overview export control in japan

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Slide1: 

Overview of Export Control System in Japan Ministry of Economy, Trade and Industry

Outline : 

Outline 1. Legal Framework (1) Legislation & Export Control Authority (2) Target on Control (3) Types of Control   a. List Control b. Catch-all Control 2. Licensing   (1) Basic Stance   (2) Key Elements in Licensing 3. Enforcement (1) Cooperation among Agencies (2) Types of Violations (3) Penalties 4. Update on Japan’s Export Controls (1) Revision of Bulk License System etc (2)Statement for Further Export Controls from the Minister of METI (3) Others

Legal Framework : 

Legal Framework Foreign Exchange and Foreign Trade Act Law states basic frameworks and thoughts Cabinet, ministerial orders and other notifications prescribe details of implementation METI is in charge of export controls with close cooperation with Customs Legislation and Export Control Authority

1. Legal Framework: 

1. Legal Framework Transfers of both items and technologies are controlled Technology means any specific information required for the development, production, or use of any items controlled   Technology may take the form of technical data or technical assistance    Technical data : blueprints, software, etc.    Technical assistance : instruction of skills, training, etc.    Transfer of technology also requires an export license     (2) Target on Control

Slide5: 

Two types of export control a.List Control: Controls on listed items b. Catch-all Control: Controls on unlisted items (3) Types of Control 1. Legal Framework

Legal Framework : 

Legal Framework Export licenses are required in advance for the export of listed items Wide range of dual-use items are listed, which are based on export control regimes           (3) Types of Control          a. List Control

Slide7: 

Limitation of List Control All items related to WMD cannot be covered by export control regimes because items are selected by some criteria (sensitivity, controllability, etc.) - Some unlisted items can be used for the development of WMD    Revising the lists takes a long time in export control regimes   

Legal Framework (3) Types of Control b. Catch-all Control: 

Legal Framework (3) Types of Control b. Catch-all Control Exporters are required    to apply for export licenses in cases where items or technologies are not on control lists but could contribute to WMD proliferation programs Preliminary Consultations Inform  Risk Information for Exporters

Preliminary Consultation : 

Preliminary Consultation Number of consultations about 200 / year       Inform  METI notifies exporters to apply for export licenses in cases where they attempt to export items or technologies that could contribute to WMD proliferation without a license  

Risk Information for Exporters : 

Risk Information for Exporters End-User List (EUL)  191 entities about which there is concern over WMD or their means of delivery    Not an embargo list    Commodity Watch List (CWL)     Examples of 40 items with high risk of diversion for development of WMD or their delivery Not a controlled list   

Catch-all Control System : 

Catch-all Control System List Control Catch-all Control   Exporter METI / Export Export Application Objective Condition End-use/End-user Condition Approval Licensing Inform Condidtion EUL 187 organizations CWL 40 items Non-controlled items Groceries, wood, etc… Application Embargo Inform

2. Licensing: 

2. Licensing WMD   → Never Approve     Conventional Arms → Three Principle of Arms Exports    Dual-use Items → Depends on “End-Use”    (1) Basic Stance

(2) Key Elements in Licensing : 

(2) Key Elements in Licensing Exporters are required to provide related information such as importers / end-users’ existence and end-users’ business activities. ? Whether the items will actually reach the stated end-user    ? Whether the stated end-user will really use the item ? Whether the use will not be really used for concerned use    ? Whether the stated end-user will strictly control them   2. Licensing

3. Enforcement: 

3. Enforcement Sharing information on suspicious end-users and items of special concern Targeting suspicious custom declarations Daily information exchange on specific cases   Penalties for violations    (1) Cooperation among Agencies

3. Enforcement : 

3. Enforcement (2) Types of Violations Insufficient export control systems 35% Misjudgment of applicable articles 30% Non-compliance with licensing conditions 15% Willfil violation or negligence 12% Mistake in confirmation of shipment 8%

Most Illegal Exports are Unintentional : 

Most Illegal Exports are Unintentional Unintentional export 88% Willfil violation or negligence of the law 12%

Slide17: 

In many cases, cause of a violation is lack of knowledge or awareness or carefulness METI encourages exporters to establish or develop ICP (Internal Compliance Program)

Slide18: 

Criminal Penalty ・ Imprisonment for up to five years  ・ Fine of up to the greater of \ 2,000,000 or five times the value of the exports  Administrative Sanction   ・ The denial of export privileges for up to three years Caution against Violators    ・ Giving a caution, and publicizing the case Public announcements are effective tools as a social sanction, for they impose sufficient/ significant damage to the credit and reputation of the company.    (3) Penalties 3. Enforcement

Slide19: 

Bulk license system in Japan: Allows exporters to export certain less sensitive items to certain less sensitive destinations without individual license applications for three years, once they have obtained approval for a bulk license. 4. Update on Japan’s Export Controls (1) Revision of Bulk License System

Slide20: 

Previous system Exporters were not required to establish or enforce an Internal Control Program (ICP) to be granted a bulk license. Present system Japan has revised its system to require exporters to establish or enforce ICPs to be granted bulk licenses.

Slide21: 

Recent Improvements (2) Revision of Controls on Transshipment Present System Weapon : License is required in transshipping any weapons. Other items : No license is required. New System (Start from June 1. 2007) Weapon : License is required in transshipping any weapons. Other items : License is required in case an exporter notices that the transshipping item is going to be used for WMD proliferation or an exporter is informed to apply for license by METI.

Slide22: 

Recent Improvements (3) Revision of Controls on Brokering New System (Start from June 1. 2007) Weapon : License is required in brokering any weapons. Other items : License is required in case a broker notices that the brokering item is going to be used for WMD proliferation or a broker is informed to apply for license by METI. Present System Weapon : License is required in brokering any weapons. Other items : No license is required.

Slide23: 

4. Recent Improvements (4) Revision of License Exemptions Before revision No license is required in exporting some items that value is less than 1 million yen to all countries except for Iran, Iraq, North Korea and Libya. No license is required in exporting some items that value is less than 50 thousand yen to Iran, Iraq, North Korea and Libya. After revision No license is required in exporting some items that value is less than 1 million yen to all countries except for Iran, Iraq and North Korea. No license exemption is available in exporting any item to Iran, Iraq and North Korea.

Slide24: 

Checks on Compliance Enhancing Awareness Control of Goods and Technology Supporting Export Controls in Overseas Subsidiaries 4. Recent Improvements (2)Statement for Further Export Controls from the Minister of METI

4. Recent Improvement (3) Others: 

July. 2006 Multiple missile launches from DPRK Embargo against specific DPRK ship Prevention of the transfer of financial resources to 15 entities and 1 individual considered to be involved in WMD program 4. Recent Improvement (3) Others N O

4.Recent Improvement (3)Others: 

Oct. 2006 Proclamation by DPRK that a nuclear test was conducted Embargo against all DPRK flagged vessels Ban from importing all items which original or shipping place is DPRK Ban from exporting or brokering 24 luxury goods for DPRK N O 4.Recent Improvement (3)Others