Overview of Strategic Trade Control (STC) Concepts and Issues Jay P. Nash Research Fellow, Center for Policy Research (CPR) University at Albany, State.

Slides:



Advertisements
Similar presentations
ASYCUDA Overview … a summary of the objectives of ASYCUDA implementation projects and features of the software for the Customs computer system.
Advertisements

Licensing Export Control in China --Experiences and Challenges Wang Daxue Department of Arms Control and Disarmament Ministry of Foreign Affairs, China.
How to Facilitate Legitimate Trade in Export Controls ARF Export Licensing Experts Meeting 17 – 18 Nov 05.
Department of Foreign Affairs Office of United Nations and Other International Organizations Republic of the Philippines Briefing on Philippine Export.
STRATEGIC PLANNING FOR Post-Clearance Audit (PCA)
China’s Practice in Statistics of Goods for Processing By Hongman JIN Statistics Department General Administration of Customs the People’s Republic of.
Copyright © 2009 South-Western Legal Studies in Business, a part of South-Western Cengage Learning. CHAPTER 13 The Regulation of Exports.
24 TH ANNUAL ECCO TRAINING APRIL 27,2012 TRENDS IN EXPORT ENFORCEMENT Office of Export Enforcement U.S. Department of Commerce Julie Salcido Special Agent.
Non-Tariff Barriers in the Trade of Transport Services – Final Report TPT 02/2002T Steering Committee on More Competitive Transportation (including infrastructure)
Legal Issues and Export Controls Career-Ending Opportunities and Ways to Get Fitted for an Orange Jumpsuit David Lombard Harrison, Associate Vice President.
Carnegie Mellon Export Controls & Universities. Carnegie Mellon Introduction  Federal laws restricting the exports of goods and technology have been.
ITIC PERSPECTIVE ON THE EFFECTIVE IMPLEMENTATION OF THE FCTC PROTOCOL ELIZABETH ALLEN ITIC – JULY 2014.
ICP Implementation in Japan / Industry Seminar in Malaysia (Nov. 17, 2011) ICP Implementation in Japan / Industry Seminar in Malaysia (Nov ) ICP.
Do You Need an Export License? Purpose of Export Controls To serve the national security, foreign policy, nonproliferation, and short.
WORLD MEETING OF CUSTOMS LAW BRUSSELS 2013
STRATEGIC PLANNING FOR Post-Clearance Audit (PCA)
1 Ambassador Philip Griffiths Head of Secretariat Moscow State University for International Relations (MGIMO) 24 April 2013.
Bureau of Industry and Security U.S. Department of Commerce Dual-Use Export Controls and the Commerce Control List.
Attorney Advertising. Prior results do not guarantee a similar outcome. European Export Control Update Naboth van den Broek Boston, 31 May 2012.
Export Regulations and Tax Incentives Section VI.
Modernizing Export Controls ABA International Law Section Matthew S. Borman Acting Assistant Secretary for Export Administration Bureau of Industry and.
Export Control Basics James E. Peterson, Ph.D. Associate Vice Chancellor for Research Office of Sponsored Research.
PAMS Export Control Page UTHSC Campus –Wide Business Managers Meeting May 17, 2012.
Intangible Technology Transfer and Catch-All Controls June 18, 2003 Timothy Clinton Export Policy Analyst U.S. Department of Commerce.
Main Building Blocks of National Legislation: Graham Zebedee, Head, Export Control Policy Section, Foreign & Commonwealth Office, United Kingdom.
1 Security-related internal market measures on explosives FEEM AGM, Brussels, 5 June 2013 Julian Foley Desk Officer – Civil explosives and pyrotechnic.
Advice for Internal Compliance Programmes Billy Au Principal Trade Officer Head of Strategic Trade Controls Branch Trade and Industry Department The Government.
Baker & McKenzie LLP is an English limited liability partnership and is a member of Baker & McKenzie International, a Swiss Verein with member law firms.
Developed by Cool Pictures & MultiMedia PresentationsCopyright © 2004 by South-Western, a division of Thomson Learning. All rights reserved. The International,
0 Office of Export Enforcement Bureau of Industry and Security U.S. Department of Commerce.
Moving Forward With the African Dialogue Cross-Border Principles By Mary Gurure Manager, Legal Services and Compliance COMESA Competition Commission Lilongwe,
End Use and User of Ammunition AT05 Slide 1. Types of End Use Documents  End User Certificate (EUC)  Delivery Verification Certificate (DVC) AT05 Slide.
Seminar on Strengthening the Global Disarmament and Non-Proliferation Bali, 2 November 2006 Richard Ekwall Director, Department for Disarmament and Non-proliferation.
© 2013 The McGraw-Hill Companies, Inc. All rights reserved. Ch 8 Privacy Law and HIPAA.
EXPORT CONTROLS License Exclusions Eileen Nielsen Director of Sponsored Projects Compliance Office of Financial Services Harvard School of Public Health.
Department of Commerce (DOC) Department of Commerce (DOC) Bureau of Industry and Security (BIS) Bureau of Industry and Security (BIS) George H. Loh George.
SINGAPORE’S NATIONAL NON-PROLIFERATION EFFORTS Seminar on Strengthening Global Disarmament and Non-Proliferation 2 November 2006, Bali.
NATIONAL CONVENTIONAL ARMS CONTROL AMENDMENT BILL Briefing to the Portfolio Committee on Defence 12 August 2008.
Cabotage Law Republic Act No A Lecture in SEMFILA Ly, Jason.
M O N T E N E G R O Negotiating Team for the Accession of Montenegro to the European Union Working Group for Chapter 30 –External Relations Bilateral screening:
Export Controls Seminar for Western Balkans May , EU Code of Conduct on arms exports - a paradigm or a panacea ? An introduction by Nineta.
EU-Thailand Cooperation in Export Control The purpose of export controls Dr Sibylle Bauer Bangkok, April 2011.
EXBS Tracker Program: Automated Licensing System UNITED STATES DEPARTMENT OF STATE BUREAU OF INTERNATIONAL SECURITY AND NONPROLIFERATION.
Concerned Industry - How To Reach Them Werner Haider EXPORT CONTROL OF DUAL-USE ITEMS AND ARMS: INDUSTRY OUTREACH (Sofia, May 2006)
EU-Thailand Cooperation in Export Control Additional Controls.
EU-Thailand Cooperation in Export Control Key Elements of an effective Export Control System.
Overview of Department of Commerce Export Controls for Chemical and Biological Items.
THE REPUBLIC OF BULGARIA EXPORT CONTROL SYSTEM THE DEVELOPMENT OF THE BULGARIAN NATIONAL EXPORT CONTROL SYSTEM THE ROLE OF THE MINISTRY OF ECONOMY WORKING.
1 CALIN-RADU ANCUTA Export Controls Department - ANCEX MINISTRY OF FOREIGN AFFAIRS ROMANIA Romania Nuclear Power Sector Reverse Trade Mission (RTM) USA,
1 Export Control of Dual-Use Items and Arms: Industry Outreach Sofia, May, 2006 POLAND’S EXPERIENCES INDUSTRY OUTREACH and PERSONNEL TRAINING JACEK.
 The U.S. Securities and Exchange Commission (SEC) oversees the key participants in the securities world.  Concerned with promoting disclosure of important.
M O N T E N E G R O Negotiating Team for the Accession of Montenegro to the European Union Working Group for Chapter 31 – Common Foreign and Security Policy.
1 M O N T E N E G R O Negotiating Team for the Accession of Montenegro to the European Union Working Group for Chapter 29 – Customs union Bilateral screening:
M O N T E N E G R O Negotiating Team for the Accession of Montenegro to the European Union Working Group for Chapter 1 –Free movement of goods Bilateral.
Mexico’s Experiences in Establishing an Export Control System G ENERAL D IRECTORATE OF FOREIGN TRADE M INISTRY OF E CONOMY Vienna, Austria June 2016.
INITIAL ELEMENTS (1996) Elements for Objective Analysis and Advice Concerning Potentially Destabilizing Accumulations of Conventional Weapons.
National Export Control Systems: Tools to Enforce WMD Non-Proliferation Ian Anthony SIPRI.
M O N T E N E G R O Negotiating Team for the Accession of Montenegro to the European Union Working Group for Chapter 30 –External Relations Bilateral screening:
The National Agency for Export Controls 1 OVERVIEW OF THE ROMANIAN ARMS EXPORT CONTROL SYSTEM PhD eng. Maria PETCU Adviser, Conventional Arms Division.
Export licensing of dual-use and military goods in the Russian Federation.
Transit and Transshipment Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies WA Practical Workshop, June.
Corporate responsibility for security Sibylle Bauer SIPRI Sofia, 22 May 2006.
U.S. Export Controls U.S. Trade Sanctions Compliance May 11, 2016
Team POSS Precursors Strategic Goods Sanctions Transit-Transhipment
Michael Edgerton, CPP Good Harbour International, LLC Abu Dhabi, UAE
INTANGIBLE TECHNOLOGY TRANSFERS IN EXPORT CONTROLS
ANCEX - DEPARTMENT FOR EXPORT CONTROLS
Wassenaar Arrangement 20th Anniversary Practical Workshop
Export Compliance at Fluke
The GATS Waiver – some key issues
Presentation transcript:

Overview of Strategic Trade Control (STC) Concepts and Issues Jay P. Nash Research Fellow, Center for Policy Research (CPR) University at Albany, State University of New York (SUNY) Strategic Trade Control Industry Outreach Seminar January 7 – 8, 2016 Taipei, Taiwan

Presentation Topics and Purposes Reasons for and benefits of strategic trade controls (STC) Identify critical STC concepts and aspects Provide insight into current status of STCs in the APAC region Highlight importance of STCs for trade intermediaries 2

Working Definition of “Strategic Trade Controls”  “Strategic trade controls” or “STC” (often referred to as “export controls”): collectively are special rules, restrictions, and administrative procedures, that apply to trade and transactions involving items, businesses/individuals, and countries for which there is the possibility the items involved will be used for a weapons-related purpose. Can also include other “trade controls” on imports, transit and transshipment, brokering, and technology transfer. In Taiwan = “Export Control of Strategic High-Tech Commodities (SHTC)” 3

Purposes (and Benefits) of Strategic Trade Controls Meeting international nonproliferation obligations and contemporary commercial standards General trade security Enhancing the brand and reputation of the domestic system Potential economic benefits from: 1) alignment with international business “best practices”; 2) more efficient allocation of time and resources; 3) and increased eligibility for higher-tech and higher-value supply chains 4

Elements of a Comprehensive and Effective STC System Legal framework Licensing process Industry compliance Enforcement mechanisms International cooperation 5

Critical STC Concepts and Aspects “Dual-use” and “strategic” items/commodities Item control lists “Catch-all” controls on end-uses, end-users, and trade destinations Requirements or restrictions for different types of transfers and activities such as: export and import; transit / transshipment; brokering / intermediary activities; and technology transfer Industry compliance and “internal compliance programs” (ICPs) STC enforcement 6

Types of Strategic Items Dual-use items: products, equipment, materials, technologies, parts, and software that have both commercial/civilian and potential weapons/military applications. –“WMD dual-use” –“Conventional dual-use” Munitions: arms, military equipment, and items specially designed for military use Strategic items: dual-use items as well as other types of export controlled items including arms and military equipment and weapons of mass destruction 7

Item Control Lists (1) Detailed list(s) of end-products, equipment, materials, parts an components, technology, and software that are subject to special requirement (usually a license) or restriction Item control lists are used to “classify” items, which is to determine whether a given item is subject to regulation The control list(s) of many STC systems (including Taiwan’s) are based on the European Union’s control lists, and are updated on an annual or other basis 8

Item Control Lists (2) Excerpt from the EU “List of Dual-Use Items” (2014) 9

“Catch-All” Controls (1) License or other requirements for certain: –End-uses - when traders know, should know, or are informed that the item they are dealing in may be used for WMD- or military-related end-uses –End-users - entities and individuals identified by international organizations and domestic agencies with whom trade in all or specific items requires a license –Destinations - countries and locations identified by international organizations and domestic agencies with whom trade in all or specific items requires a license 10

“Catch-All” Controls (2) Mainland China’s End-Use “Catch-All” Control “where the exporter knows or should know or receives notices from relevant administrative authorities of the State Council that his/her items and technologies to be exported have the risk of being used in weapons of mass destruction and their related means of delivery, an export license shall be applied for towards the items and technologies concerned, whether included in the Controlling List or not” 11

“Catch-All” Controls (3) Japan’s Foreign End-Use List (excerpt) 12 Available at:

Regulated Transactions and Activities (1) Transactions and activities that can be subject to licensing or other requirements –Export and import –Re-export (domestic or extra-territorial) –Transit and transshipment –Brokering and intermediary activities –Transfers of technology (both tangible and intangible) * Including those that occur into, from, in or through free trade zones and other special economic zones 13

Regulated Transactions and Activities (2) New Philippines Strategic Trade Management Act “Section 3. Scope and Coverage. This Act shall apply to: Any natural or juridical person operating within the Philippines who engages or intends to engage in the export of strategic goods from the Philippines, including designated special economic and free port zones, the import of strategic goods into the Philippines; or the transit or transshipment of strategic goods through the territory of the Philippines and the provision of related services; and all Filipino persons providing these services wherever located; and 5 6 The re-export of strategic goods that have been imported from the Philippines to a foreign country, and the reassignment of strategic goods imported from the Philippines to a new end user in the country of import subject to authorization under this Act.” 14

Regulated Transactions and Activities (3) Singapore, Strategic Goods Control Act (amended 2007) –Part 1(2): “Transmit," in relation to any technology, means: a) to transmit it in Singapore by electronic means; or b) to make it available in Singapore on a computer, so that it becomes accessible (whether on a request, or subject to a pre-condition, or otherwise) to a person in a foreign country, whether he is a specific person, a person within a specific class, any person in general or the person who carries out the transmission… 15

Industry Engagement and ICPs (1) Authorities’ support and transparency is key to industry STC compliance –Provide access to laws, regulations, control lists, as well as guidance on STM licensing and compliance –Allow for public/industry input and dialogue –Conduct workshops, trainings, and briefings for all business types and industry sectors Promote company internal compliance programs (ICPs) and provide incentives such as availability of bulk or more expedited licensing/clearance 16

Industry Engagement and ICPs (2) 17 Australia “Suspicious Approaches” Reporting Program Source:

STC Enforcement (1) Administrative, criminal, and border/port enforcement agencies (e.g. Licensing agencies, Customs, Police) Administrative and criminal STC violations and matching penalties Tip hotlines and protection for “whistleblowers” Voluntary self-disclosure programs 18

STC Enforcement (2) Hong Kong STC Prosecution Cases, January – June

Concluding Summary Review “Dual-use” and “strategic” items/commodities Item control lists “Catch-all” controls on end-uses, end-users, and trade destinations Requirements or restrictions for different types of transfers and activities such as: export and import; transit / transshipment; brokering / intermediary activities; and technology transfer Industry compliance and “internal compliance programs” (ICPs) STC enforcement 20