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

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

3. Mechanisms
Communication
Coordination
Cooperation 3

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

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

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