Where Industry and Security Intersect
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BXA established the Nonproliferation and Export Control (NEC) international cooperation team in early 1994 to coordinate BXA's activities in support of U.S. export control cooperative programs with Russia, Ukraine, Kazakhstan and Belarus, and the Central Asian, Caucasian, Baltic, and Central European States.
During FY99, the NEC team, in conjunction with other BXA organizations and other representatives from the U.S. government, hosted, coordinated, or sponsored forty-two technical exchange workshops and multilateral events. These activities included cooperative bilateral workshops with Armenia, Bulgaria, Georgia, Hungary, Kazakhstan, Kyrgyzstan, Moldova, Poland, Romania, Russia, Tajikistan, and Ukraine, as well as multilateral technical workshops with Kyrgyzstan and Uzbekistan and with Russia and Ukraine. The NEC Team conducted three major multilateral conferences, two of them regional conferences, and (one for the nations of Central Asia and the Caucasus region, and the other for the nations of Europe and North America), and the other the Annual Symposium for export control officials from all the nations in Europe and Asia with which the NEC Team has worked in its cooperative export control development activities.
The technical exchange workshops sought to familiarize the countries with the elements that constitute an effective export control system and to assist them in developing and enhancing their own export control systems. Legal authorities were described and analyzed, licensing procedures and processes were shared, preventive enforcement techniques were explained, the need for government and industry cooperation on export control matters was emphasized and demonstrated, and automation program techniques to simplify a country's national export control system and make it more reliable and accessible were presented.
In FY99, the NEC international cooperation program saw major strides in development of national export control systems by the Newly Independent States (NIS) of the former Soviet Union, and by some countries in Central Europe. The outcome of these workshops has been to reduce the proliferation threat from goods and technologies originating in or transiting through the participating countries.
BXA plays a major role in the U.S. interagency program of cooperative export control exchange workshops. The NEC team coordinates the participation of export control experts from all areas of BXA and the Office of Chief Counsel for Export Administration (OCC). Because BXA holds responsibility in all technical areas of export controls, it takes the lead in a wide range of technical exchange workshops. These include workshops to address:
In these workshops, experts focus on the legal basis and framework necessary for an effective and comprehensive export control system, including statutory authorities, executive orders, implementing regulations, and interagency agreements.
These workshops address licensing procedures and practices, which are the mechanisms by which individual export license decisions are made. They focus on dual-use license application processing, including the method of recording decisions electronically and tracking the status of license applications. The purpose and guiding philosophy of the U.S. control list, its international development, the legal basis for controlling U.S. exports, the techniques and procedures for obtaining commodity classifications, and the procedure for resolving interagency disputes among U.S. Government agencies that have various export control responsibilities and authorities are also reviewed.
To demonstrate the need for a national control list and the interagency process, several fictitious case studies are presented to illustrate U.S. Government procedures. Participating foreign officials are also given the opportunity to explain their export licensing systems to BXA officials.
The emphasis of these workshops, presented by Export Enforcement officials with NEC staff support, is on export enforcement techniques. Such mechanisms as pre-license checks, post-shipment verifications, Asafeguard@ programs, preparation of materials for evidentiary purposes, and the use of criminal and administrative sanctions to deter illegal exports are discussed. Enforcement techniques are presented in the context of the global problem of proliferation of weapons of mass destruction, including, nuclear, chemical, and biological weapons and missile delivery systems.
In these workshops, the interlocking roles of industry and government in achieving export control cooperation are emphasized and addressed. BXA officials and industry representatives explain how government and business can work together to achieve common goals and objectives and how each can simplify the task of the other.
These technical exchanges provide a business perspective on export controls, explaining the importance of voluntary industry compliance with export controls, and why and how industry provides technical expertise via Technical Advisory Committees to U.S. Government agencies. Workshop sessions address why export controls are necessary; why industry support is essential; the role of industry-government cooperation in the formulation of laws and implementing regulations; the mechanisms that promote industry participation; voluntary compliance; and internal control programs instituted by industry and other organizations.
In FY99, the NEC team helped selected countries automate their export licensing systems. Electronic processing of licensing applications not only reduces transaction delays, but also enhances business confidentiality and works against internal corruption. BXA automation experts lead system automation technical exchange workshops and work with officials of the countries to decide how best to automate their export control licensing functions. BXA representatives assess the need for, then design and develop comprehensive licensing systems in cooperation with a country's senior export control officials. They discuss and demonstrate BXA's automation system and its interagency control features.
BXA hosted a Licensing Procedures and Practices Workshop for five senior Armenian officials from the Office of the Prime Minister, the Ministry of Foreign Affairs, and the Ministry of the Interior and National Security. The workshop reviewed the legal basis and framework for export licenses; analyzed dual-use license procedures; and provided an overview of the national control list, Acatch-all@ controls, the Enhanced Proliferation Control Initiative (EPCI), and dispute resolution procedures. A summary of the Commerce Department's enforcement operations was followed by a U.S. Customs presentation concerning its role in export controls. The requirements and methodologies for successful interagency coordination in shaping government export control decisions were examined as current issues facing export licensing systems. Other U.S. agencies taking part in the workshop were the Departments of State, Defense, and Energy. The Armenian delegation presented a discussion and summary of Armenia's export licensing process and procedures.
As part of the planned cooperation between the United States and Bulgaria on export controls, BXA's National Control List Technical Exchange Workshop addressed senior policy makers and mid-level Bulgarian export control experts engaged in control list activities. The workshop focused on the development of a dual-use control list, provided an overview of the control list process from both international and national perspectives, described the basic elements of the European Union (EU) numbering system for dual-use goods and technologies, and examined the elements of the multilateral control regimes (The Wassenaar Arrangement, the Nuclear Suppliers Group, the Australia Group, and the Missile Technology Control Regime).
Held in response to requests made by Republic of Georgia export control officials, the Control List Workshop constituted the latest in a series of technical export control cooperation activities carried out with the Republic of Georgia government during the last three years. Led by a member of Parliament, the five-member Georgian delegation also included senior officials from the Georgian Ministry of Foreign Affairs, the Ministry of Trade and Foreign Economic Relations, and the State Border Guards. The legal bases for control lists, licensing procedures and practices, general and technical aspects of control list development, enforcement of the dual-use control list, and transit trade were analyzed. Questions on commodity jurisdiction and related issues were discussed during visits by the delegation to the Departments of State and Defense. At the conclusion of the workshop, the head of the Georgian delegation stated that the materials handed out at the workshop, including the EU List, would be used in the development of the Republic of Georgia's own control list.
Hosted by BXA, the Technical Workshop on Licensing Processing examined the administration of a licensing system and techniques to ensure compliance with export controls by the exporting community, and addressed technical and policy analysis as part of the license review process and the importance of interagency review and dispute resolutions as part of final licensing decisions. Enforcement aspects presented included pre-license, end-use, and end-user checks. Practice with the Licensing Officer Instructional Simulation (LOIS) computer software illustrated key decision points in the licensing process to the Georgian participants.
BXA hosted an Export Licensing Practices and Procedures Technical Exchange Workshop for five senior Hungarian officials who manage the export license review and decision process, and are responsible for interpreting and implementing export control laws through licensing practices and procedures. The technical exchange workshop examined the interagency process, dispute resolution, export clearances, and current issues facing export licensing systems. Export enforcement issues addressed included pre-license checks and post-shipment verifications, and international export enforcement cooperation. Exploration of the different but complementary roles that BXA's Office of Export Enforcement and the U.S. Customs Service have in export enforcement generated a technical discussion with the Hungarian delegation. The Departments of State, Defense, and Energy also participated in the workshop. Hands-on practice with the Licensing Officer Instructional Simulation (LOIS) software illustrated critical points in the process to the Hungarians.
BXA engaged in three technical licensing and control list development exchanges with Kazakhstan during FY99. The exchanges provided a sequential series of discussions that enhanced a common understanding of the implementation issues for controlling sensitive items. BXA hosted two of the exchanges in Washington, DC, and the Kazakhstan Ministry of Energy and Trade hosted the third exchange in Astana, Kazakhstan. The exchanges were sponsored by the Commerce Department.
The Kazakh delegation to the National Control List Technical Workshop, hosted by BXA, was led by a senior official from the Office of the Prime Minister. The workshops focused on the development of a dual-use control list by providing an overview of the control list process from both an international and a national perspective, and described practices in commodity classification work. The program included interagency visits to and briefings by representatives from the Department of Energy and the U.S. Customs Service. A meeting with a U.S. industry representative provided insight into how industry establishes and maintains classifications of its products.
The Kazakh delegation to the Licensing Procedures and Practices Workshop was led by a senior official from the Kazakh Atomic Energy Agency. The exchange with the U.S. Delegation provided the Kazakhs with information on the legal context and framework for the administration of an export licensing system, and the techniques to ensure compliance with export controls by the exporting community. The workshop addressed the license review process, including technical and policy analyses, dual-use and munitions licensing, interagency review, dispute resolutions, and final licensing decisions. Export enforcement aspects presented concerned pre-license inquiries and end-use and end-user checks. The workshop also provided extensive hands-on use of Licensing Officer Instructional Simulation (LOIS) software.
The Technical Workshop focused on the use of the European Union (EU) Unified Control List in the current international system for export control of dual-use items and weapons of mass destruction. The workshop considered practices and procedures associated with the conversion to a unified control list by a number of countries that adhere to different national and international export control regimes. It covered the fundamental structure of the EU list, how it is used by licensing officers and industry to perform commodity classifications, and the benefits derived by a country adopting the EU model control list as the national control list. The U.S. experience proved particularly interesting to the Kazakhs because the United States uses a unified list as the national control list. All presentation materials and interactive computer training were presented in the Russian language.
During an Export Control Legal Technical Forum hosted by BXA, representatives from U.S. departments and agencies met with a delegation from Moldova that included officials from the Cabinet of Ministers, the Parliament's staff, Ministry of Defense, Border Guards, and the Customs Committee. Designed to provide the Moldovan delegation with information needed to draft an export control law, the forum focused on the legal basis for a comprehensive and effective export control system, including essential authorities needed in the law, such as customs, transit, and defense authorities, as well as controls on dual-use exports, arms, and nuclear equipment. Moldova's export control authority was also discussed.
A five-member delegation from Moldova participated in a technical workshop on the development and maintenance of a national control list. The counselor to the Deputy Prime Minister, who led the Moldovan delegation, pointed out that Moldova was developing a new list of controlled commodities and that the new Moldovan customs code would conform to the EU list. He added that Moldova recognized the necessity for updating its control list to conform to international lists, because its current control list was based on former Soviet commodity lists. The workshop addressed the legal basis and framework for control lists, and for licensing practices and procedures; munitions control licensing and missile nonproliferation; transit trade; and the perspective of private industry on export controls. The discussion of export enforcement included a description of the U.S. Customs Service's AExodus@ program. Other U.S. Agencies participating in the technical workshop included representatives from the Department of State and the U.S. Customs Service.
As part of an undertaking to assist Poland in improving its systems automation efforts, BXA/NEC conducted a special Authorware Software Training automation program for Poland in Washington, DC Developed to train foreign delegates how to modify and customize their countries' Internal Compliance Programs (ICP), the Authorware software enables modifications to be made in ICPs to reflect changes in the laws, regulations, and policies of export control regimes. The Polish participants in the program received hands-on training in using the ICP software, as well as the Authorware software itself. Discussions included development of ICP customization training, development of Train-the-Trainer curricula, ICP deployment workshops, and ongoing coordination of responsibilities.
A delegation of U.S. officials and U.S. Industry representatives headed by the Deputy Under Secretary of Commerce for Export Administration participated in the International Conference on Export Control Cooperation Between Business and Government Administration held in Warsaw, Poland, May 13-14, 1999. Organized by the Polish Chamber of Commerce in cooperation with the Department of Export Control of the Polish Ministry of Economy and the Bureau of Export Administration, U.S. Department of Commerce, the conference represented the first occasion where both Polish industry and government met together to focus on export control cooperation. As such, the conference represented a major step forward in Poland's steady export control progress and a critical step in strengthening Poland's national export control system.
During the conference, the U.S. Delegation provided assistance to Poland in developing an industry-government partnership in export control and nonproliferation of weapons of mass destruction, and deployed a Polish language version of the U.S.-developed Internal Control Program (ICP) for Polish munitions and dual-use industry sectors. The Polish Deputy Prime Minister attended the conference, as did some 350 Polish industry representatives. Polish government officials viewed accomplishments of the conference as comprising important elements for creating foreign and security policies for Poland complementary to those of NATO and European Union countries, contributing to Poland's improved export control effectiveness within NATO, and enhancing Polish industry's support for ICPs as a component of strengthening Poland's national export control system.
The U.S.-Romania Licensing Procedures and Practices Workshop provided the Romanian delegation with information on the legal context and framework for the administration of an export licensing system and the techniques to ensure compliance with export controls by the exporting community. Romanian participants from the National Agency for Control of Strategic Exports and Prohibition of Chemical Weapons engaged in discussions on how the license review process incorporates technical and policy analyses, dual-use and munitions licensing, interagency review, dispute resolutions, and final licensing decisions. Export enforcement programs and practices involving law enforcement investigations and sanctions were examined. The Romanian delegation also received demonstrations of tools that could assist Romanian licensing officers in classification and licensing, including LOIS software.
A BXA/NEC delegation held an export control technical workshop on Russian control lists and commodity classification at the Center on Export Controls (CEC), a Moscow-based non-government entity. The workshop provided representatives of 15 Russian government agencies involved in export controls with an overview of the four multilateral control regimes, technical details regarding each of the international lists, and the process of integrating these lists into a master national control list. The BXA/NEC delegation provided an explanation of the European Union (EU) control list, addressed questions concerning the use of the EU list in the international system of export regulation of dual-use products and weapons of mass destruction, and emphasized the importance of proper classification. The delegation also demonstrated the use of Licensing Officer Instructional Simulation (LOIS) software to the Russians.
Two BXA/NEC staff members traveled to Russia to assist the Moscow-based Center on Export Controls in familiarizing Russian enterprises in the Tomsk region and regional and local authorities, with Russian export control regulations and policies.
Between September 15, 1998, and January 25, 1999, BXA/NEC personnel and representatives from U.S. companies helped the Center on Export Controls in Moscow, Russia, to install a pilot Internal Compliance Program at six enterprises subordinated to the Russian Space Agency (September 15-18, 1998), six enterprises subordinated to the Ministry of Economy (December 7-9, 1998), and five enterprises subordinated to the Ministry of Atomic Energy (January 25-26, 1999). The CEC planned to obtain feedback from the enterprises and develop an improved version to be unveiled at an Industry-Government forum in April 2000.
BXA hosted the first Export Control Parliamentary Forum in Washington, DC, for two members of the Russian Duma with responsibility for Russia's export control legislation. Other members of the Russian delegation included representatives from the Ministry of Foreign Affairs, the Federal Service for Currency and Export Controls, the non-government Center for Export Controls, and the Russian Union of Industrialists. The forum provided an opportunity for the participants to exchange information on the legal bases for export controls in the United States and in Russia, and to discuss export control legislation in the two countries. The Russian delegation briefed U.S. officials on the status and scope of Russia's pending export control legislation, provided a copy of the most recent version of the draft bill, and stated that the bill, when it became law and entered into force, would substantially strengthen the ability of the Russian Government to prosecute and punish export control violators. During the forum, the Russian delegation also met with U.S. House and Senate staff members and attended a Congressional hearing on the Export Administration Act.
The U.S.-Russia Licensing Procedures and Practices Workshop, hosted by BXA, shared knowledge on the management of license processing with a Russian delegation with representatives from the Ministries of Trade and Defense, the State Customs Committee, and the Security Council of the Russian Federation. The workshop focused on management practices meeting international standards for export control licensing administration, and on job skills needed by supervisors. In utilizing advanced case studies in licensing, the program included the rationale and methodology for licensing administration decision-making strategies, addressed the details of critical supervisory elements as well as the responsibilities for an effective export control system, and demonstrated the application of systems automation technology in a licensing system. Additional topics covered included using National Control Lists and the EU Control List, the export licensing system review process and interagency review, making decisions on projects of concern, implementation of Acatch-all@ controls, and criminal and administrative enforcement actions. A visit to the Defense Threat Reduction Agency (DTRA) at the Defense Department focused on dual-use and munitions licensing. The second meeting of the U.S.-Russia Sub-Working Group on Dual-Use Licensing also took place immediately following the workshop.
Commerce/BXA sponsored an Export Control Update Conference for Russian Industry (AAll-Russian Conference on Export Controls@), held in Moscow, Russia. The Center on Export Controls (CEC), a Russian non-government organization based in Moscow, hosted the conference. A large delegation of U.S. business representatives and government officials participated. The conference was structured to familiarize and update Russian industrial enterprises with their export control responsibilities and with Russian export control rules and regulations; demonstrate that industry-government cooperation on export controls and voluntary industry compliance with export control regulations are essential for effective export controls; and illustrate how U.S. and other non-Russian companies manage export controls and their in-house export control compliance programs.
Over 100 Russian industrial enterprises from the aerospace and defense industries and nuclear-related fields attended the conference and participated in break-out sessions. Representatives from the Russian Duma also took part in the conference, as did senior officials from the Security Council the Russian Federation; the Ministries of Foreign Affairs, Trade, the Economy, and Atomic Energy; the Russian Aviation and Space Agency; the State Customs Committee; and other agencies. Officials from the Japanese Center for Information on Security Trade Control attended and participated in the program. In sharp and positive contrast to the predecessor conference held in Moscow in December 1996, U.S. Government officials observed extended meaningful and frank dialogue between Russian industry representatives and the attending Russian government officials on a range of export control-related issues. During the conference, the director of the CEC demonstrated an operational Internal Control Program (ICP) developed by Commerce/BXA and modified by the CEC to fit the Russian regulatory environment. The ICP tool is a software-based learning document development tool equipped with a self-paced training platform and templates that may produce a customized internal control program manual for the company. The documents include in-house administrative and screening requirements that meet universally recognized standards to ensure compliance with national export control rules and regulations.
Between April 5 and October 1, 1999, a small team of BXA/NEC personnel and representatives from U.S. companies presented a series of Internal Control Program (ICP) Workshops in ten Russian cities as part of the U.S.-Russian Bilateral Cooperation on Export Controls program. This program was conducted initially under the Cooperative Threat Reduction Program and more recently under the Nonproliferation, Anti-Terrorism, Demining, and Related Activities (NADR) Program. The workshops assisted the Russians to deploy operational ICPs at 187 Russian industrial enterprises. The ICP deployment is part of a Russian government initiative to improve industry compliance with national export control rules.
Among Russian government participants at each workshop in the series were representatives of the State Customs Committee; the Federal Service on Currency and Export Control; and the Ministries of Economy, Foreign Affairs, Defense, and Trade. The Center on Export Controls (CEC) Director noted in his remarks opening the workshop at Samara that all Russian enterprises need to become aware of their export control responsibilities and develop an in-house compliance capability, which must include trained export control administrators, compliance job tools, and access to the latest export control rules and regulations. The ICP software tool enables individual export control administrators to develop a competency in export control in their respective enterprises.
The deployments took place in 11 enterprises in Samara (April 5-6, 1999), 21 enterprises in Voronezh (May 18-19, 1999), 24 enterprises in Yaroslavl (May 26-27, 1999), 18 enterprises in Orel (June 16-17, 1999), 21 enterprises in Kazan (June 24-25, 1999), 27 enterprises in Bryansk (July 8-9, 1999), 16 enterprises in Irkutsk (July 22-23, 1999), 24 enterprises in Novosibirsk (September 9-10, 1999), 18 enterprises in and around Vladimir (September 21-22, 1999), and seven enterprises in Puschino (September 30-October 1, 1999).
The enforcement workshop, hosted by the State Customs Committee of the Russian Federation, was part of the planned U.S.-Russia Bilateral Cooperation on Export Controls. A U.S. Interagency delegation led by officials from BXA visited Moscow and Vladimir to take part in an export enforcement technical exchange workshop. The purposes of the technical exchange were to understand the structure and staffing of Russian organizations involved in export enforcement; observe how Russian government agencies explain export control responsibilities to Russian enterprises; engage in meaningful discussions regarding export enforcement Asuccess stories@ on both sides; and address the next steps in bilateral cooperation. Participating Russian agencies included the Security Council of the Russian Federation; the State Customs Committee; the Ministries of Foreign Affairs, Justice, and Trade; the Russian Customs Academy; the Federal Service for Currency and Export Control; and the Center on Export Controls. The U.S. Delegation included representatives of the Departments of State, Commerce, and Energy, and the U.S. Customs Service. Commerce Department participants included officials from the Office of Export Enforcement, the Office of Chief Counsel, and BXA/NEC.
As a result of the technical exchange, the U.S. side concluded that Russia continues to make measurable progress in establishing and implementing a structure, agency roles, and industry-government cooperation for enforcement of export controls. However, additional work is required to strengthen enforcement and industry compliance with export control regulations. Russia's new law provides significant authority to enforce export controls and penalize violators. The allocation of this new authority among various Russian organizations and implementation of that authority have begun but, according to the time table described by several officials, will understandably extend into the spring of 2000. Thereafter, the involved agencies will require time to carry out their roles. Certain Russian enforcement agencies still lack legal authority to prosecute and punish export control violators. Most Russian enterprises are poorly informed about their export control obligations. Russian government officials repeatedly stated that their highest priorities relative to export enforcement include the establishment of internal compliance programs at Russian enterprises, delegation of authority under the new export control law, and training of enforcement agents, especially at Russian Customs academies.
During the week of February 8-12, 1999, the Bureau of Export Administration (BXA) hosted the first interagency bilateral technical exchange between the United States and Tajikistan on nonproliferation export controls. The exchange also constituted the first legal technical forum between the two countries to focus on the legal basis and regulatory framework for a comprehensive and effective export control system. Participating U.S. agencies included the Departments of State, Defense, and Energy, and the U.S. Customs Service. A representative from the Commerce Department's Business Information Service for the Newly Independent States (BISNIS) gave a short presentation.
The forum afforded U.S. legal and other experts the opportunity to discuss with Tajik export control officials: 1) the scope of Tajikistan's new export control law, and 2) the decrees and regulations that will be needed to implement the law, including promulgation of a control list that meets international standards. Other topics addressed included controls on exports of dual-use items and arms, multilateral regimes controlling nuclear and missile components and technology, and biological and chemical weapons controls. The forum provided information on the export control authority and perspective at the U.S. Defense Department, Customs Service and the Office of Export Enforcement of the Commerce Department, Bureau of Export Administration. At the conclusion of the forum, the Tajikistan delegation discussed with the U.S. side the next steps Tajikistan wants to undertake in order to strengthen its national export control system. These included review of Tajikistan's decrees and regulations for implementing its export control law, establishment of a functional export licensing system, and construction of control lists consistent with international control regime standards.
BXA/NEC presented a U.S.-Ukraine Internal Compliance Program (ICP) Workshop in Washington, D.C. in February, 1999. The workshop provided key in formation about the recently completed Ukraine ICP software version 2.0, as well as further training and support pertaining to the ICP for Ukrainian industries which produce controlled items.
A seven-member delegation of Ukrainian officials participated in the U.S.-Ukraine Export Enforcement Technical Workshop, held in Washington, D.C., and Fort Lauderdale, Florida. The workshop sought to strengthen the basis for export enforcement cooperation with Ukraine by familiarizing the Ukraine delegation of export enforcement officials with the U.S. government's export enforcement programs, measures, and methods. Next steps for further developing enforcement cooperation was discussed with the Ukrainian delegation.
The Ukraine delegation included the director of the Export Control Department of the Cabinet of Ministers and senior officials from the National Security and Defense Council, the Ministry of Foreign Affairs, the State Committee for National Border Defense, and the State Customs Service, as well as the Director of the State Service on Export Control who headed the delegation. The delegation sought a first-hand overview of how the U.S. government enforces export controls, as well as information on how other U.S. government agencies involved in export enforcement interact with BXA and with each other, focusing on how export enforcement contributes to halting the proliferation of weapons of mass destruction, discussing techniques and authorities used by U.S. government agencies, and examining the role of interagency and international cooperation in detecting and interdicting illegal exports. Representatives from the Defense Department's Defense Threat Reduction Agency (DTRA) and from the U.S. Customs Service participated in the discussions. The workshop included a two-day visit to export enforcement field operations in Fort Lauderdale, Florida, including BXA's Office of Export Enforcement Field Office, the U.S. Customs Service, and the Office of the U.S. Attorney for the Southern District of Florida.
A U.S. interagency delegation traveled to Tashkent, Uzbekistan, to help the Uzbek government review its draft export control law. During the workshop, the U.S. side offered its comments on the draft law and expressed the view that the host government had made a good start in assembling the necessary legal elements in the draft law. The U.S. delegation included representatives from the Departments of State and Defense; the Federal Bureau of Investigation; the Commerce Department's Office of Chief Counsel, Office of Export Enforcement, and BXA/NEC.
In addition to the bilateral activities just described, BXA/NEC coordinated and participated in several multilateral activities, which emphasized a regional approach to export control issues.
From November 10-12, 1998, the United States and Kazakhstan co-hosted in Astana, Kazakhstan, the Third Regional Forum on Export Control and Nonproliferation of Weapons of Mass Destruction, in which eight Central Asian and Caucasian countries (Armenia, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Tajikistan, Turkey, and Uzbekistan) participated. The forum focused on a regional approach to nonproliferation and export controls in the major functional areas of export control systems -- the legal and regulatory framework, licensing procedures, enforcement mechanisms, and industry-government outreach. The participants made progress on several issues. First, they endorsed a regional approach toward the resolution of nonproliferation and export control issues; second, they agreed on the need for a regional agreement on transit/transshipment notification; third, they reached a consensus on the desirability of information exchange, possibly via an electronic Web site; and fourth, they expressed a strong interest in further regional meetings. Kazakhstan delivered a comprehensive presentation of its export control system, which provided a positive example for the other countries.
Representatives from Kyrgyzstan and Uzbekistan participated in a BXA/NEC technical exchange workshop on export licensing in Washington, D.C. Structured for officials responsible for interpreting and implementing export control laws and decrees, the workshop addressed control lists as well as the standards, practices, and procedures for export licensing.
Representatives from Russia and Ukraine took part in a BXA/NEC Authorware Software Training Automation Program workshop in February, 1999. The Authorware software has been designed to enable the delegates to make modifications in their country's Internal Compliance Program (ICP) to reflect changes that have been made to the laws, regulations, and policies on which their export control regimes are built. During the workshop, the delegates received hands-on training in using the ICP software, as well as the Authorware software itself. Discussions included development of ICP customization training, development of Train-the-Trainer curricula, ICP deployment workshops, and on-going coordination of responsibilities.
The Sixth Annual Symposium for International Export Control Officials and Update "99" were held July 12-16, 1999, in Washington, D.C., Representatives of 23 foreign countries attended. The Symposium was sponsored by BXA and funded by the State Department's Nonproliferation, Anti-terrorism, Demining and Related Activities (NADR) budget. The Symposium, which incorporated attendance at pertinent portions of the Update "99" program, was specifically designed to enable international export control officials to meet U.S. export control officials, develop or maintain working relationships with their U.S. and international counterparts, and become more familiar with the U.S. export control system and the systems of the other participating nations.
This year's program had sections addressing the roles of brokers, freight forwarders, and shippers in export control trade, regulation of transit of controlled items, and the operating procedures for compliance with export control laws and regulations that are essential to establishing and maintaining an effective national export control system. The countries participating in the 1999 Symposium were Albania, Armenia, Azerbaijan, Bulgaria, Czech Republic, Estonia, Georgia, Hungary, Kazakhstan, Kyrgyzstan, Latvia, Lithuania, Moldova, Poland, Romania, Russia, Slovakia, Slovenia, Tajikistan, Turkmenistan, Ukraine, and Uzbekistan. Observers from India also attended.
BXA/NEC led an interagency U.S. delegation to a North American/European Conference on Export Controls in Oxford, United Kingdom. The conference considered the efficacy of the global export control system, assessed efforts to assist the nations of the former Soviet Union and Central Europe to establish national export control programs, and developed recommendations to the governments of participating nations for strengthening and making more effective the global export control system. Deputy Under Secretary for Export Administration T. Scott Bunton was accompanied by Assistant Secretaries F. Amanda Debusk (BXA/Export Enforcement) and Roger Majak (BXA/Export Administration). The countries participating in the Oxford Conference were Albania, Austria, Bulgaria, Canada, Czech Republic, Denmark, Estonia, European Union, Finland, France, Germany, Hungary, Latvia, Lithuania, Netherlands, Norway, Poland, Romania, Slovakia, Slovenia, Sweden, the United Kingdom, and the United States. Representatives from the Wassenaar Arrangement, the Australia Group and the Nuclear Suppliers Group multilateral control regimes also attended.
The following NEC technical exchange workshops and multilateral conferences took place in FY 99. The technical exchange workshops centered on the major elements that constitute an effective national export control system. The multilateral conferences emphasized a regional approach to export control issues.
COUNTRY |
Legal Foundation |
Licensing Procedures and Practices
|
Export Enforcement Activities |
Govt-Industry Relations
|
Systems Automation |
|---|---|---|---|---|---|
| Armenia |
|
Oct. >98 |
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|
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| Bulgaria |
Jan. >99 |
Feb. >99 |
|
|
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| Georgia |
|
Oct. >98 |
|
|
|
| Hungary |
|
Nov. >98 |
|
|
|
| Kazakhstan |
|
Apr. >99 |
|
|
|
| Moldova |
May >99 |
Sept. >99 |
|
|
|
| Poland |
|
|
|
May >99 |
Feb. >99 |
| Romania |
|
June >99 |
|
|
|
| Russia |
Mar. >99 |
Nov. >98 |
Sept. >99 |
Sept. >98
--Jan. >99 |
Nov. >98 --April >99 |
| Tajikistan |
Feb. >99 |
|
|
|
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| Ukraine |
Sept. >99 |
|
Apr. >99 |
|
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| Uzbekistan |
Sept. >99 |
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| COUNTRY | Workshop |
Workshop |
Conference |
Conference |
Conference |
|---|---|---|---|---|---|
|
|
Licensing Procedures and Practices |
Systems Automation |
Third Regional
Forum Central Asian & Caucasian Countries |
Sixth Annual
Symposium |
Oxford Conference
North America & Europe |
| Kyrgyzstan & Uzbekistan |
Jan. >99 |
|
|
|
|
| Russia & Ukraine |
|
Feb. >99 |
|
|
|
| Albania |
|
|
|
x |
x |
| Armenia |
|
|
x |
x |
|
| Austria |
|
|
|
|
x |
| Azerbaijan |
|
|
x |
x |
|
| Bulgaria |
|
|
|
x |
x |
| Canada |
|
|
|
|
x |
| Czech Republic |
|
|
|
x |
x |
| Denmark |
|
|
|
|
x |
| Estonia |
|
|
|
x |
x |
| European Union |
|
|
|
|
x |
| Finland |
|
|
|
|
x |
| France |
|
|
|
|
x |
| Germany |
|
|
|
|
x |
| Georgia |
|
|
x |
x |
|
| Hungary |
|
|
|
x |
x |
| Kazakhstan |
|
|
x |
x |
|
| Latvia |
|
x |
x |
||
| Lithuania |
|
x |
x |
||
| Moldova |
|
x |
|
| COUNTRY | Workshop |
Workshop |
Conference |
Conference |
Conference |
|---|---|---|---|---|---|
| Netherlands |
|
|
|
|
x |
| Norway |
|
|
|
|
x |
| Poland |
|
|
|
x |
x |
| Romania |
|
|
|
x |
x |
| Russia |
|
|
|
x |
|
| Slovakia |
|
|
|
x |
x |
| Slovenia |
|
|
|
x |
x |
| Sweden |
|
|
|
|
x |
| Tajikistan |
|
|
x |
x |
|
| Turkey |
|
|
x |
|
|
| Ukraine |
|
|
|
x |
|
| United Kingdom |
|
|
|
|
x |
| United States |
|
|
x |
x |
x |
| Uzbekistan |
|
|
x |
x |
|
| India (observer) |
|
|
|
x |
|
| Multilateral Regimes: Wassenaar Agreement Australia Group Nuclear Suppliers Group |
|
|
|
|
x x x |
Go to Chapter Ten
In April of 2002 the Bureau of Export Administration (BXA) changed its name to the Bureau of Industry and Security(BIS). For historical purposes we have not changed the references to BXA in the legacy documents found in the Archived Press and Public Information.