EU-Thailand Cooperation in Export Control Key Elements of an effective Export Control System

EU-Thailand Cooperation in Export Control 2  No single model exists  Each state needs to decide on its own system, depending on legal and administrative traditions  Certain key elements can be found in many systems all over the world  International benchmarks: UNSCR 1540, International Control Regimes; EU legal point of reference: The EU Dual- use Regulation One size fits all?

EU-Thailand Cooperation in Export Control 3  “Strategic trade controls” vs. “export controls”: It’s not only about “exports” anymore  One single / comprehensive piece of legislation or multitude of different pieces of legislation?  Legislation may cover controls over armaments and items that have a relevance with regard to weapons of mass destruction Legislation - Some general remarks

EU-Thailand Cooperation in Export Control 4  Mix of primary and secondary legislation? Provide for quick updates.  Legislation is the basis of the export control system and is a basic requirement for further training and awareness raising  Legal framework should be easily understandable - to exporters and to enforcement community Legislation - More general remarks

EU-Thailand Cooperation in Export Control 5 SecurityTrade The challenge

EU-Thailand Cooperation in Export Control 6  Statement of purpose as a starting point?  It’s about national security and about meeting international commitments in the fights against WMD  Basic idea is quite simple: No unauthorised export of WMD-related items and technologies - No exports of critical or controlled items without authorisation Legislation - Purpose / objective

EU-Thailand Cooperation in Export Control 7  Possible areas:  Exports (tangible and intangible)  Transits / Transshipment  Brokering activities  Services / Technical assistance  Imports  Different instruments are available:  Prohibitions  License requirements Legislation - Scope of controls

EU-Thailand Cooperation in Export Control 8  Part of the legislation – describes controlled items (including technology and software) by technical parameters  Exports of “listed items” always require an authorisation  Lists normally contain Dual-use items (items that could be used for civilian and military purposes) and military items  Optional: Additional items, on a national basis  Lists established by multilateral regimes as international reference lists Control lists

EU-Thailand Cooperation in Export Control 9  Scope: Items not covered by control lists  Complements listed items principle  “Catch-all-controls” or end-use related controls: These controls can be used to control all items if a critical end- use is suspected  To do:  Define “critical end-uses”, in particular end uses in connection with WMD  Define a mechanism to trigger controls Legislation - Controls of non-listed items

EU-Thailand Cooperation in Export Control 10  The legal framework could also be used to implement sanctions imposed by the United Nations Security Council  Regional or national embargo decisions could be added Legislation - Implementation of Embargos

EU-Thailand Cooperation in Export Control 11  The legal framework needs to designate competent authorities to implement the controls (“Who will do the job”)  Controls are implemented through a licensing process, generally defined by regulations (“How will the job be done”?)  Certain key features should be considered e.g.  Licensing criteria  Licenses (different types)  Submission procedures / Forms  Responsibilities and duties of parties involved Licensing Authority and Licensing Process

EU-Thailand Cooperation in Export Control 12 Licensing Authority and Licensing Process Pre-Licence Phase Awareness raising / guidance to exporters Information exchange between authorities Application Procedure Assessment of information provided by exporters Information exchange between authorities Decision on license Post-Licence Phase Information exchange Compliance checks

EU-Thailand Cooperation in Export Control 13  Export controls are a cooperative task – coordination and cooperation within the administration and across administrations is key  Not only from a legal point of view authorities must be enabled to work together  Cooperation takes place at different levels, in particular with regard to the decision-making process and the enforcement process  Technical expertise is required and is probably available somewhere – how can this know-how be made available? Cross-governmental cooperation

EU-Thailand Cooperation in Export Control 14 Enforcement / Sanctions  Voluntary compliance cannot be taken for granted  Enforcement authorities must be empowered to prevent, detect and investigate infringements  Customs authorities play a key role  Effective, appropriate and dissuasive sanctions should be in place

EU-Thailand Cooperation in Export Control 15 Role of Exporters  Governments cannot do the job alone – efficiency of export control system depends on the vigilance of exporters  Exporters need to be aware of export control legislation - Outreach to industry and academia is a key element of an effective export control system  Industries should implement internal compliance programmes

EU-Thailand Cooperation in Export Control 16 Contact  Kai Kiessler Head of Division Licenses for Dual Use Items Federal Office of Economics and Export Control / Bundesamt für Wirtschaft und Ausfuhrkontrolle (BAFA)  Tel: +49 (0) Fax +49 (0) Thank you for your attention!