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Ukraine:  Legislation

To return to the main Ukrainian export controls legislation entry, see the Export Control Legislation file.

The English translation of this decree was taken from the Stockholm International Peace Research Institute (SIPRI) Web Site.  The Center for Nonproliferation Studies does not take responsibility for the accuracy of the translation.

APPROVED
by the Decree No. 125 by the Cabinet of Ministers of Ukraine,
dated February 4, 1997
with changes according to Decree No. 1042 by the CMU, dated 15 June 1999

General part

1. These Provisions establish a complex of events with regard to the state control over conduct of negotiations between the agents of external economic activity and the foreign agents of economic activity, related with conclusion of the external economic agreements (contracts) about:

- implementation of international transfers of goods, designated for military purposes ;

- export of dual-use goods to the states, to be a subject to binding partial embargo on such goods deliveries.

2. In these Provisions terms, listed below are used in the following meanings:

embargo (full or partial)	a ban or restriction on export of goods, designated for military purposes or dual-use goods to the states, defined by international organizations, to which Ukraine is a member-state, or those towards which appropriate national policy is pursued;
goods, designated for military purposes	products, services or technologies, designated for military purposes, combined or separately stand for: products, designated for military purposes, - armament, ammunitions, military and special engineering, special parts for their production, explosives, as well, as materials and equipment designated specially for development, production or use of those products; services, designated for military purposes, - provision of foreign juridical and natural persons with services in the fields of design, development, construction, production, assembling, testing, repair, maintenance, modification, exploitation, demilitarization, elimination, sale, procurement or use of products or technologies, designated for military purposes, as well, as provision of foreign persons with intermediate services, technical data and technical assistance; technologies, designated for military purposes (hereinafter referring as – technologies) – a special information in any form (excluding an information, published in open sources), required for development, production or use of products, designated for military purposes.
dual-use goods	certain sorts of products, equipment, materials, software and technologies, which besides civilian application, could be used to develop, produce or use goods, designated for military purposes;
goods	goods, designated for military purposes, or those of dual use, which are a subject to international transfers, and therefore to be a subject to export control;
international transfers of goods	export, import of goods, designated for military purposes, or dual-use goods, their transit via the territory of Ukraine, as well, as temporary exportation beyond the border of Ukraine or temporary importation to the territory of Ukraine.

3. These Provisions are valid for conduct of negotiations (regardless the place of conduct), with regard to conclusion of the agreements (contracts) about export of goods, designated for military purposes, to other states, import of those goods to Ukraine, as well, as export of dual-use goods to the states, which are a subject to a partial embargo on deliveries of such goods, providing intermediary services, industrial, scientific-technical and other cooperation, display of exhibits on international exhibitions and fairs with a purpose to advertise, conduct of tests, coastal and border trade, as well, as goods exchange operations, which are implemented by the agents of entrepreneurial activity in accordance with the existing procedures.

4. These Provisions are not valid for conduct of negotiations, which are not going to end with conclusion of the external economic agreements (contracts), as well, as conduct of negotiations, with regard to conclusion of the external economic agreements (contracts), which stipulate:

- displacement of goods, designated for military purposes, in connection with events, conducted by the Armed Forces and other military formations of Ukraine beyond its territory or by military formations of foreign states on the territory of Ukraine in the framework of the international agreements;
- transit of goods, designated for military purposes, or those of dual use via the territory of Ukraine;
- international transfers of dual-use goods, excluding export of dual-use goods to states, which are a subject to full or partial embargo on deliveries of such goods;
- implementation by the agent of external economic activity of import of component parts of products, designated for military purposes, from the CIS states, as well, as import of dual-use goods;
- implementation by the agent of external economic activity of temporary exportation beyond the territory of Ukraine or temporary importation to Ukraine of products, designated for military purposes, and dual-use goods, with exception of their temporary importation, related with provision of military designation.

Implementation of works, related with research, and use of outer space for peaceful purposes, production and exploration of space vehicles, designated for civilian purposes, as well, as conclusion and registration of the agreements of sale or purchase of space vehicles and technologies, designated for civilian purposes, with exception of export of goods, which are subject to control according with the Decree No. 563 by the Cabinet of Ministers of Ukraine, dated 27 July 1995.

Procedures for the state control over conduct of negotiations
5. Procedures for the state control over conduct of negotiations stipulate the following:
- obtaining conclusions regarding possibility to conduct negotiations, issued by the State Export Control, by the agents of external economic activity;
- conclusion by the agents of external economic activity of the agreements (contracts) with the foreign agents of economic activity, with consideration of recommendations, contained in these Provisions;
- presentation by the agent of external economic activity of reports about results of negotiations with the foreign agents of economic activity to the State Export Control;
- liability of the agent of external economic activity for violation of existing procedures for conduct of negotiations.

6. It is prohibited to conduct negotiations regarding the following:

- international transfers of nuclear, chemical or biological weapons, as well, as materials, equipment and technologies, specially designated to create those;
- export of certain sorts of goods, designated for military purposes, and those of dual use to states, which are a subject to full embargo on deliveries of such goods.

7. Lists of states, which are a subject to full or partial embargo on deliveries of goods, designated for military purposes, and those of dual use, as well, as categories of goods, export of which to those states is prohibited or restricted, to be brought to the notice of appropriate central bodies of executive power by the State Export Control.

8. Conduct of negotiations with regard to export and import of goods, designated for military purposes, can be implemented by the agent of external economic activity, who have been granted authorization to export or to import such goods.

9. Conduct of negotiations with regard to export of goods, which are material objects, containing information, attributed to state secrets, to be implemented in line with current legislation on state secrets protection issues.

10. Expertise in the field of export control for making decisions about possibility to conduct negotiations with regard to implementation of international transfers of goods to be conducted in line with current legislation on export control issues.

11. The agent of external economic activity, violating procedures for conduct of international transfers of goods, established by these Provisions, are a subject to liability in line with the current legislation.

Procedures for obtaining conclusions about possibility to conduct negotiations and recommendations with regard to conclusion of the external economic agreements (contracts).

12. A positive conclusion developed by the State Export Control in accordance with results of an expertise in the area of export control, to which MFA experts to be got to take part, is a basis for conduct of negotiations with regard to conclusion of the external economic agreements (contracts) about implementation of international transfers of goods.

The positive conclusion about possibility to conduct negotiations can be used polysemantically in line with a decision by the State Export Control.

13. In order to obtain the conclusion about possibility to conduct negotiations the agent of external economic activity sends to the State Export Control a letter containing brief explanation of the appeal aim, adding the following enclosures:

- 3 copies of a request according to a certain form;
- a written concordance, issued by a ministry or other central body of executive power, to which area of responsibility it belongs;

In case the State Export Control has not conducted preliminary expertise regarding goods, planned to be negotiated, and the agent of external economic activity is not registered by the State Export Control according to the existing procedures as a one which implements export, import of such goods, the following enclosures to be added to the documents, mentioned above;

- list of goods, stipulated to be exported or imported, containing brief description of designation and technical characteristics of either type of goods.

In case it is intended to export technologies or services, to be enclosed instead of the list an annotated summary of those technologies or services, which are stipulated to be transferred with obligatory mentioning of their volumes, designation, and area of use. The list of goods or summary of technologies or services to be signed and sealed by a head of an enterprise or organization and a head of a military representation (if there is any in the enterprise, organization staff);

- a reference about the level of secrecy of data, attributed to state secrets, and to be transferred to other party, whether those are contained in goods, which are stipulated to be exported, if those are material objects, containing information attributed to state secrets or about absence of state secrets. The reference to be signed and sealed by a head of an enterprise or organization, a head of a secrets body and a head of a military representation (if there is any in the enterprise, organization stuff).

Besides those documents, mentioned in this paragraph, the State Export Control can request from the agent of external economic activity extra data or other documents, required to make a reasonable decision for drawing up the conclusion.

14. Consideration of requests for obtaining the conclusion about possibility to conduct negotiations to be implemented by the State Export Control in a period of not more than 15 days. In case it is necessary to implement concordance of issues with ministries, other central bodies of executive power, and with Commission for policy of export control and military-technical cooperation with foreign states, the term of requests consideration can be extended up to 30 days. Time required to obtain additional information is not included to the period of requests consideration.

15. The agent of external economic activity, which according to negotiations results conclude the external economic agreements (contracts) about export of goods, are recommended to introduce the following data to those:

- purpose and place of goods use;
- final customer of goods;
- final destination and amount of goods;
- obligations by the foreign agent of economic activity regarding the following:
- goods received from Ukraine not to be a subject to re-export or transfer to somebody, except for the final customer, without written permission to do that, issued by the exporter and the State Export Control;
- the agent will present a final customer certificate, an import certificate or another document, containing guaranties by the authoritative governmental body of the state receiving goods, regarding final use of those.

Those obligations by the foreign agent of economic activity can be not introduced to the external economic agreements (contracts) in cases of export of goods to international export control regime member-states, in line with a list, enclosed to these Provisions.

The external economic agreements (contracts) about export of goods, designated for military purposes, via the foreign agent of economic activity – intermediary can be concluded only in the presence of authorizations to implement external economic operations with goods, designated for military purposes, issued by the authoritative governmental body of the state, on which territory the intermediary the agent has been registered.

In some cases, upon a request by the State Export Control, the external economic agreement (contract) to be supplemented with an obligation by the foreign agent of economic activity to authorize the exporter or appropriate governmental bodies of Ukraine to conduct inspections of goods, have been exported from Ukraine, proper use, as well, as to present a certificate - confirmation, issued by the authoritative governmental body of the state receiving goods, proving that the goods have been imported to the territory of the state.

In cases it is stipulated to export goods, which are material objects, containing information attributed to state secrets, such a form of delivery should be mentioned in the contract, that ensures permanent guarding of such goods until those are received by a customer, as well, as protection of state secrets.

16. In case the external economic agreements (contracts) has been concluded as a result of negotiations, the agent of external economic activity in not more than 15 days reports to the State Export Control about the negotiations results, enclosing the following:

- a copy of the agreement has been concluded;
- other documents according to a request by the State Export Control.

Official translations to be added to documents developed in foreign languages.

Annex to Provisions about procedures for the state control over conduct of international negotiations, related with conclusion of the external economic agreements (contracts) about implementation of international transfers of goods, designated for military purposes and dual-use goods, approved by the Decree No. 125 by the Cabinet of Ministers of Ukraine, dated February 4 1998

LIST of international export control regime member-states

State	Missile Technology Control Regime	Nuclear Suppliers Group	Australia Group	Wassenaar Arrangement
Argentina	X	X	X	X
Australia	X	X	X	X
Austria	X	X	X	X
Belgium	X	X	X	X
Brazil	X	X
Bulgaria	X	X		X
Canada	X	X	X	X
Czech Republic	X	X	X	X
China	+
Denmark	X	X	X	X
Finland	X	X	X	X
France	X	X	X	X
Germany	X	X	X	X
Great Britain	X	X	X	X
Greece	X	X
Hungary	X	X	X	X
Iceland	X	X
Ireland	X	X	X	X
Israel	+
Italy	X	X	X	X
Japan	X	X	X	X
Latvia		X
Luxembourg	X	X	X	X
Netherlands	X	X	X	X
New Zealand	X	X	X	X
Norway	X	X	X	X
Poland	X	X	X	X
Portugal	X	X		X
Romania	+	X		X
Russia	X	X		X
Republic of South Africa	X	X
Slovakia	+	X		X
South Korea		X		X
Spain	X	X	X	X
Sweden	X	X	X	X
Switzerland	X	X	X	X
Turkey	X			X
Ukraine	X	X		X
USA	X	X	X	X

Notes

X - regime member-states.
+ - states committed themselves to follow the principles of the MTCR.

This material is produced independently for NTI by the Center for Nonproliferation Studies at the Monterey Institute of International Studies and does not necessarily reflect the opinions of and has not been independently verified by NTI or its directors, officers, employees, agents. Copyright © 2003 by MIIS.

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