Identify the destination country & its Computer Tier
  • 2. Identify the end-user, -use
    • Is the end-user a commercial entity, military organization, or a university (or other research institution)?
  • 3. Identify the MTOPs level of the HPC
  • 4. Identify the CTP level of the end-user’s existing system
  • 5. Determine whether an upgrade would exceed the enforceable CTP threshold
  • 6. Determine whether the end-user will limit access to the system &/or permit remote system access
  • 7. Determine whether the export intended for re-export
  • Export Application Review Process
  • 1. BXA registers receipt of export license application & notifies interagency offices (DOD, Energy, & State) within 24 hours
  • 2. Within 10 days, BXA must assess interagency positions
  • 3. Transaction may proceed on 11th day, if no objections
  • 4. Any objection requires exporter to file for an export license
slide28

SPECIAL ISSUES

Exports to the People’s Republic of China (PRC)

-Require a PRC End-User Certificate, regardless of dollar value

-Receiving entity, commercial or government, must agree to the authorized conditions of use

-PRC End-User Certificate developed as a result of growing concern over the PRC’s rapid acquisition of computing power

Exports to/for Nuclear, Chemical, Biological,or Missile End-Users, -Uses

-License Exception CTP eligibility is prohibited for exports/re-exports for military, nuclear, biological, chemical, missile end-uses and users

us administrations positions on ec of hpc
Clinton Administration

Understood inability to effectively control computer hardware

Preferred to remove most controls on computer hardware exports

Recognized that the new administration needed an opportunity to examine such a proposal

Regrouped countries from four “tiers” to three “tiers” (January 2001)

Proposed a longer term strategy for the consideration of the next administration

Bush Administration

Announced (01/02/02) that the Tier 3 licensing threshold of 85,000 MTOPS will be raised to 190,000 MTOPS (effective since 03/06/02)

Moved Latvia from Tier 3 to Tier 1 (effective since 06/02/02)

Stated, “These changes reflect the President\'s ongoing effort to update the U.S. export control system so that it protects U.S. national security, while at the same time, allows America\'s high tech companies to innovate and compete in today\'s marketplace”

US Administrations’ Positions on EC of HPC
slide30

UPDATE: U.S. Export Control Policy in 2002

  • The EAR has been consistently re-authorized by Presidential Executive Orders; the latest was on August 20
  • Senator Bennet’s proposal, SB 149, (and companion HR 1553) would repeal export control laws for technologies already widely available overseas
  • Representative Gilman’s proposal, HR 2581, would reauthorize the EAR and strengthen export control laws
  • -Redefine “foreign availability” and “mass market” designations
  • -Replace the MTOPs measure
  • -Create National Security Control Lists
  • Bush Administration supports Senator Bennet’s proposal; will be an issue in the 108th session of Congress
policy proposals
Policy Proposals
  • Evaluate current MTOPS measurement
  • Defense Department needs to assess HPC security threats
  • Keep Congress more informed of national security issues involving computer technology
  • Limit export controls to military technology, do not target consumer and business computer technology
  • Government needs to simplify administration of export controls and evaluate how other nations handle HPC exports
sources
Sources

Center for Strategic & International Studies (CSIS), Export Controls Project, http://www.csis.org/export/execsum.htm

Export Administration Act Reauthorization Update(n.d.). Retrieved October 17, 2002 from Shearman and Sterling Web site: http//www.shearman.com

Export Administration Regulations (October 1, 2002). Retrieved on October 16, 2002 from Bureau of Export Administration, U.S. Department of Commerce Web site:http://w3.access.gpo.gov/bis/index.html

Export Controls on High Performance, Web-site of the US Dept. of State, Bureau of Nonproliferation http://www.state.gov/t/np/rls/fs/2001/5484pf.htm

Fact Sheet: Export Controls on High Performance Computers (October 5, 2001).  Retrieved on October 14,2002 from Bureau of Nonproliferation, U.S. Department of State Web site:http://www.state.gov/t/np/rls/fs/2001/5484

Fact Sheet: Export Controls on Computers, Office of the Press Secretary (July 1, 1999). Retrieved on October 14, 2002 from the White House Web site:http://www.whitehouse.gov/news/releases/2002/01/20020102-3.html.

General Accounting Office (GAO), EXPORT CONTROLS: More Thorough Analysis Needed to Justify Changes in High Performance Computer Controls, Retrieved October 15, 2002 from: www.gao.gov

Conference on Export Controls, October 3, 2002. Web-site of the US Dept. of State, http://www.state.gov/t/us/rm/14096pf.htm

sources continued
Sources (Continued)

General Policy and Processing Guidance for High Performance Computer Licenses (n.d.). Retrieved on October 15, 2002 from Bureau of Export Administration, U.S. Department of Commerce Web site:http://www.bxa.doc.gov/

Gildea, K. (October 18, 2001). Study: Discard Export Controls on Computer Hardware. Retrieved on October14, 2001 from Washington Technology Web site:http://www.washingtontechnology.com/news/16_6/federal/16686-1.html

High Performance Computers (HPC) Licensing Process (n.d.). Retrieved on October 15, 2002 from Bureau of Export Administration, U.S. Department of Commerce Website: http://www.bxa.doc.gov/

High Performance Computers (HPC) Licensing Process (n.d.). Retrieved on October 15, 2002 from Bureau of Export Administration, U.S. Department of Commerce Website: http://www.bxa.doc.gov/

High Performance Computer Export Controls, Web-site of the US Dept.of Commerce, Bureau of Industry and Security http://www.bxa.doc.gov/HPCs/Default.htm

HPC Reporting Requirements (n.d.). Retrieved on October 15, 2002 from Bureau of Export Administration, U.S. Department of Commerce Web site:http://www.bxa.doc.gov/

H.R. 2581, 107 Cong., 2nd Sess. (2001). Retrieved on October 16, 2002 from Thomas Web site:http://thomas.loc.gov/Implementation of Presidential Announcement: Revision to License Exception CTP (January 10, 2001). Retrieved on October 17, 2002 from Bureau of Export Administration, U.S. Department of Commerce Website:http://www.bxa.doc.gov/

sources continued1
Sources (Continued)

John R. Bolton, Keynote address to the Fourth International License Exception CTP (n.d.). Retrieved on October 15,2002 from Bureau of Export Administration, U.S. Department of Commerce Web site: http//www.bxa.gov.comMarinaccio , W. (August 3, 1999).

U.S. Eases Export Controls on Higher-performance PCs. Retrieved on October 14, 2002 from CNet News Web site:http://news.com.com/2100-1001-229401.html?legacy=cnet.

OECD Guidelines for the Security of Information Systems and Networks: Towards a Culture of Security (July 25, 2002). Retrieved on October 14, 2002 from OECD Web site:http://www.oecd.org/EN/home/0,,EN-home-43-1-no-no-no,00.html

President Changes Export Controls on Computers, Statement by the Deputy Press Secretary (January 2,2002) Retrieved on October 14, 2002 from the White House Web site:http://www.whitehouse.gov/news/releases/2002/01/20020102-3.html

.Press Release: Bush Administration Supports Bennett’s Move to Repeal Restrictions on Exports of High Performance Computers (October 11, 2002). Retrieved on October 14, 2002 from Website: http://www.senate.gov/~bennett/

Press Statement: OECD Calls for Culture of Security for Information Systems (August 7, 2002). Retrieved on October 14, 2002 from U.S. Department of State Website: http://www.state.gov/r/pa/prs/ps/2002/12518.htm

Revisions to License Exception CTP (October 13, 2000).Retrieved October 17, 2002 from Bureau of Export Administration, U.S. Department of Commerce Website: http://www.bxa.doc.gov/

sources continued2
Sources (Continued)

Revision of High Performance Computer Licensing Policy (August 3, 1999). Retrieved October 17, 2002 from Bureau of Export Administration, U.S. Department of Commerce Web site: http://www.bxa.doc.gov/

S. 591, 107 Cong., 2nd Sess. (2001). Retrieved on October 16, 2002 from Thomas Web site: http://thomas.loc.gov/

S. 149, 107 Cong., 2nd  Sess. (2001). Retrieved on October 16, 2002 from Thomas Web site: http://thomas.loc.gov/

Security Safeguard Plans (SSPs) High Performance Computers (HPC) (n.d.). Retrieved on October 15, 2002from Bureau of Export Administration, U.S. Department of Commerce Web site: http://www.bxa.doc.gov/

Testimony of Dr. Stephen Bryen on U.S. Policy on High Performance Computer Exports to the House Armed Services Committee (October 28, 1999). Retrieved on October 15, 2002 from Committee on International Relations Web site:http://www.house.gov/hasc/testimony/106thcongress/99-10-28bryen.htm

Vann H. Van Diepen, Strengthening Multilateral Nonproliferation Regimes, July 29,2002, Web site of the US Dept. of State Office of Chemical, Biological and Missile Nonproliferation http://www.state.gov/t/np/rls/rm/12396pf.htm

White House press release, President Changes Export Controls on Computers, January 2,2002 Web-site of the White House, http://whitehouse.gov/news/releases/2002/01/20020102-3.html

ad