State Dept. Updates Guidance on Technology Alert Checks
UTE3502
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------------------D39353 020507Z /38
P 012302Z AUG 02
FM SECSTATE WASHDC
TO ALL DIPLOMATIC AND CONSULAR POSTS PRIORITY
AMEMBASSY KABUL PRIORITY 4020-
AMEMBASSY DUSHANBE PRIORITY 9491-
AMEMBASSY KHARTOUM PRIORITY 0750-
CIA WASHDC PRIORITY 6977-6984
DIA WASHDC PRIORITY
FBI WASHDC 0000
SECDEF WASHDC PRIORITY 0000
DIRNSA FT GEORGE G MEADE MD PRIORITY 0000
US CUSTOMS SERVICE WASHDC PRIORITY
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UNCLAS STATE 147566
NSC PASS TO OFFICE OF HOMELAND SECURITY
C O R R E C T E D C O P Y (REMOVING ADDEES FROM TEXT)
E.O. 12958: N/A
TAGS: CVIS, ETTC, KNNP, MTCRE, PARM, PTER, TSPL, MSEP
SUBJECT: USING THE TECHNOLOGY ALERT LIST: UPDATE
POSTS PASS TO US CUSTOMS REP
REF: A) 9 FAM 40.31 EXHIBIT 1, B) 96 STATE 144647, C) 98
STATE 15852, D) 99 STATE 158241, E) 00 STATE 220555, F) 00
STATE 220919, G) 01 STATE 196355, H) 01 STATE 196859, I)
STATE 15702
SUMMARY
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1. This cable updates the Technology Alert List (TAL) which was transmitted in
November 2000, with particular attention to certain revisions as a result of the
September 11 terrorist attacks. The cable also provides additional guidance for
its use in cases that may fall under the purview of INA section 212 (a)(3)(a),
which renders inadmissible aliens who there is reason to believe are seeking to
enter the U.S. to violate U.S. laws prohibiting the export of goods, technology
or sensitive information from the U.S. While applicants from any country
(including our traditional allies and trading partners), coming to engage in an
activity related to one of the "Critical Fields" on the list may be ineligible
under this section (if the proposed activity is subject to U.S. technology
transfer laws), Consular Officers (CONOFFs) should pay particular attention to
cases involving nationals of countries on the Department's List of State
Sponsors of Terrorism or nationals affiliated with entities identified in
Supplement 4 to Part 744 of the Export Administration Regulations, published by
the Department of Commerce. The entities list can be found at the
www.bis.doc.gov website address.
2. Department notes that information in the public domain (e.g., widely
available to the public), and information presented in an academic course
generally is not controlled for U.S. technology transfer control purposes.
Department advises posts that further refinements to the TAL and revised
guidance regarding visa applications that require referral to Washington,
consistent with the requirements of Section 3 (Abuse of International Student
Status) of the Homeland Security Presidential Directive-2 (Combating Terrorism
Through Immigration Policies), issued October 29, 2001, will be forthcoming.
Guidance is expected in the next quarter.
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GUIDANCE
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3. Department requests all posts take the time to carefully review this cable.
Detach Tabs A and B and make copies for distribution in your consular section.
The Critical Fields List (CFL) (Tab A) and the List of State Sponsors of
Terrorism (Tab B) make very handy "cheat sheets" and can be posted at the
interview windows where the staff can become familiar with the contents. This
information will do more good at the window than stored in a file or the FAM.
The consular sections are among those in the forefront in preventing the loss of
U.S. technology to terrorists and State Sponsors of Terrorism.
4. U.S. laws and regulations prohibit the export of certain goods and
technologies from the U.S. Section 212 (a)(3)(a) of the INA renders inadmissible
aliens who there is reason to believe seek to enter the U.S. to violate or evade
these laws. This means that with sufficient information, the CONOFF has the
power to prevent sensitive technology or material, e.g., controlled nuclear or
biotechnical information, from falling into the wrong hands. The Technology
Alert List (TAL) was designed to assist in this effort.
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BACKGROUND
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5. Not since the Cold War has the transfer of sensitive technology to hostile
individuals or regimes been more in the news. The increasing sophistication of
off-the-shelf technology, dual-use technologies (technologies which have both
civilian and military applications), allegations of lack of sufficient
information about and controls on foreign students in the U.S., recent tensions
in the Middle East, and the September 11 terrorist attacks have combined to
renew concern among the law enforcement and intelligence communities that
controlled U.S.-origin goods and information are vulnerable to theft.
6. The TAL was originally designed to help maintain technological superiority
over the Warsaw Pact and was targeted at individuals from the Soviet Union and
other Communist countries. In 1996, the TAL was revised to broaden its focus and
reflect more accurately current laws restricting or prohibiting the export of
goods and technologies. These laws are designed to further four important
security objectives:
-- Stem the proliferation of weapons of mass destruction and missile delivery
systems;
-- Restrain the development of destabilizing conventional military capabilities
in certain regions of the world;
-- Prevent the transfer of arms and sensitive dual-use items to terrorist
states; and
-- Maintain U.S. advantages in certain militarily critical technologies.
------------------------------------
HOW TO USE THE TECHNOLOGY ALERT LIST
------------------------------------
7. The revised TAL consists of two parts: a "Critical Fields List" (CFL) of
major fields of technology transfer concern, including those subject to export
controls for nonproliferation reasons (Tab A); and the Department's List of
designated State Sponsors of Terrorism (Tab B). While restrictions on the export
of controlled goods and technologies apply to nationals of all countries,
applicants from countries on the List of State Sponsors of Terrorism seeking to
engage in activities involving one of the critical fields warrant special
scrutiny. Officers are not expected to be versed in all the fields on the List.
Rather, CONOFFs should shoot for familiarization and listen for key words or
phrases from the list in applicantsS
answers to interview questions.
8. When applying the TAL, CONOFFs should first:
-- Determine whether the applicant proposes to engage in advanced (doctoral,
postdoctoral or research scholar) research or studies or business activity (ies)
involving any of the scientific/technical fields listed in Tab A.
-- If the applicant's planned activities raise questions of possible
ineligibility under INA 212 (a)(3)(a), especially in light of the four broad
policy objectives enumerated in para. 6, submit a Security Advisory Opinion
(SAO) in the form of visas Donkey Mantis or Eagle Mantis. Detailed guidance on
the Mantis program is contained in Ref D. Please note: an SAO is MANDATORY in
all cases of applicants bearing passports of, or employed by, states designated
as State Sponsors of Terrorism (see Tab B for List) who seek to engage in
activitIes involving one of the critical fields.
-- When an SAO is submitted in a TAL case, CONOFFs should gather and report as
much information as possible about the
applicant's background, proposed activities, and travel plans. The effectiveness
of the name check (and the turnaround time) is directly related to the
completeness of the information in the SAO. For example: what are the
applicant's research or business interests? What is his current position and
where does he work? What is the address and phone number of the company(ies) he
intends to visit? Who is his point of contact? What are the specifics of his
advanced (doctoral, postdoctoral or research scholar) research or studies or
business in the U.S.? Who is funding the travel or education? Will he be
returning to work in a country that sponsors terrorism or to an entity that is
under sanctions? How, and where, does the applicant plan to use the goods or
knowledge acquired?
-- CONOFFs should encourage TAL applicants to provide supporting documentation
from their home organizations.
For example, complete resumes and complete lists of publications of the
applicant and, if accompanying the applicant, the spouse; project descriptions;
annual reports; and letters of recommendation from a U.S. source or from abroad
can be useful in helping to flesh out an applicant's real motives for travel.
Such documents should be described by CONOFF in the SAO and held until the case
has been closed. The Department encourages CONOFF to provide as much information
and details as possible in the SAO.
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WHEN IN DOUBT, ASK
------------------
9. With the exception of applicants who are nationals or employees of states
sponsoring terrorism, tech transfer SAOs are not mandatory for all scientific
and technical visitors seeking to engage in one of the critical fields in Tab A.
However, CONOFFs should use caution in adjudicating all such cases. Only when
CONOFFs believe (3)(a) clearly does not apply should the case be processed to
conclusion without seeking the department's opinion.
10. Help may only be as far away as the DAO at post. The DATT and his/her staff
are often very knowledgeable about sensitive military and dual-use technology.
FCO staff also will be knowledgeable regarding dual-use export controls. They
can assist in deciphering an applicant's response or, the Critical Fields List,
and can also provide follow-up questions. Remember: when in doubt send, in an
SAO to CA/VO/L/C. At those posts that have created an export control Working
Group (WG), consular officers will find that the WG's chair or executive
secretary can be a useful contact for tapping the expertise of the group's
interagency membership.
11. Commercial Sales of United States Munitions List (USML) items are licensed
by DOS PM/DTC, which also does end-use checks through the Blue Lantern program.
Each post has a Blue Lantern contact designated by the post. This person can
also be a valuable resource to the visa officer, because he or she is often in
direct, frequent contact with PM/DTC. The U.S. Customs attachE or senior Customs
representative responsible for or at post is also a valuable asset in these
matters. Any activities suspected to be in violation of U.S. munitions export
laws should be promptly reported to the State Department (PM/DTC for commercial
sales), the local or regional Customs attache, and, for dual-use export control
laws, to the Bureau of Industry and Security in the Department of Commerce, in
accordance with local reporting procedures.
-----------------------
TRUSTING YOUR BCISTINCTS
-----------------------
12. Please bear in mind that while the TAL is a valuable tool for recognizing
possible illegal technology transfer, it is not the only mechanism for
identifying such cases. There may be times when the CONOFF suspects, for
whatever reason, that an applicant may be (3)(a) despite the absence of the
applicant's profession or area of study on the TAL. Such cases can and should be
submitted in an SAO for the Department's advisory opinion.
13. Additional information about some of the technologies on the Technology
Alert List is available on the TecWorld website, the Department's unclassified
Intranet science and technology reference site managed by the Bureau of
Intelligence and Research. You can access TecWorld on OpenNet at http://tecworld.inr.state.gov.
-----------------------------
TAB A - CRITICAL FIELDS LIST
-----------------------------
A. CONVENTIONAL MUNITIONS: Technologies associated with:
-- Warheads and other large caliber projectiles
-- Reactive armor and warhead defeat systems
-- Fusing and arming systems.
-- Electronic countermeasures and systems
-- New or novel explosives and formulations
-- Automated explosive detection methods and equipment
B. NUCLEAR TECHNOLOGY: Technologies associated with production and use of
nuclear material for both peaceful and military applications. Included are
technologies for:
-- Enrichment of fissile material
-- Reprocessing irradiated nuclear fuel to recover produced plutonium
-- Production of heavy water for moderator material
-- Plutonium and tritium handling
Also, certain associated technologies related to nuclear physics and/or nuclear
engineering. Includes materials, equipment or technology associated with:
-- Power reactors, breeder and production reactors
-- Fissile or special nuclear materials
-- Uranium enrichment, including gaseous diffusion, centrifuge, aerodynamic,
chemical, Electromagnetic Isotopic Separation (EMIS), Laser Isotope Separation (LIS)
-- Spent fuel reprocessing, plutonium, mixed oxide nuclear research Inertial
Confinement Fusion (ICF)
-- Magnetic confinement fusion
-- Laser fusion, high power lasers, plasma,
-- Nuclear fuel fabrication including Mixed Oxide (uranium-plutonium) fuels (MOX)
-- Heavy water production
-- Tritium production and use
-- Hardening technology
C. ROCKET SYSTEMS (including ballistic missile systems,space launch vehicles and
sounding rockets) and Unmanned Air Vehicles (UAV) (including cruise missiles,
target drones, and reconnaissance drones): Technologies associated with rocket
systems and UAV systems. The technology needed to develop a satellite launch
vehicle is virtually identical to that needed to build a ballistic missile.
D. ROCKET SYSTEM AND UNMANNED AIR VEHICLE (UAV) SUBSYSTEMS: Propulsion
technologies include solid rocket motor stages, and liquid propellant engines.
Other critical subsystems include re-entry vehicles, guidance sets, thrust
vector controls and warhead safing, arming and fusing. Many of these
technologies are dual-use. Technologies include:
-- Liquid and solid rocket propulsion systems
-- Missile propulsion and systems integration
-- Individual rocket stages or staging/separation mechanism
-- Aerospace thermal (such as superalloys) and high-performance structures
-- Propulsion systems test facilities
E. NAVIGATION, AVIONICS AND FLIGHT CONTROL USEABLE IN ROCKET SYSTEMS AND
UNMANNED AIR VEHICLES (UAV): These capabilities directly determine the delivery
accuracy and lethality of both unguided and guided weapons. The long-term costs
to design, build and apply these technologies have been a limiting proliferation
factor. Technologies include those associated with:
-- Internal navigation systems
-- Tracking and terminal homing devices
-- Accelerometers and gyroscopes
-- Rocket and UAV and flight control systems.
-- Global Positioning System (GPS)
F. CHEMICAL, BIOTECHNOLOGY AND BIOMEDICAL ENGINEERING: The technology used to
produce chemical and biological weapons is inherently dual-use. The same
technologies that could be applied to develop and produce chemical and
biological weapons are used widely by civilian research laboratories and
industry; these technologies are relatively common in many countries. Advanced
biotechnology has the potential to support biological weapons research. In the
biological area, look for interest in technologies associated with:
-- Aerobiology (study of microorganisms found in the air or in aerosol form)
-- Biochemistry
-- Pharmacology
-- Immunology
-- Virology
-- Bacteriology
-- Mycology
-- Microbiology
-- Growth and culturing of microorganisms
-- Pathology (study of diseases)
-- Toxicology
-- Study of toxins
-- Virulence factors
-- Genetic engineering, recombinant DNA technology
-- Identification of nucleic acid sequences associated with pathogenecity
-- Freeze-drying (lyophilization)
-- Fermentation technology
-- Cross-filtration equipment
-- High "DOP-rated filters" (e.g., HEPA filters, ULPA filters)
-- Microencapsulation
-- Aerosol sprayers and technology, aerosol and aerosolization technology
-- Spray or drum drying technology
-- Milling equipment or technology intended for the production of micron-sized
particles
-- Technology for eliminating electrostatic charges of small particles
-- Flight training
-- Crop-dusting, aerosol dissemination
-- Unmanned aerial vehicle (UAV) technology
-- Fuses, detonators, and other munitions technology
-- Submunitions technology
-- Computer modeling of dissemination or contagion
-- Chemical absorption (nuclear-biological-chemical (NBC) protection) In the
chemical area, look for:
-- Organo-phosphate chemistry
-- Neurochemistry
-- Chemical engineering
-- Chemical separation technology
-- Pesticide production technology
-- Pharmaceutical production technology
-- Chemical separation technology
-- Toxicology
-- Pharmacology
-- Neurology
-- Immunology
-- Detection of toxic chemical aerosols
-- Chemical absorption (Nuclear-Biological-Chemical (NBC) protection)
-- Production of glass-lined steel reactors/vessels, pipes, flanges, and other
equipment
-- Aerosol sprayers and technology
-- Flight training
-- Crop-dusting, aerosol dissemination
-- Unmanned Aerial Vehicle (UAV) technology
-- Fuses, detonators, and other munitions technology
-- Submunitions technology
-- Computer modeling of dissemination
G. REMOTE SENSING, IMAGING AND RECONNAISSANCE: Satellite and aircraft remote
sensing technologies are inherently dual-use; increasingly sophisticated
technologies can be used for civilian imagery projects or for military and
intelligence reconnaissance activities. Drones and remotely piloted vehicles
also augment satellite capabilities. Key-word associated technologies are:
-- Remote sensing satellites
-- High resolution multi-spectral, electro-optical and radar data/imagery
-- Imagery instruments, cameras, optics, and synthetic aperture radar systems
-- Ground receiving stations and data/image processing systems
-- Photogrammetry
-- Imagery data and information products
-- Piloted aircraft
-- Unmanned Air Vehicles (UAV)
-- Remotely-piloted vehicles; and drones
H. ADVANCED COMPUTER/MICROELECTRONIC TECHNOLOGY: Advanced computers and software
play a useful (but not necessarily critical) role in the development and
deployment of missiles and missile systems, and in the development and
production of nuclear weapons. Advanced computer capabilities are also used in
over-the-horizon targeting,airborne early warning targeting, Electronic
Countermeasures (ECM) processors. These technologies are associated with:
-- Supercomputing, hybrid computing
-- Speech processing/recognition systems
-- Neural networks
-- Data fusion
-- Quantum wells, resonant tunneling
-- Superconductivity
-- Advance optoelectronics
-- Acoustic wave devices,
-- Superconducting electron devices
-- Flash discharge type x-ray systems
-- Frequency synthesizers
-- Microcomputer compensated crystal oscillators
I. MATERIALS TECHNOLOGY: The metallic, ceramic and composite materials are
primarily related to structural functions in aircraft, spacecraft, missiles,
undersea vehicles, and propulsion devices. Polymers provide seals and sealants
for containment of identified fluids and lubricants for various vehicles and
devices. High density graphite is used in missile nosetips, jet vanes and nozzle
throats. Selected specialty materials (i.e., stealth and the performance of
these materials) provide critical capabilities that exploit electromagnetic
absorption, magnetic, or superconductivity characteristics. These
technologies are associated with:
-- Advanced metals and alloys
-- Non-composite ceramic materials
-- Ceramic, cermet, organic and carbon materials
-- Polymeric materials
-- Synthetics fluids
-- Hot isostatic
-- Densifications
-- Intermetallic
-- Organometals
-- Liquid and solid lubricant
-- Magnetic metals and superconductive conductors
J. INFORMATION SECURITY: Technologies associated with cryptography and
cryptographic systems to ensure secrecy for communications, video, data and
related software.
K. LASER AND DIRECTED ENERGY SYSTEMS TECHNOLOGY: Lasers have critical military
applications, including incorporation in guided ordinance such as laser guided
bombs and ranging devices. Directed energy technologies are used to generate
electromagnetic radiation or particle beams and to project that energy on a
specific target. Kinetic energy technologies are those used to impart a high
velocity to a mass and direct it to a target. Directed energy and kinetic energy
technologies have potential utility in countering missiles and other
applications. Look for technologies associated with:
-- Atomic Vapor Laser Isotope Separation (AVLIS)
-- Molecular Laser Isotope Separation (MLIS)
-- High Energy Lasers (HEL) (i.e., laser welders)
-- Low Energy Lasers (LEL)
-- Semiconductor lasers
-- Free electron lasers
-- Directed Energy (DE) systems
-- Kinetic Energy (KE) systems
-- Particle beam, beam rider, electromagnetic guns, Optoelectronics/electro-oPtics
(Europe)
-- Optical tracking (i.e., target designators)
-- High energy density
-- High-speed pulse generation, pulsed power
-- Hypersonic and/or hypervelocity
-- Magnetohydrodynamics
L. SENSORS AND SENSOR TECHNOLOGY: Sensors provide real-time information and
data, and could provide a significant military advantage in a conflict. Marine
acoustics is critical in anti-submarine warfare; gravity meters are essential
for missile launch calibration. Look for technologies associated with:
-- Marine acoustics
-- Optical sensors
-- Night vision devices, image intensification devices
-- Gravity meters
-- High speed photographic equipment
-- Magnetometers
M. MARINE TECHNOLOGY: Marine technologies are often associated with submarines
and other deep submersible vessels; propulsion systems designed for undersea use
and navigation and quieting systems are associated with reducing detectability
and enhancing operations survivability. Look for technologies connected with:
-- Submarines and submersibles
-- Undersea robots
-- Marine propulsion systems
-- Signature recognition
-- Acoustic and non-acoustic detection
-- Acoustic, wake, radar and magnetic signature reduction
-- Magnetohydrodynamics
-- Stirling engines and other air independent propulsion systems
N. ROBOTICS: Technologies associated with:
-- Artificial intelligence
-- Automation
-- Computer-controlled machine tools
-- Pattern recognition technologies.
O. URBAN PLANNING: Expertise in construction or design of systems or
technologies necessary to sustain modern urban societies. (PLEASE NOTE: Urban
Planning may not fall under the purview of INA section 212 (a)(3)(a), U.S.
technology transfer laws, or any other U.S. law or regulation. However, Urban
Planning is a special interest item and posts are requested to refer such visa
application requests to CA/VO/L/C for further review.) Look for
technologies/skills associated with:
-- Architecture
-- Civil engineering
-- Community development
-- Environmental planning
-- Geography
-- Housing
-- Landscape architecture
-- Land use and comprehensive planning
-- Urban design
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TAB B: DEPARTMENT'S LIST OF STATE SPONSORS OF TERRORISM:
---------------------------------------------------------
CUBA
IRAN
IRAQ
LIBYA
NORTH KOREA
SUDAN
SYRIA
14. Minimize considered.
POWELL