Table Of Contents:

List of Contributors v
Foreword to the Second Edition xxi

Chapter 1 Overall Introduction 1(14)

Yann Aubin

Arnaud Idiart

Section 1 Scope of the Export Control Handbook 2(2)

Sub-Section 1 A Particular Focus on Military and Dual-Use Goods and Services 2(1)

Sub-Section 2 Some Purposefully Excluded Elements 3(1)

Section 2 Terminology and Concepts Used 4(2)

Sub-Section 1 What Is an `Export'? 4(1)

Sub-Section 2 What Are `Export Controls'? 4(2)

Section 3 Methodology Used 6(1)

Sub-Section 1 Export Control Laws and Regulations Handbook Overall Content 6(1)

Sub-Section 2 Export Control Laws and Regulations Handbook Chapters Content 6(1)

Section 4 Current and Future Challenges 7(7)

Sub-Section 1 Some Misconceptions about What Export Controls Really Are 8(1)

Sub-Section 2 The Increasing Importance of Export Controls 9(1)

Par. 1 The Reasons 9(1)

Par. 2 The Consequences 10(1)

Sub-Section 3 The Increasing Complexity and Difficulty to Control/Comply 11(1)

Par. 1 Complexity 11(1)

Par. 2 Difficulty to Control and to Comply 11(3)

Section 5 Notice 14(1)

Chapter 2 International Regimes 15(68)

Philippe Achilleas

Section 1 Introduction 15(2)

Section 2 Regimes Concerning Materials 17(40)

Sub-Section 1 Weapons of Mass Destruction 18(1)

Par. 1 Nuclear 18(13)

Par. 2 Biological and Chemical Weapons 31(9)

Sub-Section 2 Missile Technology 40(1)

Par. 1 MTCR Guidelines 40(3)

Par. 2 The Hague International Code of Conduct 43(2)

Sub-Section 3 Conventional Arms and Dual-Use Goods and Technologies 45(1)

Par. 1 General Documents 45(4)

Par. 2 Special Documents 49(8)

Section 3 Regimes Relating to Zones 57(21)

Sub-Section 1 International Zones 57(1)

Par. 1 Earth 58(5)

Par. 2 Outer Space 63(4)

Sub-Section 2 Nuclear-Weapons-Free Zones 67(1)

Par. 1 Latin America and the Caribbean 67(3)

Par. 2 Treaty of Rarotonga 70(1)

Par. 3 South East Asia 71(2)

Par. 4 Africa 73(3)

Par. 5 Central Asia 76(2)

Section 4 List of Abbreviations 78(1)

Section 5 Useful Information 78(5)

Chapter 3 China 83(22)

Jun Wei

Steven N. Robinson

Wen Jin

Section 1 Executive Summary 83(1)

Section 2 Introduction: Elements of Context 84(5)

Sub-Section 1 Overall Philosophy 84(1)

Sub-Section 2 Historical Outlook 84(1)

Sub-Section 3 Participation in International Regimes 84(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 85(2)

Par. 2 Treaties Dealing with Specific Areas 87(2)

Section 3 Control Regime 89(11)

Sub-Section 1 Military Goods and Services 89(1)

Par. 1 Overall Presentation 89(4)

Par. 2 Control Lists 93(1)

Par. 3 Licensing and Enforcement Authorities 93(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 93(2)

Sub-Section 2 Dual-Use Goods and Services 95(1)

Par. 1 Overall Presentation 95(2)

Par. 2 Control Lists 97(1)

Par. 3 Licensing and Enforcement Authorities 98(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 99(1)

Section 4 Specificities/Space-Related Provisions 100(1)

Sub-Section 1 Specificities of the Control Regime 100(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 100(1)

Section 5 List of Abbreviations 100(1)

Section 6 References 101(2)

Section 7 Useful Information 103(2)

Chapter 4 The European Union 105(22)

Yann Aubin

Arnaud Idiart

Aude de Clercq

Laurent Papiernik

Section 1 Executive Summary 105(1)

Section 2 Introduction: Elements of Context 106(4)

Sub-Section 1 Overall Philosophy 106(1)

Sub-Section 2 Historical Outlook 107(1)

Par. 1 Conventional Armaments 107(1)

Par. 2 Dual-Use Exports 108(2)

Sub-Section 3 Participation in International Regimes 110(1)

Section 3 Control Regime 110(12)

Sub-Section 1 Military Goods and Services 110(1)

Par. 1 Overall Presentation 110(1)

Par. 2 Increased Discussion and Cooperation on Conventional Armaments in Europe 111(3)

Sub-Section 2 Dual-Use Goods and Services 114(1)

Par. 1 Overall Presentation 114(2)

Par. 2 Principles Underlying the Regime 116(6)

Section 4 List of Abbreviations 122(1)

Section 5 References 123(3)

Section 6 Useful Information 126(1)

Chapter 5 France 127(34)

Arnaud Idiart

Virgile Delaboudiniere

Section 1 Executive Summary 127(3)

Section 2 Introduction: Elements of Context 130(7)

Sub-Section 1 Overall Philosophy 130(1)

Par. 1 Export Control Regime for Military Goods 130(1)

Par. 2 Export Control Regime for Dual-Use Goods 130(1)

Par. 3 Military and Dual-Use Services 131(1)

Par. 4 Process to Be Followed by Exporters According to the French Control Regime 131(1)

Sub-Section 2 Historical Outlook 131(1)

Par. 1 Military Goods 131(1)

Par. 2 Dual-Use Goods 132(1)

Sub-Section 3 Participation in International Regimes 132(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 133(2)

Par. 2 Treaties Dealing with Specific Areas 135(2)

Section 3 Control Regime 137(16)

Sub-Section 1 Military Goods and Services 137(1)

Par. 1 Overall Presentation 137(4)

Par. 2 Control Lists 141(1)

Par. 3 Licensing and Enforcement Authorities 142(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 143(3)

Sub-Section 2 Dual-Use Goods and Services 146(1)

Par. 1 Overall Presentation 146(3)

Par. 2 Control Lists 149(1)

Par. 3 Licensing and Enforcement Authorities 150(3)

Par. 4 Sanctions 153(1)

Section 4 Specificities of the Regime/Space-Related Provisions 153(1)

Sub-Section 1 Specificities of the Control Regime 153(1)

Par. 1 Obligation to Notify Certain Exports to the National Institute of Industrial Property 153(1)

Par. 2 Specific Sanctions 153(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 154(1)

Section 5 List of Abbreviations 154(1)

Section 6 References 155(4)

Section 7 Useful Information 159(2)

Chapter 6 Germany 161(26)

Richard Hesse

Wolfgang Sosic

Section 1 Executive Summary 161(2)

Section 2 Introduction: Elements of Context 163(6)

Sub-Section 1 Overall Philosophy 163(1)

Par. 1 Principle 1: `Free Trade' 163(1)

Par. 2 Principle 2: `Protection of Security and External Interests' 163(1)

Par. 3 Principle 3: `Export Control Is the Responsibility of the Top-Management' 164(1)

Sub-Section 2 Historical Outlook 164(1)

Par. 1 The National Elements 164(1)

Par. 2 The European Elements 165(1)

Sub-Section 3 Participation in International Regimes 166(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 166(2)

Par. 2 Treaties Dealing with Specific Areas 168(1)

Section 3 Control Regime 169(12)

Sub-Section 1 Military Goods and Services 169(1)

Par. 1 Overall Presentation 169(4)

Par. 2 Control Lists 173(1)

Par. 3 Licensing and Enforcement Authorities 173(3)

Par. 4 Sanctions and Recourses of the Importer/Exporter 176(1)

Sub-Section 2 Dual-Use Goods and Services 176(1)

Par. 1 Overall Presentation 176(3)

Par. 2 Control Lists 179(1)

Par. 3 Licensing and Enforcement Authorities 179(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 179(2)

Section 4 Specificities/Space-Related Provisions 181(1)

Sub-Section 1 Responsibility for the Export Control Management/Officer Responsible for Exports 181(1)

Sub-Section 2 Production and Transfer of War Weapons 181(1)

Sub-Section 3 Compliance Review of German Companies 181(1)

Par. 1 Export Control Compliance Review 181(1)

Par. 2 War Weapons Compliance Review 182(1)

Sub-Section 4 Confidentiality of Licenses 182(1)

Section 5 List of Abbreviations 182(1)

Section 6 References 183(1)

Section 7 Useful Information 184(3)

Chapter 7 India 187(24)

Anand Prasad

Theodor Sheykov

Section 1 Executive Summary 187(1)

Section 2 Introduction: Elements of Context 188(9)

Sub-Section 1 Overall Philosophy 188(2)

Sub-Section 2 Historical Outlook 190(2)

Sub-Section 3 Participation to International Regimes 192(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 193(2)

Par. 2 Treaties Dealing with Specific Areas 195(2)

Section 3 Control Regime 197(9)

Sub-Section 1 Military Goods and Services 198(1)

Par. 1 Overall Presentation 199(3)

Par. 2 Control Lists 202(1)

Par. 3 Licensing and Enforcement Authorities 202(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 203(1)

Sub-Section 2 Dual-Use Goods and Services 204(1)

Par. 1 Overall Presentation 205(1)

Par. 2 Control Lists 206(1)

Par. 3 Licensing and Enforcement Authorities 206(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 206(1)

Section 4 Specificities/Space-Related Provisions 206(1)

Sub-Section 1 Specificities of the Control Regime 206(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 207(1)

Section 5 List of Abbreviations 207(1)

Section 6 References 208(1)

Section 7 Useful Information 209(2)

Chapter 8 Italy 211(26)

Massimo Viscogliosi

Fabio Goj

Section 1 Executive Summary 211(1)

Section 2 Introduction: Elements of Context 212(5)

Sub-Section 1 Overall Philosophy 212(1)

Sub-Section 2 Historical Outlook 212(1)

Sub-Section 3 Participation in International Regimes 213(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 213(2)

Par. 2 Treaties Dealing with Specific Regions 215(2)

Section 3 Control Regime 217(16)

Sub-Section 1 Military Goods and Services 217(1)

Par. 1 Overall Presentation 217(7)

Par. 2 Control Lists 224(1)

Par. 3 Licensing and Enforcement Authorities 225(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 226(2)

Sub-Section 2 Dual-Use Goods and Services 228(1)

Par. 1 Overall Presentation 228(3)

Par. 2 Control Lists 231(1)

Par. 3 Licensing and Enforcement Authorities 231(2)

Par. 4 Sanctions and Recourses of the Importer/Exporter 233(1)

Section 4 Specificities/Space-Related Provisions 233(1)

Sub-Section 1 Details of the Control Regime 233(1)

Par. 1 Restricted Information 233(1)

Par. 2 Obligations on Companies 233(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 234(1)

Section 5 List of Abbreviations 234(1)

Section 6 References 235(1)

Section 7 Useful Information 236(1)

Chapter 9 Japan 237(26)

Yasufumi Shiroyama

Mika Yamanka

Section 1 Executive Summary 237(2)

Section 2 Introduction: Elements of Context 239(6)

Sub-Section 1 Overall Philosophy 239(1)

Sub-Section 2 Historical Outlook 239(1)

Sub-Section 3 Participation in International Regimes 240(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 241(2)

Par. 2 Treaties Dealing with Specific Areas 243(2)

Section 3 Control Regime 245(12)

Sub-Section 1 Military Goods and Services 245(1)

Par. 1 Overall Presentation 245(4)

Par. 2 Control Lists 249(1)

Par. 3 Licensing and Enforcement Authorities 249(3)

Par. 4 Sanctions and Recourses of the Importer/Exporter 252(1)

Sub-Section 2 Dual-Use Goods and Services 253(1)

Par. 1 Overall Presentation 253(2)

Par. 2 Control Lists 255(1)

Par. 3 Licensing and Enforcement Authorities 256(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 256(1)

Section 4 Specificities/Space-Related Provisions 257(1)

Sub-Section 1 Specificities of the Control Regime 257(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 257(1)

Section 5 List of Abbreviations 257(1)

Section 6 References 258(1)

Section 7 Useful Information 259(4)

Chapter 10 Russian Federation 263(28)

Iliya Zotkin

Clemence Bastien

Gregory Mardian

Section 1 Executive Summary 263(1)

Section 2 Introduction: Elements of Context 264(6)

Sub-Section 1 Overall Philosophy 264(1)

Sub-Section 2 Historical Outlook 264(1)

Par. 1 Export Control Regimes within the Borders of the Former Soviet Union 264(1)

Par. 2 Legislative Changes in the Russian Federation 264(1)

Sub-Section 3 Participation in International Regimes 265(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 266(2)

Par. 2 Treaties Dealing with Specific Areas 268(2)

Section 3 Control Regime 270(11)

Sub-Section 1 Military Goods and Services 270(1)

Par. 1 Overall Presentation 270(2)

Par. 2 Control Lists 272(1)

Par. 3 Licensing and Enforcement Authorities 272(1)

Par. 4 Sanctions, and Recourses Available to the Importer/Exporter 273(2)

Sub-Section 2 Dual-Use Goods and Services 275(1)

Par. 1 Overall Presentation 275(4)

Par. 2 Control Lists 279(1)

Par. 3 Licensing and Enforcement Authorities 279(1)

Par. 4 Sanctions and Recourses Available to the Importer/Exporter 280(1)

Section 4 Specificities/Space-Related Provisions 281(4)

Sub-Section 1 Specificities of the Control Regime 281(1)

Par. 1 Military Goods and Services 281(2)

Par. 2 Dual-Use Goods and Services 283(1)

Par. 3 Intellectual Property and Patent Rights 283(1)

Par. 4 Means of Submitting License Applications 284(1)

Par. 5 Re-exports and Temporary Exports 284(1)

Par. 6 Effectiveness of the Implementation of the Russian Export Control Rules 284(1)

Sub-Section 2 Space-related Provisions in the Control Regime 284(1)

Par. 1 Roles of the Licensing and Enforcement Authorities 284(1)

Par. 2 Details of the Regime Relating to Space Activities 285(1)

Section 5 List of Abbreviations 285(1)

Section 6 References 286(2)

Section 7 Useful Information 288(3)

Chapter 11 Spain 291(26)

David de Teran

Isabela Ardalan

Section 1 Executive Summary 291(1)

Section 2 Introduction: Elements of Context 292(6)

Sub-Section 1 Overall Philosophy 292(1)

Sub-Section 2 Historical Outlook 293(1)

Sub-Section 3 Participation in International Regimes 294(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 294(2)

Par. 2 Treaties Dealing with Specific Areas 296(2)

Section 3 Control Regime 298(14)

Sub-Section 1 Military Goods and Services 298(1)

Par. 1 Overall Presentation 298(8)

Par. 2 Control Lists 306(1)

Par. 3 Licensing and Enforcement Authorities 306(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 307(4)

Sub-Section 2 Dual-Use Goods and Services 311(1)

Par. 1 Overall Presentation 311(1)

Par. 2 Control Lists 311(1)

Par. 3 Licensing and Enforcement Authorities 312(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 312(1)

Section 4 Specificities/Space-Related Provisions 312(2)

Sub-Section 1 Specificities of the Control Regime 312(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 312(2)

Section 5 List of Abbreviations 314(1)

Section 6 References 315(1)

Section 7 Useful Information 316(1)

Chapter 12 United Kingdom 317(34)

Farouk Saeed

Alexandre Gelbard

Section 1 Executive Summary 317(1)

Section 2 Introduction: Elements of Context 318(11)

Sub-Section 1 Overall Philosophy 318(1)

Sub-Section 2 Historical Outlook 319(5)

Sub-Section 3 Participation in International Regimes 324(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 325(3)

Par. 2 Treaties Dealing with Specific Areas 328(1)

Section 3 Control Regime 329(12)

Sub-Section 1 Military Goods and Services 329(1)

Par. 1 Overall Presentation 329(5)

Par. 2 Control Lists 334(4)

Par. 3 Licensing and Enforcement Authorities 338(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 338(1)

Sub-Section 2 Dual-Use Goods and Services 339(1)

Par. 1 Overall Presentation 339(1)

Par. 2 Control Lists 340(1)

Par. 3 Licensing and Enforcement Authorities 341(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 341(1)

Section 4 Specificities/Space-Related Provisions 341(3)

Sub-Section 1 Specificities of the Control Regime 341(1)

Par. 1 Relations with the US 341(2)

Par. 2 Extraterritorial Application of the UK Export Control Laws and Regulations 343(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 343(1)

Section 5 List of Abbreviations 344(1)

Section 6 References 345(2)

Section 7 Useful Information 347(4)

Chapter 13 United States of America 351(86)

Dennis J. Burnett

Section 1 Executive Summary 351(3)

Section 2 Introduction: Elements of Context 354(15)

Sub-Section 1 Overall Philosophy 354(1)

Sub-Section 2 Historical Background 355(1)

Par. 1 Munitions Export Controls 355(5)

Par. 2 Permanent Imports of Munitions 360(1)

Par. 3 Economic Embargoes and Trade Sanctions 360(2)

Par. 4 Dual-Use Equipment and Technology 362(1)

Par. 5 Sanctions against Third Countries 363(1)

Sub-Section 3 Participation in International Regimes 364(1)

Par. 1 Treaties and Regimes Dealing with Specific Items and Technologies 365(3)

Par. 2 Treaties Dealing with Specific Areas 368(1)

Section 3 Control Regime 369(53)

Sub-Section 1 Military Goods and Services 369(1)

Par. 1 Overall Presentation 369(36)

Par. 2 Control Lists 405(1)

Par. 3 Licensing and Enforcement Authorities 406(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 407(1)

Sub-Section 2 Dual-Use Goods, Exports: DoC, BIS 407(1)

Par. 1 Overall Presentation 407(14)

Par. 2 Control Lists 421(1)

Par. 3 Licensing and Enforcement Authorities 421(1)

Par. 4 Sanctions and Recourses of the Importer/Exporter 422(1)

Section 4 Specificities of the Control Regime/Current Issues and Future Challenges 422(8)

Sub-Section 1 Specificities of the Control Regime/Current Issues and Future Challenges 422(1)

Par. 1 Retransfer and Re-export Requirements 422(1)

Par. 2 Deemed Exports 423(1)

Par. 3 Extraterritorial Jurisdiction 424(1)

Par. 4 Paperless, Collaborative Work Environments 424(1)

Par. 5 Corruption of the Supply Chain 425(1)

Par. 6 Outsourcing 426(1)

Par. 7 Arms Trade with China 426(1)

Par. 8 European Community 427(1)

Par. 9 Smart Sanctions 427(1)

Par. 10 Network-Centric Warfare 428(1)

Sub-Section 2 Space-Related Provisions in the Control Regime 428(2)

Section 5 List of Abbreviations 430(2)

Section 6 References 432(2)

Section 7 Useful Information 434(3)
Index 437