Elements for effective enforcement of export controls Wassenaar Arrangement Practical workshop Vienna 27-28 June, 2016 1

Elements for effective enforcement Legal/Policy Licensing Enforcement Prosecution – Penalties Outreach 2

Mechanisms Communication Coordination Cooperation 3

Interagency cooperation Legal-Policy: Legislation / Gaps and loopholes / catch-all Licensing Authority: Preventing sensitive exports / Technical knowledge / Risk analysis Enforcement / Customs: Border controls / Physical checks / Risk management / Company audits Intelligence agencies: Information / Analysis Investigation agencies and Public Prosecutor: Investigate offences and punishment of the perpetrators

Ministry of Foreign Affairs Netherlands example Policy Licensing Enforcement Ministry of Foreign Affairs Intelligence AIVD/MIVD Customs CDIU (License authority) Customs Team POSS Customs FIOD (Investigation) Public Prosecutors Office ‘CARRE’ Meeting

National consultative group ”Carré meeting” National consultative group All relevant departments and agencies involved Every six-eight weeks Topics: Non proliferation regimes Policy developments Cases License applications & Denials Demarches Implementation Sanctions 6 6

Enforcement Plan Cooperation / consultation with Ministry of Foreign Trade, Foreign Affairs and Licensing office Defining priorities Determination of target groups and their behaviour Determination of compliance domains Number of controls in the several different transport modules

Customs role Customs plays an indispensable (de facto) role Detecting / prevent illegal exports of controlled items - CBRN activities Identifying such items; Seizure of unlicensed exports/imports Offence actions; Dissuade & deter im- exporters from making unlicensed im- exports

Customs role What information can Customs provide? Shipping data Historic declarations Disclosure powers? Access to several data bases What assistance can Customs provide? Risk indicators Profiling Examination/Sampling Investigation

S H E E Safety Health H Economy Environment Unfair to expect from every single customs officer to have detailed knowledge on dual-use items. Economy E Environment

Tasks of the specialists Advising - supporting other customs officers More in-depth examination of shipments (for example dual-use goods) Training and teaching Liaison between Customs and other agencies 11 11 11

Customs Team POSS Specialised Team Investigations / Audits Strategic Goods (Military and Dual-Use) Chemical Weapons Convention Sanctions /Embargoes UN resolutions; EU Sanction regulations; National legislation

Audits/ investigations Individual - Project based Regular company audits (client image data base) Request MFT or MFA Denial Notification - Catch-Alls Request or official report Intelligence Service Information from other countries Information Customs departments Thematic approach (Biotech; Iran; Aluminium; Chemical Industry) 13

”Perfection is not achievable, but together we could come very far” Thank you for your attention

Relevant authorities Industry International cooperation (customs, police, licensing, non-proliferation regimes) 15