export control law and regulations third edition … · sub-par. 7 measures in the event of...

Export Control Law and Regulations

Handbook

A Practical Guide to Military and Dual-Use Goods Trade Restrictions and Compliance

Third Edition

Edited by

Yann Anbin

Arnaud Idiart

<01 Wolters Kluwer

Table of Contents

List of Editors v

List of Contributors vii

Foreword xlvii

Preface Ii

CHAPTER 1 Overall Introduction Yann Anbin & Arnaud Idiart 1

Section 1 Scope of the Handbook 2 Sub-Section 1 A Particular Focus on Military and Dual-Use Goods and

Services 2 Sub-Section 2 Embargoes and Sanctions 3 Sub-Section 3 Some Purposefully Excluded Elements 3

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 6 Section 4 Current and Future Challenges 7

Sub-Section 1 Some Misconceptions About What Export Controls Really Are 8

Sub-Section 2 The Increasing Importance of Export Controls 9

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Par. 1 The Reasons 9 Par. 2 The Consequences 10

Sub-Section 3 The Increasing Complexity and Difficulty to Control/Comply 11 Par. 1 Complexity 11

Sub-Par. 1 Technology Evolution 11 Sub-Par. 2 Need for Governments to Control Outside of Their

Jurisdiction 11 Par. 2 Difficulty to Control and to Comply 11

Sub-Par. 1 Lack of International^ Harmonized Rules 12 Sub-Par. 2 Complexity and Variety of the Applicable Laws and

Regulations 12 Sub-Par. 3 Lack of Governmental Resources 13

Section 5 Notice 13

CHAPTER 2 Embargoes and Related Sanctions (European Union and United States Perspectives) Lourdes Catrain, Beth Peters, Haley Boyette & Christopher Lock 15

Section 1 Table of Contents 15 Section 2 Executive Summary 16 Section 3 The Legal Frameworks for EU and US Sanctions Regimes 18

Sub-Section 1 United Nations Law 18 Sub-Section 2 International Trade Law 19 Sub-Section 3 EU Law 20 Sub-Section 4 US Law 23

Par. 1 Types of US Sanctions 23 Par. 2 Legal Overview of US Sanctions 25

Section 4 The Substantive Aspects of EU and US Sanctions Regimes 27 Sub-Section 1 Overview 27 Sub-Section 2 The Anatomy of an EU Sanctions Regime 28

Par. 1 Sectoral Sanctions 29 Par. 2 Arms Embargoes 30 Par. 3 Territorial Sanctions 30 Par. 4 Financial Sanctions 30 Par. 5 Asset Freezing 31 Par. 6 Visa Restrictions 32

Sub-Section 3 EU Sanctions Regimes on Iran 32 Par. 1 EU Iran Nuclear-Related Sanctions 32

Sub-Par. 1 Previous EU Iran Regime: Sectoral Sanctions 33 Sub-I 2 Previous EU Iran Regime: Financial Sanctions 34 Sub-Par. 3 Previous EU Iran regime: Asset Freeze and Visa

Restrictions 35 Par. 2 International Negotiations with Iran 35

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Sub-Par. 1 History of Negotiations with Iran 35 Sub-Par. 2 EU Implementation of the JCPOA 36

Par. 3 EU Iran Sanctions Relating to Human Rights Violations 37 Sub-Section 4 EU Sanctions Regimes Related to Russia, Ukraine, Crimea

and Sevastopol 38 Par. 1 Sectoral Sanctions 39 Par. 2 Financial Sanctions 40 Par. 3 Asset Freezing Measures 41 Par. 4 Territorial Sanctions on Trade with Crimea and Sevastopol 41

Sub-Section 5 The Implementation of EU Sanctions Regimes Across the EU Member States 42

Par. 1 France 43 Par. 2 Germany 43 Par. 3 United Kingdom 44

Sub-Section 6 EU Gase Law on Its Sanctions Regimes 46 Sub-Section 7 The Anatomy of a US Sanctions Regime 49

Par. 1 Jurisdiction 49 Par. 2 50% Rule 50 Par. 3 Blocking and Rejecting Transactions 51 Par. 4 Property / Interest in Property 52 Par. 5 Direct and Indirect Transactions 52 Par. 6 Facilitation and Evasion 52 Par. 7 Exemptions 53 Par. 8 Licences 53 Par. 9 Compliance 54

Sub-Section 8 US Sanctions Regimes 55 Par. 1 Comprehensive Sanctions 55

Sub-Par. 1 Crimea 56 Sub-Par. 2 Cuba 56 Sub-Par. 3 Iran 60 Sub-Par. 4 North Korea 62 Sub-Par. 5 Sudan 62 Sub-Par. 6 Syria 63

Par. 2 Targeted Sanctions 64 Sub-Par. 1 Burma 65 Sub-Par. 2 Libya 65 Sub-Par. 3 Ukraine / Russia Sanctions 66 Sub-Par. 4 Other List-Based Regimes 68

Par. 3 Other Relevant US Government Agencies 69 Sub-Par. 1 State Department 70 Sub-Par. 2 Commerce Department 71 Sub-Par. 3 SEC 72

Sub-Section 9 Other Multilateral Sanctions Regimes 73

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Section 5 Compliance with Sanctions Regimes 73 Sub-Section 1 Practical Measures within Companies 73

Par. 1 Question 1: Does the Transaction Involve a Territory or Country Subject to Sanctions? 74

Par. 2 Question 2: Does the Transaction Involve Any Listed Parties or 'Shadow' SDNs/SSILs? 75

Par. 3 Question 3: Does the Transaction Involve 'Red Flags'? 75 Par. 4 Question 5: Can the Transaction Be Authorized under Certain

Conditions? 76 Sub-Section 2 Contractual Issues 77

Par. 1 Pre-negotiations 77 Par. 2 Contract Drafting 77 Par. 3 Grandfathering and Wind-Downs 77 Par. 4 'Snap Back' of Iran Sanctions 77

Sub-Par. 1 Force Majeure 78 Sub-Par. 2 Frustration of the Contract 78 Sub-Par. 3 Severance 78

Par. 5 Contract Drafting - Disputes 78 Section 6 List of Acronyms 79 Section 7 References 81

Sub-Section 1 Principal EU Sanctions Regimes 81 Sub-Section 2 Further EU Sanctions Regimes Resources 85 Sub-Section 3 EU Member State Competent Authorities 85 Sub-Section 4 Principal US Sanctions Regimes 87 Sub-Section 5 US Competent Authorities 89

CHAPTER 3 International Regime Philippe Achilleas 91

Section 1 Introduction 91 Section 2 Regimes concerning Goods and Technologies 93

Sub-Section 1 Weapons of Mass Destruction 94 Par. 1 Nuclear 94

Sub-Par. 1 Nuclear Test Prohibition 94 Sub-Par. 2 Nuclear Non-proliferation 98

Par. 2 Biological and Chemical Weapons 107 Sub-Par. 1 Geneva Protocol 108 Sub-Par. 2 Biological and Toxin Weapons Convention 109 Sub-Par. 3 Chemical Weapons Convention 112 Sub-Par. 4 Australia Group Guidelines 115

Sub-Section 2 Missile Technology 117 Par. 1 MTCR Guidelines 117

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Sub-Par. 1 Status 117 Sub-Par. 2 Object and Purpose 118 Sub-Par. 3 Scope 118 Sub-Par. 4 Commitments 118 Sub-Par. 5 Implementation 119 Sub-Par. 6 Verification 120 Sub-Par. 7 Measures in the Event of Non-compliance 120 Sub-Par. 8 Settlement of Disputes 120 Sub-Par. 9 Remarks 120

Par. 2 The Hague International Code of Conduct 120 Sub-Par. 1 Status 120 Sub-Par. 2 Object and Purpose 121 Sub-Par. 3 Scope 121 Sub-Par. 4 Principles 121 Sub-Par. 5 Implementation 122 Sub-Par. 6 Verification 122 Sub-Par. 7 Measures in the Event of Non-compliance 122 Sub-Par. 8 Settlement of Disputes 122 Sub-Par. 9 Remark 122

Sub-Section 3 Conventional Arms and Dual-Use Goods and Technologies 122 Par. 1 General Documents 123

Sub-Par. 1 Transparency: UN Register on Conventional Arms 123 Sub-Par. 2 Control of International Transfers 125

Par. 2 Regimes Dedicated to Special Weapons 130 Sub-Par. 1 Small Arms 130 Sub-Par. 2 Convention on Anti-personal Mines 135 Sub-Par. 3 Convention on Cluster Munitions 138

Section 3 Regimes Relating to Zones 140 Sub-Section 1 International Zones 140

Par. 1 Earth 140 Sub-Par. 1 Antarctic Treaty 140 Sub-Par. 2 Seabed Arms Control Treaty 142 Sub-Par. 3 Convention on the Law of the Sea 144

Par. 2 Outer Space 146 Sub-Par. 1 Outer Space Treaty 146 Sub-Par. 2 Moon Agreement 149

Sub-Section 2 Nuclear-Weapons-Free Zones 151 Par. 1 Latin America and the Caribbean 151

Sub-Par. 1 Status 151 Sub-Par. 2 Object and Purposes 151 Sub-Par. 3 Scope 151 Sub-Par. 4 Legal Principles 152 Sub-Par. 5 Implementation 152 Sub-Par. 6 Verification 153

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Sub-Par. 7 Measures in the Event of Non-compliance 153 Sub-Par. 8 Settlement of Disputes 153 Sub-Par. 9 Remark 153

Par. 2 Treaty of Rarotonga 153 Sub-Par. 1 Status 153 Sub-Par. 2 Object and Purposes 154 Sub-Par. 3 Scope 154 Sub-Par. 4 Legal Principles 154 Sub-Par. 5 Implementation 155 Sub-Par. 6 Verification 155 Sub-Par. 7 Measures in the Event of Non-compliance 155 Sub-Par. 8 Settlement of Disputes 155 Sub-Par. 9 Remarks 155

Par. 3 South East Asia 155 Sub-Par. 1 Status 155 Sub-Par. 2 Object and Purposes 156 Sub-Par. 3 Scope 156 Sub-Par. 4 Legal Principles 156 Sub-Par. 5 Implementation 156 Sub-Par. 6 Verification 157 Sub-Par. 7 Measures in the Event of Non-compliance 157 Sub-Par. 8 Settlement of Disputes 157 Sub-Par. 9 Remarks 157

Par. 4 Africa 157 Sub-Par. 1 Status 157 Sub-Par. 2 Object and Purpose 158 Sub-Par. 3 Scope 158 Sub-Par. 4 Legal Principles 158 Sub-Par. 5 Implementation 159 Sub-Par. 6 Verification 159 Sub-Par. 7 Measures in the Event of Non-compliance/Settlement of

Disputes 159 Sub-Par. 8 Remarks 159

Par. 5 Central Asia 160 Sub-Par. 1 Status 160 Sub-Par. 2 Object and Purpose 160 Sub-Par. 3 Scope 160 Sub-Par. 4 Legal Principles 160 Sub-Par. 5 Implementation 161 Sub-Par. 6 Verification 161 Sub-Par. 7 Measures in the Event of Non-compliance/Settlement of

Disputes 161 Sub-Par. 8 Remarks 161

Section 4 List of Abbreviations 162

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Section 5 Useful Information 163 Sub-Section 1 Enforcement Authorities Contact Details 163 Sub-Section 2 Other 166

CHAPTER 4 Brazil Pedro Paulo Salles Cristofaro, Daniela Bessone, Daniel de Avila Vio & Thiago Dias Oliva 167

Section 1 Table of Contents 167 Section 2 Executive Summary 168 Section 3 Introduction - Elements of Context 169

Sub-Section 1 Regime Overall Philosophy 169 Sub-Section 2 Historical Outlook 169 Sub-Section 3 Participation to International Regimes 171

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 171

Par. 2 Treaties Dealing with Specific Areas 173 Section 4 Control Regime 174

Sub-Section 1 Military Goods and Services 174 Par. 1 Overall Presentation 174

Sub-Par. 1 Requirements Prior to Any Specific Import/Export 175 Sub-Par. 2 Requirements at the Import and/or Export Stages 177

Par. 2 Control Lists 180 Par. 3 Licensing and Enforcement Authorities (Controlled Products) 181 Par. 4 Sanctions and the Recourses of the Importer/Exporter 182

Sub-Par. 1 Administrative Sanctions 182 Sub-Par. 2 Criminal Sanctions 184 Sub-Par. 3 Delegation of Authority 184

Sub-Section 2 Dual-Use Goods and Services 185 Par. 1 Overall Presentation 185


Par. 2 Control Lists 187 Par. 3 Licensing and Enforcement Authorities 188 Par. 4 Sanctions and the Recourses of the Importer/Exporter 189

Sub-Par. 1 Administrative Sanctions 189 Sub-Par. 2 Criminal Sanctions 190 Sub-Par. 3 Delegation of Authority 190

Section 5 Specificities/Space-Related Provisions 190 Sub-Section 1 Specificities of the Control Regime 190 Sub-Section 2 Space-Related Provisions in the Control Regime 190

Section 6 Sanctions and Embargoes 191

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Sub-Section 1 Participation of Brazil to Embargoes or Other Related Sanctions 191

Sub-Section 2 Regime of the Embargoes or Related Sanctions in Brazil 193 Section 7 List of Acronyms 194 Section 8 References 195

Sub-Section 1 Primary Documentation 195 Par. 1 Statutory Legislation 195 Par. 2 Regulations 195

Sub-Section 2 Secondary Documentation 196 Par. 1 Internet Sites 196 Par. 2 Paper Publications 197


CHAPTER 5 China Marion Feurtey 199

Section 1 Table of Contents 199 Section 2 Executive Summary 200 Section 3 Introduction: Elements of Context 200

Sub-Section 1 Overall Philosophy 200 Sub-Section 2 Historical Outlook 200 Sub-Section 3 Participation in International Regimes 201




Sub-Par. 1 Requirements Prior to Any Specific Import/Export (i.e., Manufacturing Phase) 205

Sub-Par. 2 Requirements at the Import and/or Export Stages 205 Par. 2 Control Lists 209 Par. 3 Licensing and Enforcement Authorities 209 Par. 4 Sanctions and Recourses of the Importer/Exporter 210



Sub-Par. 2 Requirements at the Import and/or Export Stages 212 Par. 2 Control Lists 214 Par. 3 Licensing and Enforcement Authorities 214

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Par. 4 Sanctions and Recourses of the Importer/Exporter 215 Section 5 Specificities/Space-Related Provisions 216

Sub-Section 1 Specificities of the Control Regime 216 Sub-Section 2 Space-Related Provisions in the Control Regime 216

Section 6 List of Abbreviations 217 Section 7 References 217

Sub-Section 1 Primary Documentation 217 Par. 1 Statutory Legislation and Regulations 218 Par. 2 Annexes - Copies of Documents of Practical Use to the

Importer/Exporter 219 Sub-Section 2 Secondary Documentation 220

Par. 1 Internet Sites 220 Par. 2 Paper Publications 220

Section 8 Useful Information 220 Sub-Section 1 Licensing and Enforcement Authorities Contact Details 220 Sub-Section 2 Other 221

CHARTER 6 The European Union Arnaud Idiart & Marion Ringot 223


Sub-Section 1 Overall Philosophy 224 Sub-Section 2 Historical Outlook 225

Par. 1 Conventional Armaments 225 Par. 2 Dual-Use Exports 226

Sub-Section 3 Participation in International Regimes 228 Section 4 Control Regime 228

Sub-Section 1 Military Goods and Services 228 Par. 1 Overall Presentation 228 Par. 2 Increased Discussion and Cooperation on Conventional

Armaments in Europe 229 Sub-Par. 1 The Code of Conduct for Arms Exports 229 Sub-Par. 2 The Letter of Intent 231 Sub-Par. 3 The Assessment of Community Initiatives Related to

IGT of Defence Products and the IGT Directive 231 Sub-Par. 4 Arms Brokering 232


Sub-Par. 1 Scope and Definitions 232 Sub-Par. 2 Architecture of the Regulation 234

Par. 2 Principles Underlying the Regime 235

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Sub-Par. 1 Licences for Dual-Use Exports 235 Sub-Par. 2 Denial of a Licence 239 Sub-Par. 3 Space-Related Provisions in the Control Regime of

Dual-Use Items 241 Sub-Par. 4 Reflexions of the European Union Related to the

Needed Evolution of the Dual-Use Regulation 242 Section 5 List of Abbreviations 244 Section 6 References 244

Sub-Section 1 Primary Documentation 244 Par. 1 Statutory Legislation 244 Par. 2 Regulations 245 Par. 3 Other 247



CHARTER 7 France Arnaud Idiart & Marion Ringot 249


Sub-Section 1 Overall Philosophy 253 Par. 1 Export Control Regime for Military Goods 253 Par. 2 Export Control Regime for Dual-Use Goods 253 Par. 3 Military and Dual-Use Services 253 Par. 4 Process to Be Followed by Exporters According to the French

Control Regime 254 Sub-Section 2 Historical Outlook 254

Par. 1 Military Goods 254 Par. 2 Dual-Use Goods 255

Sub-Section 3 Participation in International Regimes 255 Par. 1 Treaties and Regimes Dealing with Specific Items and

Technologies 256 Par. 2 Treaties Dealing with Specific Areas 258

Section 4 Control Regime 260 Sub-Section 1 Military Goods and Services 260

Par. 1 Overall Presentation 260 Sub-Par. 1 Requirements Prior to Any Import/Export

(i.e., Manufacturing Stage) 260

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Sub-Par. 2 Requirements at the Import/Export Stage 262 Sub-Par. 3 Services 265 Sub-Par. 4 Persons/Deemed Export 265

Par. 2 Control Lists 265 Par. 3 Licensing and Enforcement Authorities 266

Sub-Par. 1 As Regards Requirements Preliminary to Any Specific Import/Export (i.e., Manufacturing Stage) 266

Sub-Par. 2 At the Import/Export Stage 267 Sub-Par. 3 Export Control Regime Procedure Chart 268

Par. 4 Sanctions for Non-compliance and Recourses of the Importer/Exporter 269

Sub-Par. 1 Sanctions Contained in the CoD 269 Sub-Par. 2 Sanctions Provided for in Customs Related Regulations 270 Sub-Par. 3 Criminal Code 270 Sub-Par. 4 Public Procurement Code 271


Sub-Par. 1 Requirements Prior to Any Specific Import/Export (e.g., Manufacturing Phase) 272

Sub-Par. 2 Requirements at the Import/Export Stage 273 Par. 2 Control Lists 277 Par. 3 Licensing and Enforcement Authorities 277 Par. 4 Sanctions for Non-compliance 282

Section 5 Specificities of the Regime/Space-Related Provisions 283 Sub-Section 1 Specificities of the Control Regime 283

Par. 1 Obligation to Notify Certain Exports to the National Institute of Industrial Property 283

Par. 2 Specific Sanctions for Non-compliance 283 Sub-Section 2 Space-Related Provisions in the Control Regime 283

Section 6 Sanctions and Embargoes to Third Countries 285 Sub-Section 1 Participation of France to Embargoes or Other Related

Sanctions 285 Sub-Section 2 Regime of the Embargo or Related Sanctions in France 287


Sub-Section 1 Primary Documentation 289 Par. 1 Statutory Legislation 289

Sub-Par. 1 Relating to the Export and Import Control Regime on Military Goods and 'Assimilated Goods' 289

Sub-Par. 2 Relating to the Export Control Regime on Dual-Use Goods and Technology 289

Par. 2 Regulations 289

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Sub-Par. 1 Relating to Classification, Management, Export and Import Control Regime of Defence Related Goods, War Weapons/Products and Assimilated Products and Technology 289

Sub-Par. 2 Relating to the Export Control Regime of Dual-Use Goods and Technology 292

Par. 3 Other 293 Sub-Par. 1 Military Goods 293 Sub-Par. 2 Dual-Use Goods and Technology 293

Par. 4 Annexes - Copies of Documents of Practica! Use to the Importer/Exporter 293

Sub-Section 2 Secondary Documentation 294 Par. 1 Internet Sites 294

Sub-Par. 1 Legislation and Regulations 294 Sub-Par. 2 Miscellaneous 294

Par. 2 Paper Publications 294 Section 9 Useful Information 295

Sub-Section 1 Licensing and Enforcement Authorities Contact Details 295 Par. 1 Military Goods Exports 295 Par. 2 Dual-Use Goods and Technology 295 Par. 3 Miscellaneous 296

Sub-Section 2 Other 296

CHARTER 8 Germany Henrik Brethauer 297


Sub-Section 1 Regime Overall Philosophy 300 Par. 1 Principle 1: 'Free Trade' 300 Par. 2 Principle 2: 'Protection of Security and External Interests' 300 Par. 3 Principle 3: 'Export Control Is the Responsibility of the Top

Management' 301 Sub-Section 2 Historical Outlook 301

Par. 1 The National Elements 301 Par. 2 The European Elements 302

Sub-Section 3 Participation to International Regimes 303 Par. 1 Treaties and Regimes Dealing with Specific Items and


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Par. 1 Overall Presentation 306 Sub-Par. 1 Requirements Prior to Any Specific Import/Export

(i.e., Construction Phase) 306 Sub-Par. 2 Requirements at the Import and/or Export Stages 306


Sub-Par. 1 Application for and Granting of Licences Regarding Export and Brokering of Military Goods 309

Sub-Par. 2 Application for and Granting of Licences Regarding Activities with War Weapons (KWKG) 311

Par. 4 Compliance Review/Enforcement Authorities 312 Par. 5 Sanctions and the Recourses of the Importer/Exporter 312


Sub-Par. 1 Requirements Prior to Any Specific Import/Export (i.e., Construction Phase) 313

Sub-Par. 2 Requirements at the Import and/or Export Stages 313 Par. 2 Control Lists 314 Par. 3 Licensing and Enforcement Authorities 315 Par. 4 Sanctions and the Recourses of the Importer/Exporter 317


Section 6 Sanctions and Embargoes 317 Sub-Section 1 Participation of Germany to Embargoes or Other Related

Sanctions 317 Sub-Section 2 Regime of the Embargoes or Related Sanctions in Germany 319

Section 7 List of Acronyms 320 Section 8 References 321

Sub-Section 1 Primary Documentation 321 Par. 1 Statutory Legislation 321 Par. 2 Regulations 321 Par. 3 Annexes - Copies of Documents of Practical Use to the

Importer/Exporter 322 Par. 4 Other 322



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CHARTER 9 India Anand Prasad & Samsuddha Majumder 325


Sub-Section 1 Overall Philosophy 327 Sub-Section 2 Historical Outlook 328 Sub-Section 3 Participation to International Regimes 331






Sub-Par. 1 Sanctions 340 Sub-Par. 2 Recourses 340



Sub-Par. 2 Requirements at the Import and/or Export Stages 342 Sub-Par. 3 Control Lists 343 Sub-Par. 4 Licensing and Enforcement Authorities 343 Sub-Par. 5 Sanctions and Recourses of the Importer/Exporter 343

Section 5 Specificities/ Space Related Provisions 343 Sub-Section 1 Specificities of the Control Regime 343 Sub-Section 2 Space-Related Provisions in the Control Regime 344

Section 6 Sanctions and Embargos 344 Sub-Section 1 Participation of India to Embargos or Other Related

Sanctions 344 Section 7 List of Acronyms 345 Section 8 References 347

Sub-Section 1 Primary Documentation 347 Par. 1 Statutory Legislation 347 Par. 2 Regulations/ Orders/ Notifications 347

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Par. 3 Annexes - Copies of Documents of Practical Use to the Importer/Exporter 347



CHARTER 10 Israel Doron Hindin 351


Sub-Section 1 Regime Overall Philosophy 353 Par. 1 Export Control Regime for Military Goods 354 Par. 2 Export Control Regime for Dual-Use Goods 355

Sub-Section 2 Historical Outlook 355 Sub-Section 3 Participation to International Regimes 358




Sub-Par. 1 362 Sub-Par. 2 Requirements Prior to Any Specific Import/Export

(i.e., Construction Phase) 364 Sub-Par. 3 Requirements at the Import and/or Export Stages 366

Par. 2 Control Lists 368 Sub-Par. 1 Israel's Munitions List 368 Sub-Par. 2 Dual-Use Equipment for Defence End-Users or End-Uses 369 Sub-Par. 3 Missile Equipment 369

Par. 3 Licensing and Enforcement Authorities 369 Par. 4 Sanctions and the Recourses of the Importer/Exporter 372



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Section 5 Specificities/Space-Related Provisions 378 Sub-Section 1 Specificities of the Control Regime 378

Par. 1 Encryption Control in Israel 378 Par. 2 Corporate Matters 380 Par. 3 Anti-Boycott Legislation 380

Sub-Section 2 Space-Related Provisions in the Control Regime 381 Section 6 Sanctions and Embargoes 381

Sub-Section 1 Participation of Israel to Embargoes or Other Related Sanctions 381

Sub-Section 2 Regime of the Embargoes or Related Sanctions in Israel 381 Par. 1 Enemy states and Designated Unlawful Entitles 381


Sub-Section 1 Primary Documentation 383 Par. 1 Statutory Legislation 383 Par. 2 Regulations 384 Par. 3 Annexes - Copies of Documents of Practica! Use to the


Par. 1 Internet Sites 385 Section 9 Useful Information 386

Sub-Section 1 Enforcement Authorities Contact Details 386 Sub-Section 2 Other 386

CHAPTER 11 Italy Stefano Tosi & Anna Chiara Mazza 387




Par. 2 Treaties Dealing with Specific Regions 393 Section 4 Control Regime 394



Sub-Par. 2 Requirements at the Import and/or Export Stage 396 Par. 2 Sanctions 405

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Sub-Par. 1 Requirements Prior to Any Specific Export (i.e., Manufacturing Phase) 415

Sub-Par. 2 Requirements at the Export Stage 415 Par. 2 The 'Catch-All' Clause 419 Par. 3 Brokering Services 419 Par. 4 Customs Procedures 420 Par. 5 Sanctions and Recourses of the Importer/Exporter 425

Section 5 Specificities/Space-Related Provisions 426 Sub-Section 1 Details of the Control Regime 426

Par. 1 Restricted Information 426 Par. 2 Obligations on Companies 426

Sub-Par. 1 Transport of Arms within the Italian Territory 426 Sub-Section 2 Space-Related Provisions in the Control Regime 426

Section 6 Sanctions and Embargoes 427 Sub-Section 1 Participation of Italy to Embargoes or Other Related

Sanctions 427 Sub-Section 2 Regime of the Embargoes or Related Sanctions in Italy 427


Sub-Section 1 Primary Documentation 428 Par. 1 Statutory Legislation 428 Par. 2 Regulations, Decrees, Directives and Procedures 428 Par. 3 Annexes - Copies of Documents of Practical Use to the




CHARTER 12 Japan Shinji Itoh & Takehiro Fujita 431



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Sub-Section 1 Military Goods and Services 439 Par. I Overall Presentation 439



Sub-Par. 1 Criminal Penalties 447 Sub-Par. 2 Administrative Sanction 448





Section 6 Sanctions and Embargoes 452 Sub-Section 1 Participation of Japan to Embargoes or Other Related

Sanctions 452 Sub-Section 2 Regime of the Embargoes or Related Sanctions in Japan 457


Sub-Section 1 Primary Documentation 459 Par. 1 Statutory Legislation 459 Par. 2 Annexes - Copies of Documents of Practical Use to the




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CHARTER 13 Russian Federation lliya Zotkin, Ivan Davydov & Clemence Bastien 465


Sub-Section 1 Overall Philosophy 466 Sub-Section 2 Historical Outlook 466

Par. 1 Export Control Regimes within the Borders of the Former Soviet Union 466

Par. 2 Legislative Changes in the Russian Federation 467 Sub-Section 3 Participation in International Regimes 468





Sub-Par. 2 Requirements at the Import and/or Export Stage 473 Par. 2 Control Lists 475 Par. 3 Licensing and Enforcement Authorities 475 Par. 4 Sanctions, and Recourses Available to the Importer/Exporter 476

Sub-Par. 1 Export Control and the Criminal Code 476 Sub-Par. 2 Export Control and Administrative Penalties 477



Sub-Par. 2 Requirements at the Import and/or Export Stage 479 Par. 2 Control Lists 482 Par. 3 Licensing and Enforcement Authorities 483 Par. 4 Sanctions and Recourses Available to the Importer/Exporter 483

Section 5 Specificities/Space-Related Provisions 486 Sub-Section 1 Specificities of the Control Regime 486

Par. 1 Military Goods and Services 486 Sub-Par. 1 Government Intermediary 486 Sub-Par. 2 Developers and Manufacturers of Weapons and Military

Products 486 Sub-Par. 3 Russian Technologies State Corporation 487

Par. 2 Re exports and Temporary Exports 487 Par. 3 Intellectual Property and Patent Rights 487

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Sub-Par. 1 FAPRID and the Licensing Process 487 Sub-Par. 2 Patent Regulation 488

Par. 4 Means of Submitting Licence Applications 488 Par. 5 Effectiveness of the Implementation of the Russian Export

Control Rules 488 Sub-Section 2 Space-Related Provisions in the Control Regime 489

Par. 1 Roles of the Licensing and Enforcement Authorities 489 Par. 2 Details of the Regime Relating to Space Activities 489

Section 6 Sanctions and Embargoes 489 Sub-Section 1 Participation of the Russian Federation in Embargoes

and Other Related Sanctions 489 Sub-Section 2 Regime of the Embargoes and Related Sanctions in the

Russian Federation 493 Section 7 List of Abbreviations 493 Section 8 References 494





CHARTER 14 Spain David de Terdn 499






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Sub-Par. 2 Requirements at the Import/Export Stage 507 Par. 2 Control Lists 515 Par. 3 Licensing and Enforcement Authorities 516 Par. 4 Sanctions and Recourses of the Importer/Exporter 518

Sub-Par. 1 Criminal and Civil Sanctions 518 Sub-Par. 2 Administrative Sanctions 519 Sub-Par. 3 Rectification of the Export or Import Licences 520



Sub-Par. 2 Requirements at the Import/Export Stage 521 Par. 2 Control Lists 521 Par. 3 Licensing and Enforcement Authorities 522 Par. 4 Sanctions and Recourses of the Importer/Exporter 523



Sub-Section 1 Primary Documentation 524 Par. 1 Statutory Legislation 524 Par. 2 Regulations 524 Par. 3 Other 525 Par. 4 Annexes - Copies of Documents of Practical Use to the




CHARTER 15 Sweden Mattias Hedwall 529


Sub-Section 1 Regime Overall Philosophy 531 Par. 1 Export Control Regime for Military Goods 531

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Par. 2 Export Control Regime for Dual-Use Goods 532 Par. 3 Military Services 532 Par. 4 Dual-Use Services 533 Par. 5 Process to Be Followed by Exporters According to the Swedish

Control Regime 533 Sub-Section 2 Historical Outlook 533

Par. 1 Military Goods 533 Par. 2 Dual-Use Goods 534

Sub-Section 3 Participation in International Regimes 534 Par. 1 Treaties and Regimes Dealing with Specific Items and




(i.e., Construction Phase) 537 Sub-Par. 2 Requirements at the Import and/or Export Stage 539 Sub-Par. 3 Military Services 540 Sub-Par. 4 Persons 541


Sub-Par. 1 Requirements Prior to Any Specific Export (i.e., Manufacturing Stage) 542

Sub-Par. 2 Prior to the Export Stage 542 Sub-Par. 3 At the Export Stage 542 Sub-Par. 4 Control Regime Procedure Chart 543

Par. 4 Sanctions and the Recourses of The Importer/Exporter 543 Sub-Section 2 Dual-Use Goods and Services 544


(i.e., Construction Phase) 545 Sub-Par. 2 Requirements at the Import and/or Export Stage 545 Sub-Par. 3 Services 549 Sub-Par. 4 Persons 549


Sub-Par. 1 Requirements Preliminary to Any Specific Export (i.e., Manufacturing Stage) 550

Sub-Par. 2 Prior to the Export Stage 550 Sub-Par. 3 At the Export Stage 550 Sub-Par. 4 General Dual-Use Control Regime Procedure Chart 551

Par. 4 Sanctions and the Recourses of the Importer/Exporter 553 Section 5 Specificities/Space-Related Provisions 553

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Section 6 Sanctions and Embargoes 553 Sub-Section 1 Participation of Sweden in Embargoes or Other Related

Sanctions 553 Sub-Section 2 Regime of the Embargoes or Related Sanctions in Sweden 554


Sub-Section 1 Primary Documentation 555 Par. 1 Statutory Legislation 555 Par. 2 Subordinate Legislation 556 Par. 3 Annexes - Copies of Documents of Practica] Use to the




CHARTER 16 United Kingdom David Lorello 559


Sub-Section 1 Regime Overall Philosophy 560 Sub-Section 2 Historical Outlook 562 Sub-Section 3 Participation to International Regimes 565


Par. 2 Treaties Dealing with Specific Areas 567 Section 4 Control Regimes 568


Sub-Par. 1 Requirements Prior to Any Specific Import/Export (i.e., Construction Phase) 569




Par. 2 Control Lists 583

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Par. 3 Licensing and Enforcement Authorities 584 Par. 4 Sanctions and the Recourses of the Importer/Exporter 585

Sub-Section 3 Radioactive Sources 586 Section 5 Specificities/Space-Related Provisions 586

Sub-Section 1 Specificities of the Control Regime 586 Par. 1 Extraterritorial Application 586 Par. 2 Confidentiality of Licensing Decisions 587

Sub-Section 2 Space-Related Provisions in the Control Regime 588 Section 6 Sanctions and Embargoes 588

Sub-Section 1 Participation of UK to Embargoes or Other Related Sanctions 588

Sub-Section 2 Regime of the Embargoes or Related Sanctions in the UK 589 Par. 1 UK Sanctions Legislation 589 Par. 2 Jurisdictional Reach of the UK Sanctions 590 Par. 3 Application of UK Financial Services Legislation to

UK Sanctions 590 Par. 4 Administration and Enforcement of the UK Sanctions 591

Sub-Section 3 Participation of Overseas Territories 592 Section 7 List of Acronyms 593 Section 8 References 594

Sub-Section 1 Primary Documentation 594 Par. 1 Statutory Legislation 594 Par. 2 Regulations 594

Sub-Section 2 Secondary Documentation 595 Par. 1 Internet Sites 595 Par. 2 Paper Publications 595 Par. 3 Annexes - Copies of Documents of Practical Use to the

Importer/Exporter 596 Section 9 Useful Information 596


CHARTER 17 United States Corinne Kaplan, Candace Goforth & Julia Mason 599


Sub-Section 1 Regime Overall Philosophy 603 Sub-Section 2 Historical Overview 605 Sub-Section 3 The US Export Control Reform 608 Sub-Section 4 Participation in International Regimes 612


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Par. 2 Treaties Dealing with Specific Areas 615 Section 4 Control Regimes 617

Sub-Section 1 Military Goods and Services - IT AR 617 Par. 1 Overall Presentation 617 Par. 2 Control List 620

Sub-Section 2 Dual-Use Goods and Services - EAR 622 Par. 1 Overall Presentation 622 Par. 2 Control List 623

Sub-Section 3 Implementation 628 Par. 1 Jurisdiction and Classification 628 Par. 2 ECR Transition Period 636 Par. 3 Requirements Prior to Any Specific Import/Export 638 Par. 4 Control of Technical Data and Technology 640 Par. 5 Exemptions and Exceptions 643 Par. 6 Dual and Third Country Nationais - Deemed Export 646 Par. 7 Contract Labour 649 Par. 8 Re-Export 652 Par. 9 De Minimis 655 Par. 10 Licensing Authorities 658 Par. 11 Enforcement Authorities 659 Par. 12 Sanctions and the Recourses of the Importer/Exporter 660

Section 5 Specificities/Space-Related Provisions 661 Sub-Section 1 Specificities of the Space Control Regime 661 Sub-Section 2 Space-Related Provisions in the Control Regime 663

Section 6 Sanctions and Embargoes 667 Sub-Section 1 Participation of U.S. to Embargoes or Other Related

Sanctions 667 Sub-Section 2 Regime of the Embargoes or Related Sanctions in the US 667

Section 7 Conclusion 668 Section 8 List of Acronyms 669 Section 9 References 671




Sub-Section 1 Authorities Contact Details 675 Sub-Section 2 Other Useful Information 676

Index 679

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