ARINC 444-2011 OVERVIEW OF EXPORT CONTROL ISSUES FOR FLIGHT TRAINING DEVICES《飞行训练器的出口管制问题概述》.pdf

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1、 AN DOCUMENT Prepared by FSEMC Published by AERONAUTICAL RADIO, INC. 2551 RIVA ROAD, ANNAPOLIS, MARYLAND 21401-7435 OVERVIEW OF EXPORT CONTROL ISSUES FOR FLIGHT TRAINING DEVICES ARINC REPORT 444 PUBLISHED: August 25, 2011 This document is published information as defined by 15 CFR Section 734.7 of t

2、he Export Administration Regulations (EAR). As publicly available technology under 15 CFR 74.3(b)(3), it is not subject to the EAR and does not have an ECCN. It may be exported without an export license. DISCLAIMER THIS DOCUMENT IS BASED ON MATERIAL SUBMITTED BY VARIOUS PARTICIPANTS DURING THE DRAFT

3、ING PROCESS. NEITHER AEEC, AMC, FSEMC NOR ARINC HAS MADE ANY DETERMINATION WHETHER THESE MATERIALS COULD BE SUBJECT TO VALID CLAIMS OF PATENT, COPYRIGHT OR OTHER PROPRIETARY RIGHTS BY THIRD PARTIES, AND NO REPRESENTATION OR WARRANTY, EXPRESS OR IMPLIED, IS MADE IN THIS REGARD. ARINC INDUSTRY ACTIVIT

4、IES USES REASONABLE EFFORTS TO DEVELOP AND MAINTAIN THESE DOCUMENTS. HOWEVER, NO CERTIFICATION OR WARRANTY IS MADE AS TO THE TECHNICAL ACCURACY OR SUFFICIENCY OF THE DOCUMENTS, THE ADEQUACY, MERCHANTABILITY, FITNESS FOR INTENDED PURPOSE OR SAFETY OF ANY PRODUCTS, COMPONENTS, OR SYSTEMS DESIGNED, TES

5、TED, RATED, INSTALLED OR OPERATED IN ACCORDANCE WITH ANY ASPECT OF THIS DOCUMENT OR THE ABSENCE OF RISK OR HAZARD ASSOCIATED WITH SUCH PRODUCTS, COMPONENTS, OR SYSTEMS. THE USER OF THIS DOCUMENT ACKNOWLEDGES THAT IT SHALL BE SOLELY RESPONSIBLE FOR ANY LOSS, CLAIM OR DAMAGE THAT IT MAY INCUR IN CONNE

6、CTION WITH ITS USE OF OR RELIANCE ON THIS DOCUMENT, AND SHALL HOLD ARINC, AEEC, AMC, FSEMC AND ANY PARTY THAT PARTICIPATED IN THE DRAFTING OF THE DOCUMENT HARMLESS AGAINST ANY CLAIM ARISING FROM ITS USE OF THE STANDARD. THE USE IN THIS DOCUMENT OF ANY TERM, SUCH AS SHALL OR MUST, IS NOT INTENDED TO

7、AFFECT THE STATUS OF THIS DOCUMENT AS A VOLUNTARY STANDARD OR IN ANY WAY TO MODIFY THE ABOVE DISCLAIMER. NOTHING HEREIN SHALL BE DEEMED TO REQUIRE ANY PROVIDER OF EQUIPMENT TO INCORPORATE ANY ELEMENT OF THIS STANDARD IN ITS PRODUCT. HOWEVER, VENDORS WHICH REPRESENT THAT THEIR PRODUCTS ARE COMPLIANT

8、WITH THIS STANDARD SHALL BE DEEMED ALSO TO HAVE REPRESENTED THAT THEIR PRODUCTS CONTAIN OR CONFORM TO THE FEATURES THAT ARE DESCRIBED AS MUST OR SHALL IN THE STANDARD. ANY USE OF OR RELIANCE ON THIS DOCUMENT SHALL CONSTITUTE AN ACCEPTANCE THEREOF “AS IS” AND BE SUBJECT TO THIS DISCLAIMER. 2011 BY AE

9、RONAUTICAL RADIO, INC. 2551 RIVA ROAD ANNAPOLIS, MARYLAND 21401-7435 USA Prepared by the FSEMC Report 444 Adopted by the FSEMC Steering Committee July 21, 2011 ARINC REPORT 444 OVERVIEW OF EXPORT CONTROL ISSUES FOR FLIGHT TRAINING DEVICES Published: August 25, 2011ii FOREWORD Aeronautical Radio, Inc

10、., and the ARINC Standards ARINC organizes aviation industry committees and participates in related industry activities that benefit aviation at large by providing technical leadership and guidance. These activities directly support aviation industry goals: promote safety, efficiency, regularity, an

11、d cost-effectiveness in aircraft operations. ARINC Industry Activities organizes and provides the secretariat for international aviation organizations (AEEC, AMC, FSEMC) which coordinate the work of aviation industry technical professionals and lead the development of technical standards for airborn

12、e electronic equipment, aircraft maintenance equipment and practices and flight simulator equipment and used in commercial, military, and business aviation. The AEEC, AMC, and FSEMC develop consensus-based, voluntary standards that are published by ARINC and are known as ARINC Standards. The use of

13、ARINC Standards results in substantial technical and economic benefit to the aviation industry. There are three classes of ARINC Standards: a) ARINC Characteristics Define the form, fit, function, and interfaces of avionics and other airline electronic equipment. ARINC Characteristics indicate to pr

14、ospective manufacturers of airline electronic equipment the considered and coordinated opinion of the airline technical community concerning the requisites of new equipment including standardized physical and electrical characteristics to foster interchangeability and competition. b) ARINC Specifica

15、tions Are principally used to define either the physical packaging or mounting of avionics equipment, data communication standards, or a high-level computer language. c) ARINC Reports Provide guidelines or general information found by the airlines to be good practices, often related to avionics main

16、tenance and support. The release of an ARINC Standard does not obligate any organization or ARINC to purchase equipment so described, nor does it establish or indicate recognition or the existence of an operational requirement for such equipment, nor does it constitute endorsement of any manufacture

17、rs product designed or built to meet the ARINC Standard. In order to facilitate the continuous product improvement of this ARINC Standard, two forms are included in the back of this document: An Errata Report solicits any corrections to existing text or diagrams that may be included in a future Supp

18、lement to this ARINC Standard. An ARINC IA Project Initiation/Modification (APIM) form solicits any proposals for the addition of technical material to this ARINC Standard. ARINC REPORT 444 TABLE OF CONTENTS iii 1.0 EXECUTIVE SUMMARY . 1 1.1 Scope and Intent 1 1.2 Benefit 1 1.3 Legal Implications 1

19、1.4 Reference Documents . 1 2.0 TERMINOLOGY 3 2.1 General 3 2.1.1 Document Terms . 3 2.2 International Treaties and Regimes . 3 2.2.1 Wassenaar Arrangement 3 2.2.2 Nuclear Suppliers Group . 4 2.2.3 Missile Technology Control Regime 5 2.2.4 Australia Group . 5 2.3 Term and Definitions 5 2.3.1 Interna

20、tional Traffic in Arms Regulations 5 2.3.1.1 Defense Articles . 6 2.3.1.2 Technical Assistance Agreement - TAA . 6 2.3.1.3 Manufacturing License Agreement - MLA 6 2.3.1.4 Distribution Agreement - DA . 6 2.3.1.5 Significant Military Equipment - SME 7 2.3.1.6 Technology . 7 2.3.1.7 Services 7 2.3.1.8

21、Item . 7 2.3.1.9 Derived Technology 8 2.3.1.10 Export . 8 2.3.1.11 Re-export/Retransfer 8 2.3.1.12 Deemed Export . 8 2.3.1.13 See Through Rule 8 2.3.1.14 Marketing 8 2.3.2 Directorate of Defense Trade Controls - DDTC 8 2.3.3 Bureau of Industry and Security - BIS . 9 2.3.4 Export Administration Regul

22、ations - EAR 9 2.3.5 Commerce Control List - CCL . 9 2.3.6 Export Classification Control Number - ECCN 10 2.3.6.1 Harmonized Tariff Schedule . 12 2.3.6.2 U.S. Census Bureau Schedule B . 12 2.3.7 De Minimis . 12 2.3.8 Office of Foreign Assets Control - OFAC 12 3.0 TYPES OF REGULATIONS 13 4.0 CONSIDER

23、ATIONS . 15 4.1 Civil Considerations . 15 4.2 Export License Requirements 15 4.3 Military Considerations . 17 4.3.1 ITAR Data Supplier Obligations 17 4.3.1.1 ITAR Data Delivery . 17 4.3.2 Foreign Military Sales 18 5.0 EXAMPLES OF CONSIDERATIONS 19 6.0 IMPORT ISSUES . 20 7.0 CLASSIFICATION AND LIFE C

24、YCLE CONSIDERATIONS 21 7.1 Classification 21 ARINC REPORT 444 TABLE OF CONTENTS iv 7.1.1 Types of Classifications . 21 7.1.2 Levels of Classifications 21 7.1.3 Reclassification . 21 7.2 Lifecycle Consideration 22 7.2.1 Sales Related Activities . 23 7.2.2 Manufacturing 24 7.2.3 Delivery . 24 7.2.4 Pr

25、oduct Sustainment . 25 7.2.5 Product Use . 25 7.2.6 Product Resale 26 7.2.7 Product Disposal and Decommissioning . 26 8.0 INTERNAL CORPORATE CONSIDERATIONS 27 8.1 General 27 8.2 Corporate Technical Support . 27 8.2.1 Information Technology . 27 8.2.2 Internal Corporate Access to Information 28 8.2.3

26、 Record keeping . 28 9.0 DUE DILIGENCE . 29 9.1 General 29 10.0 HYPOTHETICAL EXPORT SCENARIOS 30 10.1 General 30 10.2 Lease Export Scenario . 30 10.2.1 Lease Export Potential Issues . 31 10.3 Maintenance Update Export Scenario . 31 10.3.1 Maintenance Update Potential Issues . 32 10.4 Training Export

27、 Scenario . 32 10.4.1 Training Export Potential Issues: . 33 10.5 Controlled Item Export Scenario 33 10.5.1 Controlled Item Potential Issues 33 10.6 Relocation of Device Export Scenario 34 10.6.1 Controlled Item Potential Issues 34 10.7 Sales Export Scenario . 35 10.7.1 Controlled Item Potential Iss

28、ues 35 APPENDICES APPENDIX A ACRONYMS 36 APPENDIX B REFERENCES . 37 ARINC REPORT 444 TABLE OF CONTENTS v FIGURES FIGURE 1 - ECCN CHARACTERS . 11 FIGURE 2 - UNDERSTANDING THE ECCN CODES 11 FIGURE 3 - LEASE EXPORT SCENARIO . 30 FIGURE 4 - MAINTENANCE UPDATE EXPORT SCENARIO . 31 FIGURE 5 - TRAINING EXP

29、ORT SCENARIO 32 FIGURE 6 - CONTROLLED ITEM EXPORT SCENARIO . 33 FIGURE 7 - RELOCATION OF DEVICE EXPORT SCENARIO . 34 FIGURE 8 - SALES EXPORT SCENARIO . 35 TABLES TABLE 1 - WASSENAAR ARRANGEMENT CONTROL LIST 4 TABLE 2 - CCL CATEGORIES . 10 TABLE 3 - CCL PRODUCT GROUP . 10 TABLE 4 - EXPORT CONSIDERATI

30、ONS . 19 TABLE 5 - LIFECYCLE CONSIDERATIONS 22 TABLE 6 - CORPORATE COMMUNICATIONS . 27 ARINC REPORT 444 Page 1 1.0 EXECUTIVE SUMMARY 1.0 EXECUTIVE SUMMARY Export control is a considerable task for companies in the Flight Simulation Training Device (FSTD) industry. An organization must be aware of th

31、e existence of and the consequences of non-compliance with the applicable export regulations; this report intends to provide an overview of the issues in this regard. A consideration or explanation may include the similarities and differences with European, Asian, and North American generalities wit

32、h regards to export controls. In short, the United States has fairly restrictive export regulations as opposed to European regulations. 1.1 Scope and Intent This document intends to provide the reader with an overview of the importance of export control along with general information to consider. Th

33、is is not a complete primer on the subject but is intended to give the reader a basic understanding of export issues in the flight simulation and training industry. To serve the widest audience, a worldwide view is taken; however, as the U.S. regulations and requirements are considered the widest re

34、aching, these are given the majority of attention in the text. This document does not serve the purpose of discussing Intellectual Property (IP), classified information, or specific logistics of any of these processes. However, it should be known that the concepts and tenets in this document may be

35、applied to IP issues in very similar examples. Furthermore, this document is not all inclusive of every issue that may be evident in a technology transfer event. The intricacies of export control are complex and are not attempted to be fully defined here. To accurately address an organizations expor

36、t control issues they should consult with experienced, knowledgeable professionals in this area. 1.2 Benefit This report is intended to provide an overview that will allow the flight simulation and training industry to be more knowledgeable when dealing with export control and regulation issues. Thi

37、s knowledge coupled with the advice and assistance of legal counsel may allow an organization to avoid major delays and reduce risks when dealing with import and export control issues, as well as promote compliance with national and international laws and regulations. 1.3 Legal Implications Failure

38、to comply with export control laws and regulations may result in serious consequences. The consequences can be against the organization, as well as against individuals involved. These may include financial fines, personal criminal liability of individuals, imprisonment, suspension of import/export p

39、rivileges, or other punitive actions. 1.4 Reference Documents This report is intended to be a high-level overview of export control for technical professionals in the flight simulation training industry. Throughout this document, references are made to governing entities, statutes, regulations, and

40、agreements. In ARINC REPORT 444 Page 2 1.0 EXECUTIVE SUMMARY all cases it is intended that the latest versions of the referenced documents apply, as well the sources of the terms and definitions used in this ARINC Report. The reader should ensure that the most current versions of all documents, webs

41、ites, and contacts should be referenced when researching or considering compliance issues. ARINC REPORT 444 Page 3 2.0 TERMINOLOGY 2.0 TERMINOLOGY 2.1 General To understand the implications of export control and compliance, one must understand the terms used in the various laws and regulations. Thes

42、e terms are mostly standardized throughout the world but may have minor variances depending on where they are encountered. For more information, see Appendix B for references to specific national and international entities. In all cases it is intended that the latest versions of the referenced docum

43、ents and information sources apply, as well the sources of the terms and definitions used in this ARINC Report. The reader should ensure that the most current versions of all documents, websites, and contacts should be referenced when researching or considering compliance issues. An organization sho

44、uld extensively research all information independently of this document. 2.1.1 Document Terms In this document the term flight simulation and training industry is intended to encompass all aspects of a training program, such as: Simulation training devices Simulator support equipment Engineering ser

45、vices Maintenance services Training services Training materials Update services 2.2 International Treaties and Regimes The intent of this document is to guide the reader to a positive outcome when exporting technology. The majority of the issues in export control are based on the applicability of Un

46、ited States regulations. See Chapter 3 for more information on these specific U.S. issues. Internationally, there have been several collaborative efforts on the behalf of groups of nations to standardize export requirements, and the agreements and treaties become the basis of national regulations of

47、 the participants. The following sections are brief descriptions of some of these efforts. 2.2.1 Wassenaar Arrangement The Wassenaar Arrangement (WA) was established in order to contribute to regional and international security and stability by promoting transparency and greater responsibility in tr

48、ansfers of conventional arms and dual-use goods and technologies, thus preventing destabilizing accumulations. The majority of trading countries adhere to the requirements of the Wassenaar Arrangement. Participating states seek, through their national policies, to ensure that transfers of these item

49、s do not contribute to the development or enhancement of military capabilities which undermine these goals and are not diverted to support such capabilities. ARINC REPORT 444 Page 4 2.0 TERMINOLOGY The WA Participating states: Have agreed to maintain national export controls on listed items. These controls are implemented via national legislation. Have agreed to report on transfers and denials of specified controlled items to destinations outside the Arrangement. Are guided by agreed Best Practices, Guidelines, or Elements. Exchange information on sens