📋 Korean Law Insight | Foreign Investment
By Attorney NOH UJIN | HANBYOL LAW LLC, Seoul
Korean Technology Export Controls and Strategic Goods Regulation: A Guide for Foreign Companies
South Korea maintains a rigorous export control regime governing the export, transfer, brokering, and re-export of strategic goods, dual-use items, and defense-related technologies. For foreign companies manufacturing in Korea, transferring technology to Korean partners, or using Korean-origin components in global supply chains, compliance with these controls is a critical obligation — with severe criminal and administrative consequences for violations.
Korea's export control framework is administered primarily by the Ministry of Trade, Industry and Energy (MOTIE, 산업통상자원부) under the Foreign Trade Act (대외무역법) and the Act on Prevention of Divulgence and Protection of Industrial Technology (산업기술보호법). Defense-specific controls fall under the Ministry of National Defense and the Defense Acquisition Program Administration (DAPA, 방위사업청).
1. The Foreign Trade Act and Strategic Goods Controls
Under the Foreign Trade Act (FTA, 대외무역법) and its subordinate regulations — particularly the Public Notice on Export/Import Control of Strategic Goods and Technologies (전략물자 수출입 고시) — Korea maintains a dual-use and munitions list broadly aligned with the Wassenaar Arrangement, the Nuclear Suppliers Group (NSG), the Australia Group, and the Missile Technology Control Regime (MTCR).
Strategic goods subject to export licensing include:
- Dual-use items (이중용도 품목) — Commercial goods and technologies with potential military applications (e.g., advanced semiconductors, precision machine tools, certain chemicals).
- Munitions items (군용 품목) — Military equipment and related technology.
- Sensitive technologies — Items designated as requiring Special Export License due to proliferation risk.
Exports of listed items require a Strategic Goods Export License (전략물자 수출허가) from MOTIE before shipment. The license application must specify end-user, end-use, and destination, and false declarations constitute criminal fraud.
2. The Industrial Technology Protection Act: Protecting Korea's Crown Jewels
The Act on Prevention of Divulgence and Protection of Industrial Technology (산업기술보호법) — often called the Industrial Technology Protection Act (ITPA) — protects designated national core technologies from unauthorized overseas transfer. This statute applies to both Korean companies and foreign companies operating in Korea who hold or develop such technologies.
Key features of the ITPA:
- National Core Technology designation: MOTIE maintains a list of approximately 75 designated national core technologies (국가핵심기술) across sectors including semiconductors, displays, shipbuilding, automotive, steel, and biotechnology.
- Approval requirement for export/transfer: A Korean company wishing to export or license a national core technology to a foreign entity — including through M&A, joint venture, or licensing — must obtain prior approval from MOTIE. Failure to obtain approval is a criminal offense.
- M&A notification: When a foreign company attempts to acquire a Korean company that holds a national core technology, the Korean company must notify MOTIE. MOTIE may order mitigation measures or, in cases threatening national security, block the acquisition.
- Expanded scope (2024 amendment): The 2024 amendment to the ITPA extended protection to technologies developed with government subsidies and clarified penalties for overseas diversion through domestic subsidiaries of foreign companies.
3. Self-Classification and Self-Determination System
Korea operates a Self-Determination System (자율판정 제도) allowing exporters to self-classify their goods against the strategic goods list without applying for a formal pre-classification ruling. However, self-classification carries risk: an incorrect self-classification that results in exporting a controlled item without a license is treated as a violation, regardless of intent.
To mitigate risk, exporters may alternatively apply for a Strategic Goods Classification Ruling (전략물자 판정) from the Korea Strategic Goods Agency (KOSTI, 한국수출통제시스템), which provides a binding determination. This is strongly recommended for complex or borderline items.
4. Catch-All Controls
Even items not on the designated strategic goods list may require a license under Korea's catch-all provisions if the exporter knows or has reasonable grounds to believe the items will be:
- Used for the development, production, stockpiling, or use of weapons of mass destruction (WMD);
- Used for delivery systems for WMD;
- Destined for entities or countries subject to UN Security Council sanctions.
This mirrors the catch-all controls in EU Dual-Use Regulation and U.S. EAR. Foreign companies must conduct End-User and End-Use risk assessments as part of their export compliance program.
5. Technology Transfer Controls: Deemed Exports
A critical and often overlooked area is the concept of deemed exports (간주수출). Sharing controlled technology with a foreign national on Korean soil — for example, through a laboratory demonstration, technical meeting, or sharing of design documents — may constitute an "export" of that technology requiring a license, even though no physical goods leave the country.
For foreign companies:
- Joint R&D agreements with Korean partners that involve sharing controlled foreign-origin technology may trigger deemed export requirements both in Korea and in the country of origin (e.g., U.S. EAR, EU Regulation).
- Hosting Korean engineers at foreign manufacturing facilities constitutes a technology transfer to Korea that may require Korean import licensing if the technology relates to controlled items.
- Technology embedded in products manufactured in Korea may be subject to re-export controls when the Korean manufacturer exports to third countries.
6. Penalties for Violations
| Violation | Criminal Penalty | Administrative Penalty |
|---|
| Exporting strategic goods without license | Up to 7 years imprisonment or KRW 50M fine | Export suspension, revocation of trade license |
| Unauthorized overseas transfer of national core technology | Up to 15 years imprisonment or KRW 1.5B fine (aggravated: up to 3x benefit amount) | Business operations suspension |
| False declaration in export documents | Up to 5 years imprisonment or KRW 30M fine | Trade restriction |
| Unauthorized M&A of core-tech holding company | Criminal referral possible | MOTIE correction order, forced divestiture |
The penalties were significantly increased by the 2019 and 2024 amendments to the ITPA, reflecting Korea's heightened sensitivity about technology leakage in strategic sectors — particularly semiconductors, given competition from China.
7. Semiconductor and Display Technology: Priority Enforcement Area
Samsung, SK Hynix, LG Display, and Samsung Display hold several of the most commercially valuable national core technologies in the world. Korea has aggressively prosecuted cases involving the unauthorized transfer of semiconductor and display technology, including:
- Former Samsung/SK Hynix engineers prosecuted for carrying NAND flash process documentation to Chinese competitors.
- OLED panel technology transfers to Chinese display manufacturers resulting in criminal convictions.
- Supply chain diversion schemes where Korean-origin components were re-exported via third countries to sanctioned entities.
Foreign companies acquiring or licensing Korean semiconductor or display technology must ensure their compliance programs address ITPA obligations in addition to foreign (U.S./EU) export control compliance.
8. Compliance Program Essentials for Foreign Companies in Korea
- ✅ Conduct a Strategic Goods Screening of all products, components, and technologies used or manufactured in Korea using the KOSTI classification system.
- ✅ Implement an Export Compliance Manual (수출통제 매뉴얼) approved by senior management, covering classification, license screening, end-user checks, and record-keeping.
- ✅ Train all employees with access to controlled technology — including non-Korean nationals working in Korea — on deemed export obligations.
- ✅ Conduct End-User Verification (EUV) for all international transfers, including review of denied party lists maintained by KOSTI, OFAC (U.S.), and EU consolidated lists.
- ✅ When entering joint R&D or technology licensing agreements with Korean partners, conduct ITPA due diligence to identify whether any national core technologies are involved.
- ✅ Maintain export control records for a minimum of 5 years (required under the Foreign Trade Act).
- ✅ File voluntary self-disclosure (자율신고) with MOTIE promptly upon discovering a potential violation, which typically results in significantly reduced penalties.
9. Korea-US and Korea-EU Technology Sharing: Bilateral Framework
Korea is a member of all four major multilateral export control regimes (Wassenaar, NSG, MTCR, Australia Group). This means technology transfers between Korea and allied countries (U.S., EU member states, Japan, Australia) typically benefit from more streamlined licensing processes and broader license exceptions.
However, even within allied relationships, certain items require case-by-case licensing — particularly items with WMD proliferation potential or technologies directly related to national core technology designations. Companies should not assume that a "trusted partner" relationship eliminates licensing requirements.
📌 Official References
Frequently Asked Questions (FAQ)
Q1: We manufacture semiconductors in Korea under a joint venture. Who holds the export license — the JV entity or the Korean parent?
The exporter of record — i.e., the entity whose name appears on the export declaration — holds the licensing obligation. In a JV structure, this is typically the Korean JV entity. However, if the technology was contributed by the foreign JV partner and is of foreign origin, the foreign partner must also ensure compliance with its home country's export controls (e.g., U.S. EAR if U.S.-origin technology). A dual-compliance approach covering both Korean and foreign-origin controls is essential.
Q2: We are acquiring a Korean display manufacturer. How does the ITPA affect our M&A process?
If the target holds a designated national core technology, the Korean company must notify MOTIE before the M&A can close. MOTIE has 45 days to review and may request additional information or impose conditions. Foreign acquirers should build the ITPA review process into their M&A timeline and should not plan for closing without obtaining MOTIE clearance.
Q3: Our Korean R&D center shares designs with our U.S. parent company over a secure cloud. Is this an export?
Potentially yes, on both sides. Under Korean export control law, transmitting controlled technology outside Korea — including electronically — is an export requiring a license if the technology is listed. Under U.S. EAR, the U.S. parent receiving Korean-origin technology may face re-export obligations. Both countries' controls must be simultaneously assessed.
Q4: We received a strategic goods classification ruling from KOSTI years ago. Do we need to renew it?
KOSTI classification rulings do not automatically expire, but they can become invalid if the item's specifications change, or if the strategic goods control list is amended to cover the item. Best practice is to re-verify classification whenever a product specification changes materially, and to conduct a full compliance audit at least every two years.
Q5: A Korean employee is relocating to our U.S. facility. Can they bring technical know-how?
This is a classic deemed export scenario on the Korean side. If the employee has knowledge of national core technologies or controlled dual-use items, their relocation could constitute an unauthorized export. A deemed export license application to MOTIE may be required. On the U.S. side, their work in the U.S. facility may require a deemed export license from BIS if U.S.-controlled technology is involved. Legal counsel in both jurisdictions should be consulted before the relocation.
Q6: What is voluntary self-disclosure and should we always do it when we discover a violation?
Voluntary self-disclosure (자율신고) under the Foreign Trade Act allows companies that discover export control violations to proactively report them to MOTIE, typically resulting in substantially reduced administrative fines and avoidance of criminal referral. However, disclosure should be carefully managed — the disclosure document becomes evidence, and the scope of disclosure should be precisely calibrated with legal counsel. We generally recommend voluntary disclosure for good-faith procedural violations, but counsel should assess each situation individually.
Q7: How does Korea's export control regime interact with U.S. export controls for items manufactured in Korea using U.S.-origin technology?
Under U.S. EAR, items manufactured outside the United States may still be subject to U.S. export controls if they incorporate U.S.-origin controlled technology above the de minimis threshold, or if they are produced using certain U.S. technology (Foreign Direct Product Rule). Korean manufacturers using U.S. design tools, software, or manufacturing process technology must conduct a Foreign Direct Product Rule analysis, particularly for semiconductor and advanced technology items. This is one of the most complex compliance intersections in Korean export practice.
📚 Related Articles
Need Legal Assistance?
HANBYOL LAW LLC provides expert Korean legal counsel for international clients on export control compliance, ITPA due diligence, M&A clearance, and technology licensing.
📧
ujin95@hanbl.co.kr | 🌐
www.hanbl.co.kr
Initial consultations are complimentary.
📋 Korean Law Insight | 外商投资
作者：NOH UJIN 律师 | HANBYOL LAW LLC，首尔
韩国技术出口管制与战略物资监管：外资企业指南
韩国维持着一套严格的出口管制体系，对战略物资、两用物项及国防相关技术的出口、转让、代理及再出口进行全面管理。对于在韩国设有制造基地、向韩国合作方转让技术、或在全球供应链中使用韩国原产零部件的外资企业而言，遵守这些管制规定是一项重要义务，违规将面临严重的刑事和行政处罚。
一、《对外贸易法》与战略物资管制
依据《对外贸易法》（대외무역법）及其下位法规（尤其是《战略物资进出口管制公告》），韩国建立了与《瓦森纳协定》、核供应国集团（NSG）、澳大利亚集团及导弹技术控制体制（MTCR）基本接轨的两用物品及军品管制清单。出口清单内物项须在装运前取得产业通商资源部（MOTIE）颁发的战略物资出口许可证。
二、《产业技术保护法》：保护韩国核心技术
《产业技术流出防止及保护法》（산업기술보호법，简称ITPA）保护被指定为国家核心技术（국가핵심기술）的技术免遭未经授权的境外转让。主要特点如下：
- 核心技术清单：MOTIE维护约75项国家核心技术清单，涵盖半导体、显示器、造船、汽车、钢铁、生物技术等领域。
- 出口审批要求：企业如需向境外转让核心技术（包括通过并购、合资或许可证方式），须事先取得MOTIE批准。未经批准即属犯罪行为。
- 并购申报：外资收购持有国家核心技术的韩国企业，须事先向MOTIE申报；涉及国家安全的，MOTIE可阻止收购。
- 2024年修订：扩大了保护范围，并明确了对通过外资在华子公司转移技术行为的处罚。
三、违规处罚
| 违规类型 | 刑事处罚 | 行政处罚 |
|---|
| 无证出口战略物资 | 最高7年有期徒刑或5,000万韩元罚款 | 出口暂停、吊销贸易许可证 |
| 未经授权境外转让国家核心技术 | 最高15年有期徒刑或15亿韩元罚款（加重：最高违法所得3倍） | 暂停营业 |
| 出口文件虚假申报 | 最高5年有期徒刑或3,000万韩元罚款 | 贸易限制 |
四、外资企业合规要点
- ✅ 利用KOSTI分类系统对在韩国使用或生产的所有产品、零部件及技术进行战略物资筛查。
- ✅ 制定经高级管理层批准的出口合规手册，涵盖分类、许可证审查、最终用户核查及记录保存。
- ✅ 对所有接触受控技术的人员（包括在韩外籍员工）开展视同出口合规培训。
- ✅ 在签订与韩国合作方的联合研发或技术许可协议时，开展ITPA尽职调查。
- ✅ 发现潜在违规后，及时向MOTIE提交自愿申报，通常可大幅减轻处罚。
五、常见问题（FAQ）
Q1：我们在韩国有合资工厂，谁持有出口许可证？
出口申报单上的出口申报人持有许可证义务。通常为韩国合资实体。但若技术由外方合资方提供，且属于外方来源受控技术，外方亦须确保符合本国出口管制要求（如美国EAR中的美国原产技术）。
Q2：收购持有国家核心技术的韩国企业，ITPA如何影响并购流程？
韩国目标公司须在交割前向MOTIE申报。MOTIE有45天审查期，可附加条件或阻止交割。外资收购方应将ITPA审查程序纳入并购时间表。
Q3：我们的韩国研发中心通过安全云平台与美国总部共享设计文件，是否构成出口？
可能构成出口——在韩国侧和美国侧均可能触发合规义务。电子传输受控技术同样视为出口，须同时评估两国的管制要求。
Q4：韩国员工调往我们的美国设施，是否需要许可证？
这是经典的视同出口场景。若员工掌握国家核心技术或受控两用物项的相关知识，其调动可能构成未经授权的出口，可能须向MOTIE申请视同出口许可证。建议调动前咨询两国法律顾问。
Q5：自愿申报能否减轻处罚？
是的。《对外贸易法》规定的自愿申报制度（자율신고）通常可大幅减少行政罚款，并避免刑事追诉。但申报文件本身将成为证据，申报范围须在法律顾问的指导下精确把握。
📚 相关文章
📋 Korean Law Insight | 外国投資
執筆：弁護士 NOH UJIN | HANBYOL LAW LLC、ソウル
韓国の技術輸出規制と戦略物資規制：外資企業向けガイド
韓国は、戦略物資・デュアルユース品目・防衛関連技術の輸出、移転、仲介、再輸出を管理する厳格な輸出規制体制を維持しています。韓国で製造活動を行う外資企業、韓国のパートナーへ技術移転する企業、またはグローバルサプライチェーンで韓国原産部品を使用する企業にとって、これらの規制への遵守は重要な義務です。違反には深刻な刑事・行政処分が科されます。
1. 対外貿易法と戦略物資管制
《対外貿易法》及び《戦略物資輸出入告示》に基づき、韓国はワッセナー・アレンジメント、NSG、オーストラリア・グループ、MTCRに概ね整合したデュアルユース・軍需品リストを維持しています。リスト掲載品目の輸出には、産業通商資源部（MOTIE）からの戦略物資輸出許可証が必要です。
2. 産業技術保護法：韓国の核心技術保護
- 国家核心技術リスト：MOTIEは半導体、ディスプレイ、造船、自動車、鉄鋼、バイオ技術など約75項目の国家核心技術を指定・維持しています。
- 輸出承認要件：国家核心技術を国外へ移転（M&A、合弁、ライセンスを含む）するには事前にMOTIEの承認が必要。未取得は犯罪となります。
- M&A届出：国家核心技術を保有する韓国企業の外資による買収にはMOTIEへの事前届出が必要。国家安全保障上の懸念がある場合、MOTIEは買収阻止を命じることができます。
- 2024年改正：保護対象が拡大され、外資国内子会社を通じた技術流出への罰則が明確化されました。
3. 違反に対する制裁
| 違反類型 | 刑事制裁 | 行政制裁 |
|---|
| 無許可で戦略物資を輸出 | 最長7年の懲役または5,000万ウォンの罰金 | 輸出停止・貿易許可取消 |
| 国家核心技術の無許可海外移転 | 最長15年の懲役または15億ウォンの罰金（加重：利得額の最大3倍） | 事業停止 |
| 輸出書類の虚偽申告 | 最長5年の懲役または3,000万ウォンの罰金 | 貿易制限 |
4. 外資企業向けコンプライアンス要点
- ✅ KOSTIシステムを用いて韓国で使用・製造する全製品・部品・技術の戦略物資スクリーニングを実施。
- ✅ 輸出管理マニュアルを整備し、分類・許可証審査・エンドユーザー確認・記録保存を体系化。
- ✅ 制御技術にアクセスする全従業員（在韓外国人を含む）にみなし輸出研修を実施。
- ✅ 韓国パートナーとの共同研究開発・技術ライセンス契約締結前にITPA デューデリジェンスを実施。
- ✅ 潜在的違反発見後、速やかにMOTIEへ自主申告（자율신고）することで大幅な減軽処分が期待できる。
5. よくある質問（FAQ）
Q1：韓国に合弁工場がありますが、輸出許可証の保有義務は誰にありますか？
輸出申告書に記載される輸出申告者（韓国合弁法人）が許可証義務を負います。ただし技術が外資側から提供されたものであれば、外資パートナーも自国の輸出管制（例：米国EAR）への遵守を確保する必要があります。
Q2：国家核心技術を保有する韓国企業のM&Aを行う場合、ITパはM&Aプロセスにどう影響しますか？
韓国の対象会社はクロージング前にMOTIEへ届出が必要です。MOTIEは45日以内に審査し、条件付き承認またはクロージング禁止を命じることができます。外資買収側はITPA審査をM&Aタイムラインに組み込む必要があります。
Q3：韓国の研究開発センターが安全なクラウドで米国本社と設計書を共有することは輸出に当たりますか？
当たる可能性があります。韓国側・米国側の双方で輸出管制義務が生じ得ます。電子送信も輸出と見なされるため、両国の規制を同時に評価する必要があります。
Q4：韓国人従業員を米国施設へ異動させる場合、みなし輸出の問題はありますか？
はい。国家核心技術や制御デュアルユース品目の知識を持つ従業員の異動は、未許可の輸出とみなされる可能性があります。異動前に両国の弁護士に相談することを強く推奨します。
Q5：自主申告は常に推奨されますか？
善意の手続き上の違反については一般的に推奨されます。ただし申告書類は証拠となるため、申告範囲は弁護士の指導の下で精確に設定する必要があります。
📚 関連記事
📋 Korean Law Insight | Inversión Extranjera
Por el Abogado NOH UJIN | HANBYOL LAW LLC, Seúl
Controles de Exportación de Tecnología y Regulación de Bienes Estratégicos en Corea: Guía para Empresas Extranjeras
Corea del Sur mantiene un riguroso régimen de control de exportaciones que regula la exportación, transferencia, intermediación y reexportación de bienes estratégicos, artículos de doble uso y tecnologías relacionadas con la defensa. Para las empresas extranjeras que fabrican en Corea, transfieren tecnología a socios coreanos o utilizan componentes de origen coreano en cadenas de suministro globales, el cumplimiento de estos controles es una obligación crítica.
1. La Ley de Comercio Exterior y los Controles de Bienes Estratégicos
Bajo la Ley de Comercio Exterior y el Aviso sobre Control de Exportaciones/Importaciones de Bienes Estratégicos, Corea mantiene listas de doble uso y municiones ampliamente alineadas con el Arreglo de Wassenaar, el NSG, el Grupo de Australia y el MTCR. Los artículos de la lista requieren una Licencia de Exportación de Bienes Estratégicos del MOTIE antes del envío.
2. La Ley de Protección de Tecnología Industrial: Salvaguardando las Joyas de la Corona
- Lista de tecnologías nacionales clave: MOTIE mantiene aproximadamente 75 tecnologías nacionales clave en semiconductores, pantallas, construcción naval, automoción, acero y biotecnología.
- Requisito de aprobación: La transferencia al exterior de tecnología nacional clave (incluyendo M&A, JV o licencias) requiere aprobación previa del MOTIE. La falta de aprobación es un delito penal.
- Notificación M&A: La adquisición extranjera de empresas coreanas con tecnología nacional clave requiere notificación previa al MOTIE, que puede imponer condiciones o bloquear la adquisición.
- Enmienda 2024: Amplió el alcance de la protección y clarificó las sanciones por desvío a través de filiales domésticas de empresas extranjeras.
3. Sanciones por Infracciones
| Infracción | Sanción Penal | Sanción Administrativa |
|---|
| Exportar bienes estratégicos sin licencia | Hasta 7 años de prisión o multa de 50M KRW | Suspensión de exportaciones, revocación de licencia comercial |
| Transferencia no autorizada de tecnología nacional clave | Hasta 15 años de prisión o multa de 1.500M KRW | Suspensión de operaciones |
| Declaración falsa en documentos de exportación | Hasta 5 años de prisión o multa de 30M KRW | Restricción comercial |
4. Preguntas Frecuentes (FAQ)
Q1: Tenemos una fábrica de semiconductores en Corea bajo una empresa conjunta. ¿Quién tiene la obligación de licencia de exportación?
La entidad exportadora registrada — habitualmente la entidad de la JV coreana — tiene la obligación de licencia. Sin embargo, si la tecnología fue aportada por el socio extranjero, este también debe garantizar el cumplimiento de los controles de exportación de su país de origen (p. ej., EAR de EE.UU.).
Q2: Estamos adquiriendo un fabricante coreano de pantallas. ¿Cómo afecta la ITPA al proceso de M&A?
Si el objetivo posee tecnología nacional clave designada, la empresa coreana debe notificar al MOTIE antes del cierre. El MOTIE dispone de 45 días para revisar y puede imponer condiciones o bloquear el cierre. El adquirente extranjero debe incorporar el proceso de revisión de la ITPA en su cronograma de M&A.
Q3: Nuestro centro de I+D en Corea comparte diseños con nuestra matriz en EE.UU. a través de la nube. ¿Es una exportación?
Potencialmente sí, en ambas jurisdicciones. La transmisión electrónica de tecnología controlada también constituye exportación. Ambos países deben evaluarse simultáneamente.
Q4: Un empleado coreano se traslada a nuestras instalaciones en EE.UU. ¿Necesita licencia?
Este es un escenario clásico de exportación implícita. Si el empleado tiene conocimiento de tecnologías nacionales clave, su traslado puede constituir exportación no autorizada. Se recomienda consultar a asesores jurídicos en ambas jurisdicciones antes del traslado.
Q5: ¿Cuándo es aconsejable la autodivulgación voluntaria?
Generalmente se recomienda para infracciones procedimentales de buena fe. Sin embargo, los documentos de divulgación se convierten en pruebas, por lo que el alcance debe calibrarse cuidadosamente con asesoramiento legal.
📚 Artículos Relacionados
¿Necesita Asistencia Legal?
HANBYOL LAW LLC ofrece asesoramiento jurídico coreano experto para clientes internacionales en cumplimiento de controles de exportación, diligencia debida ITPA, autorización para M&A y licencias de tecnología.
📧
ujin95@hanbl.co.kr | 🌐
www.hanbl.co.kr
Comments
Post a Comment