(U) REQUEST FOR INFORMATION ON RUSSIAN EXPORT

S E C R E T STATE 027803


E.O. 12958: DECL: 03/23/2034
TAGS: PINR PARM RS
SUBJECT: (U) REQUEST FOR INFORMATION ON RUSSIAN EXPORT
CONTROL POLICY (C-RE9-00574)

Classified By: SUZANNE MCCORMICK, DIR., INR/OPS. REASON: 1.4(C).


1. (C) WASHINGTON ANALYSTS ARE INTERESTED IN ANY
INFORMATION CONCERNING RUSSIAN EXPORT CONTROLS ON DUAL-USE
ITEMS THAT COULD BE APPLICABLE TO NUCLEAR WEAPONS, BALLISTIC
OR CRUISE MISSILES, BIOLOGICAL WEAPONS, CHEMICAL WEAPONS, OR
ADVANCED CONVENTIONAL WEAPONS. ANALYSTS ARE HOPING TO
DEVELOP INSIGHT INTO MOSCOW'S VIEWS OF ITS EXPORT CONTROL
SYSTEM AND EVALUATE THE STRENGTHS AND WEAKNESSES OF THE
SYSTEM AND PROSPECTS FOR ITS IMPROVEMENT. ANALYSTS WOULD
APPRECIATE IT IF POST COULD PROVIDE ANY AVAILABLE INFORMATION
REGARDING RUSSIAN GOVERNMENT VIEWS OF RUSSIAN EXPORT
CONTROLS, THE MECHANICS OF HOW CHANGES IN THE POLICY ARE
MADE, WHO THE DECISIONMAKERS ARE, AND THE REALITIES OF HOW
EXPORT CONTROLS ARE OR ARE NOT IMPLEMENTED, AS TIME AND
RESOURCES PERMIT. MANY THANKS, AND REGARDS FROM WASHINGTON.


A. (U) VIEWS OF EXPORT CONTROL SYSTEM

1) (S) WHAT DO RUSSIAN OFFICIALS ASSESS TO BE THE STRENGTHS
AND WEAKNESSES OF THE EXPORT CONTROL SYSTEM?

2) (S) WHAT ARE MOSCOW'S VIEWS OF RECEIVING ASSISTANCE FROM
OTHER COUNTRIES AIMED TO IMPROVE RUSSIAN EXPORT CONTROLS?
WHAT KIND OF ASSISTANCE DOES MOSCOW FIND MOST VALUABLE AND/OR
USEFUL?

3) (S) HOW DO RUSSIAN EXPORTERS VIEW THE EXPORT CONTROL
SYSTEM? WHAT DO THEY ASSESS TO BE THE SYSTEM'S STRENGTHS AND
WEAKNESSES? HOW DO IMPORTERS IN FOREIGN COUNTRIES VIEW THE
SYSTEM?

4) (S) WHICH PARTS OF THE PROCESS TO OBTAIN AN EXPORT
LICENSE DO EXPORTERS FIND PARTICULARLY DIFFICULT OR EASY?


B. (U) PLANS AND INTENTIONS FOR EXPORT CONTROL SYSTEM

1) (S) WHAT ARE MOSCOW'S GOALS FOR ITS EXPORT CONTROL
SYSTEM?

2) (S) WHAT KIND OF TRANSFERS DO RUSSIAN OFFICIALS EXPRESS
THE MOST CONCERN ABOUT? THE LEAST CONCERN?

3) (S) HOW DO RUSSIAN OFFICIALS ASSESS THE GOALS FOR THEIR
EXPORT CONTROL SYSTEM COMPARE TO THOSE OF OTHER COUNTRIES
(SUCH AS THE UNITED STATES AND EUROPEAN UNION COUNTRIES)?

4) (S) HAVE RUSSIAN OFFICIALS EXPRESSED CONCERN ABOUT
CERTAIN TECHNOLOGIES OR INFORMATION GETTING INTO THE HANDS OF
OTHER COUNTRIES? WHICH TECHNOLOGIES OR INFORMATION? WHICH
COUNTRIES IN PARTICULAR?


C. (U) OPERATIONS OF EXPORT CONTROL SYSTEM

1) (S) WHO ARE THE KEY DECISIONMAKERS THAT FORMULATE AND/OR
IMPLEMENT RUSSIA'S EXPORT CONTROL POLICY? WHICH PARTS OF THE
RUSSIAN GOVERNMENT HAVE THE LARGEST ROLE AND GREATEST
INFLUENCE OVER FORMULATING AND IMPLEMENTING POLICY? WHAT
ROLE DO PREMIER PUTIN AND PRESIDENT MEDVEDEV SPECIFICALLY
PLAY IN EXPORT CONTROL DECISIONMAKING?

2) (S) HOW DOES MOSCOW CHANGE ITS EXPORT CONTROL POLICY?
WHAT STEPS MUST OFFICIALS GO THROUGH TO DO SO?

3) (S) WHAT POLICIES ARE MOSCOW CURRENTLY IMPLEMENTING TO
IMPROVE OR CHANGE IN ANY WAY RUSSIAN EXPORT CONTROL POLICY?

4) (S) ARE THERE ANY PARTICULAR INCIDENTS THAT PUSH MOSCOW
TO CHANGE EXPORT CONTROL POLICY?

5) (S) DOES MOSCOW RESTRICT SALES OF CERTAIN ITEMS? SALES
TO CERTAIN COUNTRIES? IF SO, ARE SUCH RESTRICTIONS IN
WRITING?

6) (S) WHAT IS THE NATURE OF THE FORMAL AND INFORMAL
RELATIONSHIP BETWEEN RUSSIAN EXPORT CONTROL OFFICIALS AND
EXPORTERS (E.G. ADVERSARIAL OR PERSONAL)?

7) (S) WHAT INCENTIVES IF ANY EXIST FOR RUSSIAN EXPORTERS
TO FOLLOW EXPORT LAWS?

8) (S) WHAT PUNISHMENTS DO VIOLATORS OF RUSSIAN EXPORT
CONTROLS FACE?

9) (S) HOW DOES RUSSIA MAKE AND IMPLEMENT CATCH-ALL
CONTROLS DECISIONS?

10) (S) WHAT PROCESS DOES RUSSIA USE TO VALIDATE END-USERS
FOR EXPORTS OF SENSITIVE AND DUAL-USE ITEMS?


D. (U) CORRUPTION AND EVASION OF EXPORT CONTROLS

1) (S) WHAT FACTORS DRIVE RUSSIAN EXPORTERS TO ATTEMPT TO
CIRCUMVENT EXPORT CONTROL LAWS (BUREAUCRACY, MONEY, LAZINESS,
ETC.)?

2) (S) ARE THERE ANY PARTICULAR ASPECTS OF THE EXPORT
CONTROL LICENSE APPLICATION PROCESS THAT DRIVE RUSSIAN
EXPORTERS TO CIRCUMVENT EXPORT CONTROL LAWS?

3) (S) DO RUSSIAN EXPORTERS FEEL PRESSURE TO FOLLOW EXPORT
CONTROL LAWS? IF SO, FROM WHERE?

4) (S) WHAT STRATEGIES DO RUSSIAN EXPORTERS USE TO
CIRCUMVENT RUSSIAN EXPORT CONTROLS?

5) (S) WHAT ROLE DOES CORRUPTION PLAY IN RUSSIA'S EXPORT
CONTROL SYSTEM?

6) (S) WHAT PUNISHMENTS DO RUSSIAN EXPORTERS EXPECT AND/OR
FEAR FOR VIOLATING EXPORT CONTROLS?

7) (S) HOW DO RUSSIAN OFFICIALS ASSESS THE EFFECTIVENESS OF
THE PUNISHMENTS EXPORTERS ARE SUBJECT TO FOR VIOLATING EXPORT
CONTROLS?


2. (U) PLEASE CITE C-RE8-1565-067-09 IN THE SUBJECT LINE OF
REPORTING IN RESPONSE TO THE ABOVE QUESTIONS.


CLINTON