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Export Control in Space Activities

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Book cover Theory and Practice of Export Control

Part of the book series: SpringerBriefs in Economics ((BRIEFSKUSSRS))

Abstract

This article describes international frameworks as well as the EU and US laws and regulations on export control in space activities. First, the cross-border transfer of space-related goods and technologies is studied. Then, the question is answered if the space launch is regarded as export in the laws of the EU, US and Japan. Finally, reference to the on-orbit transfer of satellites is made from the export control point of view.

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Notes

  1. 1.

    “The exploration and use of outer space” is the term used in the United Nations (UN) treaties on outer space including the most important Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, including the Moon and Other Celestial Bodies (Outer Space Treaty), entry into force 10 October 1967, 610 UNTS 205.

  2. 2.

    See, e.g., Setsuko Aoki, “2. Scope of Activity” (National Legislation Resolution of 2013), in Stephan Hobe, Bernhardt Schmidt-Tedd and Kai-Uwe Schrogl (eds.), Cologne Commentary on Space Law, Vol. III (Carl Heymanns Verlag, 2015), pp. 506–509.

  3. 3.

    Only ten countries have autonomous launch capability as of January 2017.

  4. 4.

    The definition of “space object” is found in the Convention on International Liability for Damage Caused by Space Objects (Art. I (d)) and the Convention on Registration of Objects Launched into Outer Space (Art. I (b)) as “[t]he term “space object” includes component parts of a space object as well as its launch vehicle and parts thereof”.

  5. 5.

    WA, Guidelines and Procedures, including the Initial Elements (12 July 1996 as amended) [hereinafter “Initial Elements”], I. Purposes.

  6. 6.

    Ibid., II. Scope, paras. 3–4 and 7.

  7. 7.

    Ibid., I. Purposes, para. 4.

  8. 8.

    While this list is sometimes called “Basic List” to distinguish it from Sensitive List and Very Sensitive List, all of which are included in the same List of Dual-Use Goods and Technologies. See, infra note 9.

  9. 9.

    List of Dual-Use Goods and Technologies and Munitions List, WA-LIST (15)1 Corr.1 (4 April 2016) [hereinafter “WA-LIST (15)1 Corr.1”].

  10. 10.

    Ibid., 9.A.5–9.A.10 (pp. 145–147).

  11. 11.

    Ibid., p. 163.

  12. 12.

    Ibid., p. 166.

  13. 13.

    Ibid., ML.20 b. (p. 197).

  14. 14.

    This term is defined as “[a]ctive and passive satellites and space probes” in WA-List (15)-1 Corr.1, supra note 9, p. 219.

  15. 15.

    This term is defined as “[e]quipment that provides the support infrastructure of the “spacecraft” and location for the “spacecraft payload””. Ibid.

  16. 16.

    This term is defined as “[e]quipment, attached to the “spacecraft bus”, designed to perform a mission in space (e.g., communications, observation, science)”. Ibid.

  17. 17.

    This adjective is defined as “[d]esigned, manufactured, or qualified through successful testing, for operation at altitudes greater than 100 km above the surface of the Earth”. Ibid., p. 220.

  18. 18.

    Ibid., 6.A.2.a.1.a.–6.A.2.a.1.d. (pp. 97–98).

  19. 19.

    Ibid., 6.A.2.b. (pp. 101–102).

  20. 20.

    Ibid., 6.A.2.d., 6.A.4.c., 6.A.8.d., and 6.A.8.j. (pp. 102–122).

  21. 21.

    Ibid., 7.A.3. Technical Note a., 7.A.5. and 7.D. 5. (pp. 130–132 and 134).

  22. 22.

    Ibid., e.g., 9.A.10. c. (p. 147).

  23. 23.

    Ibid., ML 11.a. a. (p. 189).

  24. 24.

    Ibid., ML 11.a.c. (p. 189).

  25. 25.

    Ibid., ML 11.a.i. (p. 189).

  26. 26.

    Ibid., ML 11.b. (p. 189).

  27. 27.

    Ibid., ML 11.c. (p. 189).

  28. 28.

    Ibid., ML 19. (p. 196).

  29. 29.

    Statement of Understanding on Control of Non-Listed Dual-Use Items, http://www.wassenaar.org/wp-content/uploads/2015/07/Non-listed_Dual_Use_Items.pdf (last accessed 4 February 2016).

  30. 30.

    Ibid.

  31. 31.

    http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2009:134:0001:0269:en:PDF [hereinafter “The EU Export Control Regulation”] (last accessed 2 March 2016).

  32. 32.

    This Regulation has been amended on several occasions including the amendment of the list of dual-use items (Annex I of the Regulation) in December 2011, May 2012, June 2014 and December in 2014.

  33. 33.

    The EU Export Control Regulation supra note 31, Art. 2.2 (i)–(iii).

  34. 34.

    Ibid., Art. 3.1.

  35. 35.

    Ibid., Art. 3.2.

  36. 36.

    Ibid., Art. 4.1–4.5.

  37. 37.

    The category number corresponds to that of WA.

  38. 38.

    The EU Export Control Regulation, supra note 31, Annex I List, p.134.

  39. 39.

    The definition of “space-qualified” is almost identical to that found in WA. Ibid., p. 28.

  40. 40.

    Ibid., p. 180.

  41. 41.

    Ibid., p. 214.

  42. 42.

    Ibid., pp. 237–251.

  43. 43.

    Ibid., pp. 27, 237, 246.

  44. 44.

    While the term “re-export” is used in the EU Export Control Regulation (Art. 2.2 (ii)), this means to export goods of non-EU countries to another non-EU countries before importing to EU countries. This is similar to reshipment or temporary landing in concept.

  45. 45.

    The EU Export Control Regulation, supra note 31, Art. 7.

  46. 46.

    22 USC Chapter 39, Public Law 94-329, Sec. 2751 et seq. (30 June 1976 as amended through Public Law 113-296 (19 December 2014).

  47. 47.

    22 CFR Chapter I, Subchapter M (ITAR), Part. 120 et seq. (30 June 1976 as amended).

  48. 48.

    Ibid., Part. 121 [hereinafter “USML”].

  49. 49.

    50 USC Chapter 56, Public Law 96-72, Sec. 4601 et seq. (29 September 1979). EAA was lapsed on 20 August 2001 and the President, through Executive Order 13222 of August 17, 2001 has continued the EAR (see infra note 50) in effect under the International Emergency Economic Powers Act (IEEPA).

  50. 50.

    15 CFR, Subtitle B, Chapter VII, Subchapter C, Part. 730 et seq.

  51. 51.

    Ibid., Part. 774 [hereinafter “CCL”].

  52. 52.

    AECA, supra note 46, Sec. 2797 (d); ITAR, supra note 47, Part.121.1 (c); Category IV (Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines); Part. 121.16.

  53. 53.

    EAA, supra note 49, Sec. 3.

  54. 54.

    AECA, supra note 46, Sec. 2751.

  55. 55.

    China-US Agreements regarding Commercial Satellite Launches, done on 18 December 1988 and 26 January 1989. Entered into force 6 March 1989. International Legal Materials, Vol. 28 (1989) pp. 596–610.

  56. 56.

    While US laws imposing sanctions against China were passed including the Foreign Relations Authorization Act for Fiscal Year 1990–1991 in response to Tiananmen, a series of presidential waivers were granted under “national interest” determinations for export of US satellites for launch on Chinese SLVs. See, e.g., Select Committee, US House of Representative, US National Security and Military/Commercial Concerns with the People’s Republic of China (declassified) (Report. 105–851) [hereinafter “Cox Report”] (March 1999), pp. 299–306.

  57. 57.

    Ibid., p. 301.

  58. 58.

    Federal Register, Vol. 57, No. 206 (23 October 1992).

  59. 59.

    Federal Register, Vol. 61, No. 215 (5 November 5 1996), pp. 56894–56896 (ITAR: hot-section technologies associated with commercial communications satellites, etc.; removal from USML for transfer to DOC/CCL).

  60. 60.

    Ibid., see, also, COX Report, supra note 56, p. 318.

  61. 61.

    Satellites made by US Hughes Space and Communications and Space Systems/Loral experienced launch failures in 1992 and 1996 respectively in China. The necessary export control licenses such as TAA had not been obtained from the DOC/DDTC in the investigation process. See, e.g., Cox Report, supra note 56, pp. 224–296.

  62. 62.

    National Defense Authorization Act for Fiscal Year 1999 [hereinafter “NDAA-99”], Public Law 105-261 (17 October 1998), Title XV, Sec. 1513 (a). It was effective on 15 March 1999 as specified in Sec. 1513 (c).

  63. 63.

    National Defense Authorization Act for Fiscal Year 2010, Public Law, 111-84 (28 October 2009), Sec. 1248.

  64. 64.

    NDAA-99, supra note 62, Sec. 1513.

  65. 65.

    National Defense Authorization Act for Fiscal Year 2013, Public Law, 112-239, (2 January 2013), Title XII, Subtitle E, esp. Sec. 1261.

  66. 66.

    Ibid., Sec, 1261 (c).

  67. 67.

    Federal Register, Vol.78, No. 101 (24 May 2013), p. 31444 et seq.

  68. 68.

    Ibid., p. 31431 et seq.

  69. 69.

    Federal Register, Vol. 79, No. 92 (13 May 2014), pp. 27180–27189.

  70. 70.

    Ibid., pp. 27418–27443.

  71. 71.

    Ibid., pp. 27180–27189 and 27418–27443.

  72. 72.

    Federal Register, Vol. 80, No. 133 (13 July 2015), pp. 39950–39957.

  73. 73.

    Federal Register, Vol. 79, No. 218 (12 November 2014), pp. 67055–67059.

  74. 74.

    Ibid., pp. 67058–67059; Federal Register, supra note 69, esp. pp. 27182–27189. Transfer to the EAR/CCL was effective as of 27 June only for the radiation-hardened microelectronic microcircuits, 45 days later of the announcement of the interim final rule. For the other items, it was 180 days later thereof.

  75. 75.

    Federal Register, supra note 69, p. 27182.

  76. 76.

    Ibid., p. 27183.

  77. 77.

    Ibid., p. 27187.

  78. 78.

    Ibid., p. 27182.

  79. 79.

    Ibid., pp. 27186–17189, 27418–27443. See, also USML, supra note 48, Category XV (a) (1)-(21).

  80. 80.

    EAR, supra note 50, Part 740, Supplement No. 1, pp. 7–8. Those countries include Afghanistan, DPRK, Iran, Iraq, Sudan, Syria and Zimbabwe.

  81. 81.

    See, e.g., A/AC.105/1090 (30 April 2015) pp. 14–16.

  82. 82.

    CSLA, Public Law 98-575 (30 October 1984). 49 USC. Sec. 2601 et seq.

  83. 83.

    Valérie Kayser, Launching Space Objects: Issues of Liability and Future Prospects (Kluwer Academic Publishers, 2001), p. 113.

  84. 84.

    CSLA, supra note 82, Sec. 2620 (b). Currently this provision is provided for in 51 USC, Sec. 50919 (f).

  85. 85.

    51 USC, supra note 84, Sec. 50902 (13).

  86. 86.

    See, supra note 16.

  87. 87.

    51 USC supra note 84, Sec. 50919 (f).

  88. 88.

    Ibid., Sec. 50902 (7).

  89. 89.

    ITAR, supra note 47, Sec. 120.17 (a)(6).

  90. 90.

    Customs Act, Act No. 61, (2 April 1954 as amended), Art. 2 (2).

  91. 91.

    Ibid., Art. 2 (4). “Japan” is defined as “Honshu, Hokkaido, Shikoku, Kyushu, and other dependent islands thereof specified by the Ordinance of the Ministry of Finance and the Ordinance of the Ministry of Economy, Trade and Industry” in Foreign Exchange and Foreign Trade Act (FEFTA), Act No. 228 (1 December 1949 as amended), Art. 6 (1)(i). Unofficial translation of the FEFTA is: http://www.japaneselawtranslation.go.jp/law/detail/?vm=04&re=01&id=21 (last accessed 3 February 2016).

  92. 92.

    FEFTA, supra note 91, Art. 6 (1)(ii).

  93. 93.

    Ministry of Economy, Trade and Industry (METI), Ministerial Notification Places of Destination Codes (10 August 2013), http://www.cistec.or.jp/service/cistec_teigen/meti_teigen2013/data/20131008-3.pdf (last accessed 3 March 2016).

  94. 94.

    The Consumption tax relating to the launch of satellites from Japan has been exempted since April, 2006 based on the interpretation of the Consumption Tax Act that provides that transportation and communications of goods and tourists carried on between Japan and “outside Japan” shall not be subject to this Act. “Outside Japan” in this Act is not interpreted as the foreign States. See, Consumption Tax Act, Act No. 108 (30 December 1988 as amended), Art. 7(1)(iii).

  95. 95.

    ITAR, supra note 47, Sec. 120.17 (a)(2).

  96. 96.

    EAR, supra note 50, Sec. 734.3 (a)(2).

  97. 97.

    Ibid., Sec. 734.2 (a)(1).

  98. 98.

    Ibid., Sec. 734.2 (b)(1).

  99. 99.

    Loi no. 2008-518 du 3 juin 2008 relative aux opérations spatiales (French Space Operations Act) (3 June 2008), Art. 3.

  100. 100.

    Outer Space Treaty, supra note 1, Art. VI.

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  1. Keio University Law School, Tokyo, Japan

    Setsuko Aoki

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  1. Graduate School of Law, Kobe University, Kobe, Japan

    Dai Tamada

  2. Institute of Space and Telecommunications Law (IDEST), University Paris-Sud, Paris, France

    Philippe Achilleas

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Aoki, S. (2017). Export Control in Space Activities. In: Tamada, D., Achilleas, P. (eds) Theory and Practice of Export Control. SpringerBriefs in Economics(). Springer, Singapore. https://doi.org/10.1007/978-981-10-5960-5_12

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