Export Control Law and Regulations Handbook

Transcription

1 Export Control Law and Regulations Handbook A Practical Guide to Military and Dual-Use Goods Trade Restrictions and Compliance Yann Aubin Arnaud Idiart KLUWER LAW INTERNATIONAL

2 Contents Foreword xvii Chapter 1 Overall Introduction 1 Section 1. Scope of the Export Control Handbook 3 Sub-Section 1. A Particular Focus on Military and Dual-Use Goods and Services 3 Sub-Section 2. Some Purposefully Excluded Elements 4 Section 2. Terminology and Concepts Used 4 Sub-Section 1. What Is an 'Export'? 4 Sub-Section 2. What Are'Export Controls'? 5 Section 3. Methodology Used 6 Sub-Section 1. Export Control Laws and Regulations Handbook Overall Content 6 Sub-Section 2. Export Control Laws and Regulations Handbook Chapters Content 7 Section 4. Current and Future Challenges 8 Sub-Section 1. Some Misconceptions about What Export Controls Really Are 8 Sub-Section 2. The Increasing Importance of Export Controls 10 The Reasons 10 Par. 2. The Consequences 11

3 vi Table of Contents Sub-Section 3. The Increasing Complexity and Difficulty to. Control/Comply 12 Complexity 12 Par. 2. Difficulty to Control and to Comply 12 Section 5. Notice 18 Chapter 2 International Regimes 19 Section 1. Introduction 20 Section 2. Documents Concerning Materials 22 Sub-Section 1. Weapons of Mass Destruction 22 Nuclear 22 Par. 2. Biological and Chemical Weapons 36 Sub-Section 2. Missile Technology 44 MTCR Guidelines 45 Par. 2. The Hague International Code of Conduct 48 Sub-Section 3. Conventional Arms and Dual-Use Goods and Technologies 50 General Documents 50 Par. 2. Special Documents 54 Section 3. Documents Relating to Zones 60 Sub-Section 1. International Zones 60 Earth 61 Par. 2. Outer Space 65 Sub-Section 2. Nuclear-Weapons-Free Zones 70 Par. 2. Par. 3. Par. 4. Section 4. Section 5. Treaty of Tlatelolco Treaty of Rarotonga Treaty of Bangkok Treaty of Pelindaba List of Acronyms Useful Information Chapter 3 China 83 Section 1. Table of Contents 83 Section 2. Executive Summary 84 Section 3. Introduction - Elements of Context 84 Sub-Section 1. Overall Philosophy 84 Sub-Section 2. Historical Outlook 85 Sub-Section 3. Participation in International Regimes 85

4 Table of Contents vii Treaties and Regimes Dealing with Specific Items and Technologies 85 Par. 2. Treaties Dealing with Specific Areas 87 Section 4. Control Regime 89 Sub-Section 1. Military Goods and Services 89 Overall Presentation 89 Par. 2. Control Lists 93 Par. 3. Licensing and Enforcement Authorities 93 Par. 4. Sanctions and Recourses of the, Importer/Exporter 93 Sub-Section 2. Dual-Use Goods and Services 95 Overall Presentation 95 Par. 2. Control Lists 97 Par. 3. Licensing and Enforcement Authorities 98 Par. 4. Sanctions and Recourses of the Importer/Exporter 99 Section 5. Specificities/Space-Related Provisions 100 Sub-Section 1. Specificities of the Control Regime 100 Sub-Section 2. Space-Related Provisions in the Control Regime 100 Section 6. List of Acronyms 100 Section 7. References 101 Section 8. Useful Information 103 Chapter 4 The European Union 105 Section 1. Table of Contents 105 Section 2. Executive Summary 106 Section 3. Introduction - Elements of Context 106 Sub-Section 1. Overall Philosophy 106 Sub-Section 2. Historical Outlook. 107 Conventional Armaments 107 Par. 2. Dual-Use Exports 109 Sub-Section 3. Participation in Internationa] Regimes 110 Section 4. Control Regime 111 Sub-Section 1. Military Goods and Services 111 Overall Presentation 111 Par. 2. Increased Discussion and Cooperation on Conventional Armaments in Europe 112 Sub-Section 2. Dual-Use Goods and Services 115 Overall Presentation 115 Par. 2. Principles Underlying the Regime 117 Section 5. List of Acronyms 123 Section 6. References 123 Section 7. Useful Information 126

5 viii Table of Contents Chapter 5 France 127 Section 1. Table of Contents 127 Section 2. Executive Summary 128 Section 3. Introduction - Elements of Context 130 Sub-Section 1. Overall Philosophy 130 Export Control Regime for Military Goods 130 Par. 2. Export Control Regime for Dual-Use Goods 131 Par. 3. Military and Dual-Use Services 131 Par. 4. Process to be Followed by Exporters According to the French Control Regime 131 Sub-Section 2. Historical Outlook 132 Military Goods 132 Par. 2. Dual-Use Goods 132 Sub-Section 3. Participation in International Regimes 133 Treaties and Regimes Dealing with Specific Items and Technologies 133 Par. 2. Treaties Dealing with Specific Areas 136 Section 4. Control Regime 137 Sub-Section 1. Military Goods and Services 137 Overall Presentation 137 Par. 2. Control Lists 141 Par. 3. Licensing and Enforcement Authorities 142 Par. 4. Sanctions and Recourses of the Importer/Exporter 143 Sub-Section 2. Dual-Use Goods and Services 146 Overall Presentation 146 Par. 2. Control Lists 149 Par. 3. Licensing and Enforcement Authorities 150 Par. 4. Sanctions " 150 Section 5. Specificities of the Regime/Space-Related Provisions 152 Sub-Section 1. Specificities of the Control Regime 152 Obligation to Notify Certain Exports to the National Institute of Industrial Property 152 Par. 2. Specific Sanctions 152 Sub-Section 2. Space-Related Provisions in the Control Regime 152 Section 6. List of Acronyms 153 Section 7. References 154 Section 8. Useful Information 157 Chapter 6 Germany 159 Section 1. Table of Contents 159 Section 2. Executive Summary 160

6 Table of Contents ix Section 3. Introduction - Elements of Context 162 Sub-Section 1. Overall Philosophy 162 Principle 1 - 'Free Trade' 162 Par. 2. Principle 2 - 'Protection of Security and External Interests' 162 Par. 3. Principle 3 - 'Export Control Is the Responsibility of the Top-Management' 162 Sub-Section 2. Historical Outlook 163 The National Elements 163 Par. 2. The European Elements 164 Sub-Section 3. Participation in International Regimes 164 Treaties and Regimes Dealing with Specific Items and Technologies 165 Par. 2. Treaties Dealing with Specific Areas 167 Section 4. Control Regime 168 Sub-Section 1. Military Goods and Services 168 Overall Presentation 168 Par. 2. Control Lists 172 Par. 3. Licensing and Enforcement Authorities 172 Par. 4. Sanctions and Recourses of the Importer/Exporter 175 Sub-Section 2. Dual-Use Goods and Services 175 Overall Presentation 175 Par. 2. Control Lists 178 Par. 3. Licensing and Enforcement Authorities 178 Par. 4. Sanctions and Recourses of the Importer/Exporter 180 Section 5. Specificities/Space-Related Provisions 180 Sub-Section 1. Responsibility for the Export Control Management/ Export Control Officer 180 Sub-Section 2. Production and Transfer of War Weapons 180 Sub-Section 3. Compliance Review of German Companies 181 Export Control Compliance Review 181 Par. 2. War Weapons Compliance Review 181 Sub-Section 4. Confidentiality of Licenses 181 Section 6. List of Acronyms 181 Section 7. References 182 Section 8. Useful Information 183 Chapter 7 India 185 Section 1. Table of Contents 185 Section 2. Executive Summary 186 Section 3. Introduction - Elements of Context 187 Sub-Section 1. Overall Philosophy 187 Sub-Section 2. Historical Outlook 189

7 x Table of Contents Sub-Section 3. Participation in International Regimes 191 Treaties and Regimes Dealing with Specific Items and Technologies 191 Par. 2. Treaties Dealing with Specific Areas 193 Section 4. Control Regime 194 Sub-Section 1. Military Goods and Services 196 Overall Presentation 197 Par. 2. Control Lists 200 Par. 3. Licensing and Enforcement Authorities 200 Par. 4. Sanctions and Recourses of the Importer/Exporter 201 Sub-Section 2. Dual-Use Goods and Services 202 Overall Presentation 203 Section 5. Specificities/Space-Related Provisions 204 Sub-Section 1. Specificities of the Control Regime 204 Sub-Section 2. Space-Related Provisions in the Control Regime 205 Section 6. List of Acronyms 205 Section 7. References 206 Section 8. Useful Information 207 Chapter 8 Italy 211 Section 1. Table of Contents 211 Section 2. Executive Summary 212 Section 3. Introduction - Elements of Context 213 Sub-Section 1. Overall Philosophy 213 Sub-Section 2. Historical Outlook 213 Sub-Section 3. Participation in International Regimes 213 Treaties and Regimes Dealing with Specific Items and Technologies 214 Par. 2. Treaties Dealing with Specific Regions 216 Section 4. Control Regime 218 Sub-Section 1. Military Goods and Services 218 Overall Presentation 218 Par. 2. Control Lists 225 Par. 3. Licensing and Enforcement Authorities, 226 Par. 4. Sanctions and Recourses of the Importer/Exporter 227 Sub-Section 2. Dual-Use Goods and Services 229 Overall Presentation 229 Par. 2. Control Lists 232 Par. 3. Licensing and Enforcement Authorities 232 Par. 4. Sanctions and Recourses of the Importer/Exporter 234 Section 5. Specificities/Space-Related Provisions 234 Sub-Section 1. Details of the Control Regime 234

8 Table of Contents xi Restricted Information 234 Par. 2. Obligations on Companies 234 Sub-Section 2. Space-Related Provisions in the Control Regime 235 Section 6. List of Acronyms 235 Section 7. References 236 Section 8. Useful Information 237 Chapter 9, Japan v Section 1. Table of Contents 239 Section 2. Executive Summary 240 Section 3. Introduction - Elements of Context 240 Sub-Section 1. Overall Philosophy 240 Sub-Section 2. Historical Outlook 241 Sub-Section 3. Participation in International Regimes 242 Treaties and Regimes Dealing with Specific Items and Technologies 242 Par. 2. Treaties Dealing with Specific Areas 244 Section 4. Control Regime 245 Sub-Section 1. Military Goods and Services 245 Overall Presentation 245 Par. 2. Control Lists 249 Par. 3. Licensing and Enforcement Authorities 250 Par. 4. Sanctions and Recourses of the Importer/Exporter 252 Sub-Section 2. Dual-Use Goods and Services 253 Overall Presentation 253 Par. 2. Control Lists " 253 Par. 3. Licensing and Enforcement Authorities 254 Par. 4. Sanctions and Recourses of the Importer/Exporter 254 Section 5. Specificities/Space-Related Provisions Sub-Section 1. Specificities of the Control Regime 254 Sub-Section 2. Space-Related Provisions in the Control Regime 255 Section 6. List of Acronyms 255 Section 7. References 255 Section 8. Useful Information 257 r Chapter 10 Russian Federation 261 Section 1. Table of Contents 261 Section 2. Executive Summary 262 Section 3. Introduction - Elements of Context 263

9 xii Table of Contents Sub-Section 1. Overall Philosophy 263 Sub-Section 2. Historical Outlook 263 Export Control Regimes within the Borders of the Former Soviet Union 263 Par. 2. Legislative Changes in the Russian Federation 264 Sub-Section 3. Participation in International Regimes 264 Treaties and Regimes Dealing with Specific Items and Technologies 265 Par. 2. Treaties Dealing with Specific Areas 267 v Section 4. Control Regime 268 Sub-Section 1. Military Goods and Services 268 Overall Presentation 268 Par. 2. Control Lists 271 Par. 3. Licensing and Enforcement Authorities 271 Par. 4. Sanctions and Recourses Available to the Importer/Exporter 271 Sub-Section 2. Dual-Use Goods and Services 273 Overall Presentation 273 Par. 2. Control Lists, 277 Par. 3. Licensing and Enforcement Authorities 278 Par. 4. Sanctions and Recourses Available to the Importer/Exporter 278 Section 5. Specificities/Space-Related Provisions 279 Sub-Section 1. Specificities of the Control Regime 279 Military Goods and Services 279 Par. 2. Dual-Use Goods and Services 281 Par. 3. Intellectual Property and Patent Rights 281 Par. 4. Means of Submitting License Applications 282 Par. 5. Re-exports and Temporary Exports 282 Par. 6. Effectiveness of the Implementation of the Russian Export Control Rules " r 282 Sub-Section 2. Space-Related Provisions in the Control Regime 283 Roles of the Licensing and Enforcement Authorities 283 Par. 2. Details of the Regime Relating to Space Activities 283 Section 6. List of Acronyms. 283 Section 7. References 284 Section 8. Useful Information 286 Chapter 11 Spain 289 Section 1. Table of Contents 289 Section 2. Executive Summary 290 Section 3. Introduction - Elements of Context ' 290 Sub-Section 1. Overall Philosophy 290 Sub-Section 2. Historical Outlook 291

10 Table of Contents xiii Sub-Section 3. Participation in International Regimes 292 Treaties and Regimes Dealing with Specific Items and Technologies 292 Par. 2. Treaties Dealing with Specific Areas 295 Section 4. Control Regime 296 Sub-Section 1. Military Goods and Services. 296 Overall Presentation 296 Par. 2. Control Lists 303 Par. 3. Licensing and Enforcement Authorities 304 Par. 4. Sanctions and Recourses of the Importer/Exporter 306 Sub-Section 2. Dual-Use Goods and Services 308 Overall Presentation 308 Par. 2. Control Lists 309 Par. 3. Licensing and Enforcement Authorities 309 Par. 4. Sanctions and Recourses of the Importer/Exporter 311 Section 5. Specificities/Space-Related Provisions 311 Sub-Section 1. Specificities of the Control Regime 311 Sub-Section 2. Space-Related Provisions in the Control Regime 311, Section 6. List of Acronyms 312 Section 7. References 312 Section 8. Useful Information 313 Chapter 12 United Kingdom 315 Section 1. Table of Contents 315 Section 2. Executive Summary 316 Section 3. Introduction - Elements of Context Sub-Section 1. Overall Philosophy 316 Sub-Section 2. Historical Outlook 317 Sub-Section 3. Participation in International Regimes 320 Treaties and Regimes Dealing with Specific Items and Technologies 320 Par. 2. Treaties Dealing with Specific Areas 323 Section 4. Control Regime 324 Sub-Section 1. Military Goods and Services Overall Presentation 324 Par. 2. Control Lists 328 Par. 3. Licensing and Enforcement Authorities 329 Par. 4. Sanctions and Recourses of the Importer/Exporter 329 Sub-Section 2. Dual-Use Goods and Services 330 Overall Presentation 330 Par. 2. Control Lists 331 Par. 3. Licensing and Enforcement Authorities 331

11 xiv Table of Contents Par. 4. Sanctions and Recourses of the Importer/Exporter 331 Section 5. Specificities/Space-Related Provisions 333 Sub-Section 1. Specificities of the Control Regime 333 Relations with the US 333 Par. 2. Extraterritorial Application of the UK Export Control Laws and Regulations 333 Sub-Section 2. Space-Related Provisions in the Control Regime 333 Section 6. List of Acronyms 333 Section 7. References 334 Section 8. Useful Information v 336 Chapter 13 United States of America 339 Section 1. Table of Contents 339 Section 2. Executive Summary 340 Section 3. Introduction - Elements of Context 343 Sub-Section 1. Overall Philosophy, 343 Sub-Section 2. Historical Background 344 Munitions Export Controls 344 Par. 2. Permanent Imports of Munitions 348 Par. 3. Economic Embargoes and Trade Sanctions 348 Par. 4. Dual-Use Equipment and Technology 350 Par. 5. Sanctions against Third Countries 351 Sub-Section 3. Participation in International Regimes 352 Treaties and Regimes Dealing with Specific Items and Technologies 353 Par. 2. Treaties Dealing with Specific Areas 355 Section 4. Control Regime 356 Sub-Section 1. Military Goods and Services 356 Overall Presentation 357 Par. 2. Control Lists ' 393 Par. 3. Licensing and Enforcement Authorities 394 Par. 4. Sanctions and Recourses of the Importer/Exporter 395 Sub-Section 2. Dual-Use Goods, Exports - DoC, BIS 395 Overall Presentation 395 Par. 2. Control Lists 410 Par. 3. Licensing and Enforcement Authorities 410 Par. 4. Sanctions and Recourses of the Importer/Exporter 410 Section 5. Specificities of the Control Regime/Current Issues and Future Challenges 411 Sub-Section 1. Specificities of the Control Regime/Current Issues and Future Challenges 411 Retransfer and Re-export Requirements 411

12 Table of Contents Par. 2. Deemed Exports Par. 3. Extraterritorial Jurisdiction Par. 4. Paperless, Collaborative Work Environments Par. 5. Corruption of the Supply Chain Par. 6. Outsourcing Par. 7. Arms Trade with China Par. 8. European Community Par. 9. Smart Sanctions Par Network-Centric Warfare Sub-Section 2. Space-Related Provisions in the Control Regime List of Acronyms References Useful Information Section 6. Section 7. Section 8. XV Index 425