In recent years, Due to American generalization "National security" concept, Frequent implementation of technical restrictions, Export control is a policy tool that attracts much attention. But as an instrument of trade policy, Export controls were imposed by wartime "embargo" evolved, It's been used since World War II, It is a restrictive measure taken specifically for the export link. This text, Our view of the international export control mechanism from two dimensions: how does the United States control the voice of multilateral mechanisms and the timeline of global technological development and change, Do a historical review.

one, The US has a say in multilateral mechanisms

After World War II, Pushed by the United States, 1949～1950 years, Through several rounds of talks, European countries decided to jointly implement export controls with the United States, Set up "Coordinating committee of Paris" (For short "Batumi" , For short COCOM) ; After the Soviet Union and Eastern Europe changed, Batumi disintegration, Again at the push of the United States, in 1996 The Wassenaar Arrangement was established (For short WA) .

During this period, Both Batumi, It's still a follow-up Wassenaar arrangement, Are heavily influenced by the United States.

(one) Batumi gave the United States the right to set export control rules

１．Origin of the Batumi List

Before Batumi was founded, The United States interacts with Western European countries, 1948 years 3 month-end "Economic cooperation law" The first 117[D]Amendment provision, European recovery program (Also known as the Marshall Plan) If a participating country exports U. S. prohibited materials to a non-participating country, The United States has the right to deny aid to them, establish "If trade is not regulated, Cut off aid" The principle of.

1948 Summer of 1996, The United States develops trade control lists, Divided into practiceacross-the-board "1A" (For military use) List and limit export quantity "1B" (dual-purpose) Detailed list, Subsequently, it actively recommended its trade control list to Western European countries. The United States first 1948 years 9 monthBritishwardssubmitted "United States trade control list" , The British government agreed to export to the United States "1B" To provide intelligence to the United States when listing items. The same year 12 month, France, Italy, Belgium, Holland, W. GERMANY, Austria, Denmark, Sweden, Norway has only officially received the list. It can be seen that, For Western European countries, The United States takes a different approach, Consult Britain first, Embodies the United States before "The sun never sets on the Empire" Attach importance to, It's also a sign that America has never been good at anything "Trade embargo" The United Kingdom won the right to set the rules.

1949 Beginning of the year, The Joint Committee on External Economic Cooperation of the United States Congress sent representatives to study export control policies in Western Europe, stressWestern European countries have not paid attention to US export control efforts. The UK has the most compatible list, but 163 There are only 9 American species 1A Detailed list. therewithThe United States asked Western European countries to establish a multilateral commission, Consider adjusting the coordination list monthly.

1949 years 1 month, Britain, France, Italy, Holland, Belgium, Sweden, Representatives of the seven countries of Switzerland met in Paris, American 1A Detailed list; 3 month, Britain and France jointly drew up trade control lists, 9 The month raised more than the United States 1A Little list 48 Growing items "Common list" .

2．Composition of the Batumi List

1949 years 11 month, America, Britain, France, Italy, Holland, Belgium six countries held a meeting, Agreed to develop an international safety control list, in 1950 years 1 Batumi was founded in October, The embargo on goods and technology was imposed mainly against the Soviet Union and Eastern European countries, The list is a list of prohibited goods and technologies.

Batumi's international safety control list falls into three categories: The first category is the list of military goods, The second category is the list of atomic energy, The third category is the international Industry list or international list. For the military inventory and the atomic inventory, Batumi member states highly agree, Considers the need for export controls; But for the international industry list, There are big differences between the United States and Western European countries, For this purpose, Batumi set up a consultation group, Identify asThe lowest level accepted by all countries, States can add additional control items on this basis.

The list of international industries is divided into three categories: (1) International list I Are completely prohibited items, Also known as the embargo list; (2) International list II Items that limit the quantity of exports and exchange actual export information; (3) International list III For sale, But exporting countries need to regulate end-use items.

After the founding of Batumi, America 1A Detailed list (177 Kind of) Hit the mark 144 Species listed on international lists I, 6 Species listed on international lists II, 27 Species listed on international lists III.

After the Korean War broke out, At the urging of the United States, 1951 years 1 month, Batumi accepts US 1B Detailed list, In addition to 47 Subject to negotiation, All the rest included.

therefrom, After World War II, The United States shakes up the empire on which the sun never sets--Britain, With the help of the Marshall Plan "Lure by gain" Sum condition, Tie the EBRD programme to export controls, And then the completion of the new rules from the lead, To output the new rule, And obtain "Ally" The whole process of value identification, The establishment of American leadership in the new multilateral institutions.

(two) The establishment and operation mechanism of Wassenaar arrangement

After the collapse of the Soviet Union, 1992 years 12 month, US President George W. Bush (George H. W. Bush) Put forwardCreate a multilateral system different from Batumi; 1993 years 4 month, During a meeting between then-President Bill Clinton and Russian President Boris Yeltsin, Batumi was dissolved.

1993 years 11 month 16 day, Batumi 17 Representatives of the member states agreed to disband Batumi at a high-level meeting in The Hague, Netherlands, Building a new multilateral system.

1994 years 3 High-level meeting held in Wassenaar, the Netherlands, in October, The decision to dissolve Batumi was further confirmed. 1994 years 3 month 31 day, Batumi is officially dissolved.

"Batumi" Consent of member states, Before new mechanisms are established, Continue to use the Batumi List as the basis for global export controls.

1．Continuation of Batumi's core list and armaments list

1995 years 9 A high-level meeting in Wassenaar, the Netherlands, in October agreed to admit Russia, Czech Republic, Hungary, Poland and Slovakia as founding members, And proclaimed "New forum" . 12 At a high-level meeting in October, The delegates agreed to the establishment "About conventional weapons, Wassenaar Arrangement for export control of dual-use items and technologies" .

1996 years 4 month, Wassenaar arranged for an inaugural meeting to be held in Vienna; 1996 years 7 month, Resumption of plenary session; 9 month, The Wassenaar arrangement is in effect, List at 11 month 1 Daily implementation.

Arranged by WassenaarContinued the Batumi core list (Dual purpose list) And a list of military supplies, And the atomic energy list because member states believe that its contents have been "Treaty on the Non-Proliferation of Nuclear Weapons" (NPT) Overridden but not adopted.

The dual-use control list follows the Batumi List, The encoding system is still a three-digit number+monogram, Add product categoriesA equipment, Components and components expand into systems, Equipment and components, Remaining unchanged.

2．Add sensitive and extremely sensitive lists to the dual-use list

On the basis of the Batumi list, Wassenaar arranged for some of the items to be selected, As sensitive list and extremely sensitive list.

The selection criteria for the sensitive list are: Dual-use listDirect and advancedIndigenous development of conventional military capabilities, Give birth to, Apply and improve relevant key factors.

The selection criteria for the extremely sensitive list are: Dual use list on the rightState of the artIndigenous development of conventional military capabilities, Give birth to, Application and improvementvitalKey factor of.

3．How Wassenaar operates

Wassenaar arranges for member States to implement effective export controls on items on the agreed list, These lists are regularly reviewed, Make it in line with technological trends.

Member states meet regularly at headquarters in Vienna. Wassenaar member states through the exchange of views and information, Reports on the transfer or denial of transfer of certain controlled dual-use items, Assess the risks associated with technology transfer. Member states must 6 Monthly notification of arms transfers or transfers to non-member states/Specific cases of rejection of certain dual-use products and technologies. In some cases, Shorter notification periods apply, If the sensitive list is 30-60 day.

Decisions on the Wassenaar arrangement are made by consensus among member states, Member States' proposals related to the list also require unanimity before they can be implemented.

Apart from the list, Wassenaar arranged to pass "Best practice" Providing guidance to member States, Transit involved/transport, Demilitarized military equipment, Dual-use products and technologies, Industry and academia, End user and end user control and other eight aspects.

In addition, Member States also shared their experience in national export control enforcement, Includes experience in licensing and enforcement practices.

2018 Since these years, The United States at "Export Control Reform Act" In the process of implementation, High regard for emerging technologies, coexistence WA Plane advance pair "Technology in development" Control of, Such as ECAD Software etc; For those that are not in the interests of American business, Actively promote the revision of the list, Such as cybersecurity items. So to speak, From establishment to operation of multilateral mechanism, The United States has absolute influence.

two, Timeline of global technological development and change

The Batumi Control List is adapted to international technological trends, At the same time, it also changes with the adjustment of the geopolitical landscape.

It can be seen from the following table, List modification, It was related to the technological development at that time, It's also about geopolitics, International relations are closely related. After World War II, In the context of the Cold War between the two superpowers, The export control list fully embodies the relationship between the two camps "Technological confrontation" .

1．1954 The Batumi list was reduced for the first time

After the Korean War, Britain and France have called for a scaled-down control list, Item dependency 474 Species reduction to 252 Kind of, And will international list I The item is divided into A～M A total of 13 group.

2．1958 Annual adjustments add electronic products

After the first Soviet satellite was launched, 1958 years, Batumi has made major changes to the control list, International list I Embargoed list, International lists were replaced with monitoring lists II International list III, Surveillance was on the prohibited list, Now unrestricted, But for the socialist country at that time--Countries such as the Soviet Union and Eastern Europe are items of great significance. The embargo list contains strategically important items, Fall into A~K A total of 11 group, And according to technological developmentsAdded computer, Network equipment and other electronic products.

3．1960 Year determination code

in 1960 In the revised embargo list, Military inventory and atomic energy inventory are listed A Group sum B group, This was followed by the previous international list I Dual-use items in the embargo list, The standard coding is adopted, The foundation of the Batumi dual-use control List was laid.

1960 annualizedDual-use items are 10 class, As shown in the table below. This period, Electrical and power equipment, Synthetic rubber and other related technologies and industries have been rapidly developed. Cutting-edge technologies involved in these areas are also reflected in the list.

4．1969 The embargo List was renamed the Export Control List

After the Cuban crisis, Relations between the United States and the Soviet Union have eased. 1965 years, According to a report prepared by the U. S. Special Committee on East-West Trade Policy, Trade should be brought into the political sphere, Depending on the opportunity and situation, Proper purpose, Systematically conducting or suppressing trade...

1966 years, BatumiEmbargo List International list I Officially renamed as "List of industries" , Military inventory, Atomic energy is no longer listed with it. The list of industries is still divided 10 class, In turn: A Group metal processing machinery; B Group petrochemical equipment...

1969 years, In the Batumi list "embargo" disappear, "Embargo list" instead "Export control list" , The list classification has not changed.

5．Optimization technology grouping

With the development of technology, Many pieces of hardware continue to add electronic components, Since the 1976 from, Batumi listwill G Group of scientific instruments and equipment, Servo system and photographic equipment with F Group electronic equipment including telecommunications and radar integration into electronic equipment including telecommunications, radar, Computer hardware and software, But the architecture remains largely unchanged.

On account of J Combination into rubber and synthetic film long only 1 product, 1985 after, Cancel the class, The list of industries was changed to nine categories.

6．1991 A core list that lays the foundation for the future

1984 years, The House Armed Services Committee's investigation report asks for presidential authorization, Impose sanctions on Batumi member States engaged in illicit technology transfer. Western Europe, Japan's trade with the Soviet Union was affected, In addition "Toshiba affair" influence, The European Parliament recommended disbanding Batumi; 1988 years 1 month～1989 years 10 month, Western European countries are constantly engaged in heated discussions with the United States, Call for deregulation.

1989 After the fall of the Berlin Wall and the collapse of the Soviet Union and Eastern Europe, The American administration has advised its Allies on cautious reform of Batumi.

1990 years 6 month 6～7 The high-level meeting held in Batumi decided to adopt the United States, British proposal, Only rightControl of dual-use items and technologies necessary for Western security, Make a copyCore list, To replace the current list of industries.

1991 years 3 month, United States and 16 A group of Western Allies agreed on a new system of export controls, 9 Batumi began implementing the core list in October.

The core list uses a new classification method, Incorporating software and technology for the first time, Merge and build 3 Bit coding system: The first 1 The digit is the industry classification, The name of the industry classification is from the previous one "group" instead "class" , Still have 9 class; The first 2 A bit letter is used to classify products, There are 5 Kind of: A Is a device, Components and components, B For test, Testing and production equipment, C As material, D As software, E For technology; The first 3 The bit is a natural serial number, This laid the foundation of the modern coding system.

three, Sum up

Why Batumi was founded, Be at "Cold war" Under the background of, Led by the US "North Atlantic Treaty Organization" State restrictions were led by the Soviet Union "The Warsaw Treaty Organization" nation, Restrictions on high-tech and strategic materials will be imposed, To prevent the military capabilities of the Soviet Union and Eastern European countries.

Upheaval in Eastern Europe, After the collapse of the Soviet Union, The United States led the creation of the Wassenaar Arrangement, In a relatively peaceful international environment, The United States is based on the prevention of weapons of mass destruction, What is called "Ally" Joint implementation "Total control" , Limit the localization of other countries' military capabilities, Give birth to, Apply, The key technology to protect against the United States is considered "antagonize" State or organization use.

Both Batumi, Or the Wassenaar arrangement that took up his mantle, All through the list, "Keep pace with The Times" Based on global technological trends, On the advanced, Goods that can be used both ways, Software and technology are regulated, This control list is the equivalent of delineating one "Small courtyard" . All members of existing multilateral mechanisms should comply "Small courtyard" Rule of, And keep it up to date "Small courtyard" Adjustment of rules, Make corresponding adjustments to national control items.

Future, With changes in industrial technology and geopolitics, "Small courtyard" The scope of, List content, Will also be based on advanced technology, Changes in strategic resources, And make adjustments accordingly. Export restrictions proposed in recent years by American think tanks "High wall of the small yard" , Originally a military defense concept, Designed to restrict the export of certain technologies, Arranged with Wassenaar "Small courtyard" Range convergence.

Arrangement from Batumi to Wassenaar, The United States has led the direction of export control for dual-use items, Actively promote the Wassenaar Arrangement member states to accept the US proposition under a multilateral framework, Achieve collaborative co-management, Reach its limit, contain, The purpose of curbing the technological development of other countries