PAGE 1 EU-OUTREACH NEWSLETTER 59 DECEMBER 2014 IN THIS ISSUE 1 EU Arms Trade Treaty Outreach Project (ATT-OP) 3 EU-Outreach in Export Control of Dual-Use Items (LTP) and in the Field of Conventional Arms (COARM) THE EU ATT OUTREACH PROJECT REGIONAL SEMINAR TO SUPPORT THE IMPLEMEN- TATION OF THE ATT FOR LATIN AMERICA AND THE CARIBBEAN 5 EU-Outreach in Export Control of Dual-Use Items (LTP) 7 EU CBRN Risk Mitigation Centres of Excellence (CoE 5 and CoE 8) 9 Activity Calendar 11 News on Export Control 12 Season s Greetings 13 Points of Contact For further information or general questions on our projects and activities promoted in this newsletter, please contact Ms Irina Albrecht: Irina.Albrecht@bafa.bund.de. Federal Office for Economic Affairs and Export Control (BAFA), December 2014 BAFA Reproduction is authorised, provided the source is acknowledged. On 18 19 November 2014, the Colombian Ministry of Foreign Affairs and the EU ATT Outreach Project (ATT-OP) co-hosted the first regional seminar within the framework of the ATT-OP for countries in Latin America and the Caribbean. Representatives from 26 countries gathered in Bogota, Colombia to share experiences made with regard to ATT ratification and implementation. To ensure maximum impact of the event, participants with a varie ty of backgrounds (diplomatic, military/defence, technical and law enforcement) as well as representatives of international and regional organisations, NGOs and the industry were invited to attend the seminar. Being the first regional seminar of the ATT-OP project as well as the first EU-Outreach event on conventional arms in Latin America and the Caribbean, the seminar provided an excellent opportunity to introduce the European Union s outreach on conventional arms control and promote international cooperation to strengthen the ATT. The seminar was opened by Ambassador Carlos Arturo Morales, the Colombian Vice Minister of Multilateral Affairs, Dr Arnold Wallraff, President of the Federal Office for and Ambassador Tanya van Gool, Head of the EU Delegation to Colombia. In the rooms of the Colombian Ministry of Foreign Affairs, the seminar started with words of welcome and reflections on the role of the region in the global strive to an effective ATT as well as its particular challenges. Several countries form the different sub-regions, such as Colombia, Costa Rica, Jamaica, El Salvador and Uruguay, provided very helpful overview of the status quo of their ATT ratification process as well as their national implementation strategies. In the presentations and ensuing discussions, the importance of developing a harmonised approach to ATT implementation was identified as the key element to ensure the effectiveness of the Treaty. To the participants, an ongoing exchange of experiences and knowledge was of vital importance. Several topics surrounding the implementation of the ATT such as controlled items and transfers, how to establish authorisation processes (decision making), tackling diversion (challenges, strategies, solutions) and record keeping and reporting were at the centre of the breakout groups in the second session of the regional seminar. Following A newsletter published by the EU-Outreach Programmes on
PAGE 2 brief introductions by colleagues from Mexico, Spain, Portugal and Germany, a number of participating countries came forward to present their national experiences with the respective topic in short keynote speeches. This led to an open and very fruitful discussion among peers to identify common challenges and possible solutions. Again, the need to cooperate in the region, especially in relatively homogenous sub-regions was mentioned repeatedly. The EU ATT Outreach Team would like to express its heartfelt gratitude to all participants, our experts and, last but not least, our highly motivated Colombian colleagues. The manifold and rich contributions of all participants and experts greatly contributed to the success of the seminar and laid the foundation for an ambitious series of regional seminars across the globe. Finally, the regional seminar addressed the coordination between projects to support ATT implementation of different organisations. The United Nations Regional Centre for Peace Disarmament and Development in Latin America and the Caribbean (UN- LIREC), the Caribbean Community Implementation Agency for Crime and Security, Caribbean Community (CARICOM IMPACS), Saferworld, the International Committee of the Red Cross in Colombia and the Caribbean Coalition for Development and the Reduction of Armed Violence (CDRAV) all gave an insight into their activities and the support they can provide. The different viewpoints provided by this diverse group of presenters proved to be an important asset in assuring a broad and comprehensive understanding of available resources and implementation strategies. In addition to presentations from non-profit organisations, an industry representative provided an important review of implications of the ATT for the wider industry sector. A representative of Green Light Exports Consulting Ltd focused on what companies in the region need from their authorities in order to be compliant with ATT requirements as well as regionally specific challenges. Source: BAFA
PAGE 3 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) AND IN THE FIELD OF CONVENTIONAL ARMS (COARM) FINAL ASSESSMENT EVENT OF THE OUTREACH ACTIVITIES On 04 and 05 December 2014, a final assessment event on the outreach measures that have been carried out so far within the EU-Outreach Programme in Export Control of Dual-Use Items and the out reach programme on Arms Export Controls under Council Decision 2012/711/CFSP brought together partner countries from several regions as well as EU Experts. Main objective was to enhance the direct exchange with partner countries. The event was organized by the European Commission (EC) and the European External Action Service (EEAS). All partner countries of these two programmes, as well as a small group of selected EU and COARM Experts, had been invited. In this regard, over 50 participants from South East Europe, Eastern Europe and Caucasus of the ENP, North Africa and Mediterranean countries, the Middle East, South East Asia and China attended the activity. During the event, the attending representatives from the regions mentioned above had the opportunity to assess the impacts and effects of the past outreach activities as conducted in the framework of the two programmes. The forum took up discussions of the mid-term assessment event in March 2014 and provided the possibility to share experiences. Furthermore, it enabled the attending country representatives to provide a feedback to the EC and to the EEAS, if and in which areas further cooperation with the European Union is desired. The received feedback is intended to be directly translated into possible future outreach activities. Not only the partner countries, but also the EU experts shared their experiences and insights with regard to past outreach activities in which they had participated. The representatives of various partner countries used the opportunity provided by this final assessment event to thank the implementing entity for the constant support provided over the last years which lead to a mutual, close and trustful cooperation with concrete results. This two days assessment event had a twofold objective: On the one side, to offer the partner countries the opportunity and possibility to share their Source: BAFA view and expectations on the future cycle of activities. On the other side, diversity of countries encompasses diversity of needs and therefore discussing priority areas, mode and possibilities of cooperation was another objective pursued by this event. To provide a sufficient diversified outreach-tool box comprising various types of activities like legal reviews, bilateral/ working meetings, awareness seminars, regional workshops, individual assistance, study visits, staff exchange etc. in order to respond in an efficient manner to the needs of the partner countries was always an intrinsic objective of the outreach projects. Therefore finding a balanced approach between regional and bilateral
PAGE 4 was emphasized by the participants as being one important findings of this Final Assessment Event. Both approaches have advantages and disadvantages. However, although regional activities are not addressing one specific issue for one specific country, it allow to consolidate and develop networking and to enhance cooperation that sometimes goes beyond the scope of the outreach projects. On the other side, bilateral activities have a strong specific character in answering national requests. All breakout groups shared the view that the activities provided by the projects were very useful and should be continued having in mind the results achieved as well as the impacts of former activities. Developing ownership on the project as a crucial success factor was also elaborated on in the breakout groups. The partner countries of both projects (LTP and COARM) stressed out that they are not only passive recipients of assistance, but rather expressed their interest to participate in a more active manner in the developing process of the projects activities. This need of an active play role - role which constantly is being more and more actively taken by the partner countries - has to be also understood from the perspective of assuring a sustainable impact of the activities. The back-to-back approach in organizing outreach activities under LTP and COARM project, approach that was for the first time facilitated to be implemented by the Council Decision 2012/711/CFSP, was perceived by those countries who have experienced this type of activities as bringing an add-value to the complex discussions in the field of strategic trade controls. It was advised that this approach should be further kept, but when it comes to specific areas of cooperation separate events should take place. Furthermore, all participants were invited to register to the EU Outreach web-portal which had been presented in the midterm assessment event in March 2014. At the end of the event the representative of the implementing entity brought to the attention of the participants that although for the moment a follow up of the Council Decision 2012/711/CFSP is not given, Germany on national basis will try to respond to the constant increased interest of the partner countries and bridge this gap between Council Decision 2012/711/CFSO and a possible new one by securing funds for a national project during 2015 in the field of arms export controls. Both the European Commission and European External Action Service thanked all participants for their active involvement and participation in discussions and break out groups, and emphasized that a new phase of outreach projects is currently designed where the partner countries are in a driving position. We thank all our partner countries for attending this final assessment event and we look forward to continuing this successful cooperation.
PAGE 5 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) NON-PROLIFERATION RISKS: GOVERNANCE AND COMPLIANCE MANAGEMENT DIALOGUE WITH IN- DUSTRY IN SUPPORT OF UN SECURITY COUNCIL RE- SOLUTION 1540 (2004) In order to facilitate the dialogue between the 1540 Committee and industry, the Federal Government of Germany, in cooperation with the United Nations Office for Disarmament Affairs (UNODA) and the European Commission s Outreach programme in Export Controls of Dual-Use Items hosted the third Wiesbaden Conference on 20 21 November 2014 in Frankfurt, Germany. This conference brought together participants from various international industry companies and associations representing different industry sectors which are affected by United Nations Security Council resolution 1540 (2004) as well as academia, international Source: BAFA organisations and state authorities. The third Wiesbaden Conference focussed on detailed questions in the area of Governance and Compliance Management and affiliated Non-Proliferation Risks. All of the participants engaged in lively debates throughout the course of the two-day conference and focused on sharing of effective practices of compliance management in various areas, including bio-, chemical and nuclear security as well as transport, brokering and export control. Taking note on the need for further dialogue, participants congratulated the hosts for bringing together such a high number of representatives from numerous industry sectors, academia and regulators as well. Especially the multi-faceted incorporation of industry sectors that enabled participants to get a comprehensive overview of the full spectrum of industry compliance initiatives was being highlighted. Source: BAFA
PAGE 6 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) UPCOMING EVENT CHINA JOINT EU-CHINA HANDBOOK CONFERENCE AND EXPORT CONTROL WORKSHOP On 24 November, the Joint EU-China Handbook Conference took place in Harbin, province Heilongjiang. The Conference was the first opportunity to present the Joint EU-China Handbook on Export Control of Dual-Use Items to more than 70 Chinese industry representatives as well as governmental representatives. During the Conference each chapter of the Handbook was presented from both the EU and the Chinese perspective. The presentations led to interesting discussions between the participants and the experts. Particularly, the topic on ICP was prominently discussed during the conference. On the next day, 25 November, an Export Control Workshop took place which focused on transit, brokering as well as catch-all followed by discussions. Afterwards, industry representatives had the opportunity to talk about these topics with the EU Experts. EU experts from Austria, France, Germany and Hungary provided their expertise and had fruitful information exchanges with their Chinese colleagues. ALL REGIONS EU EXPORT CONTROL FORUM For the first time the EU Export Control Forum with the theme to explicitly address the new and emerging challenges in export control will take place in Frankfurt, Germany from 27 to 28 January 2015. Dedicated to over 90 working practitioners from the licensing, enforcement and policy side, this meeting will provide numerous opportunities to engage in discussions with representatives from over 30 countries as well as various non-governmental organisations. One of the objectives will be to discuss and share EU good practices and models by focussing on more emerging newer export control topics, thus respecting different control activities such as transit/ transhipment, emerging technologies in the dual-use control list as well as intangible technology transfers (ITT), including the associated risks. The events can be seen as a successful closing point for the development of the Joint EU-China Handbook on Export Control of Dual-Use Items that was jointly compiled and drafted by the EU and China, starting in 2011.
PAGE 7 EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE PROJECTS COE PROJECT 5 MIDDLE EAST REGIONAL WORKSHOP Within the framework of the project Knowledge development and transfer of best practice on CBRN import and export monitoring, the German Federal Office for Economic Affairs and Export Control (BAFA) organized in cooperation with Netherlands Customs a regional workshop for Iraq, Jordan and Lebanon in Rotterdam on 17 19 November 2014. Following the request of the Middle East partner countries, this intensive three-day basic training on items listed in Annex I of the EU Dual-Use Regulation 428/2009 was arranged in Rotterdam, the Netherlands. It provided background information and very practical exercises on basic commodity identification trainings (CIT) and familiarized customs officers with strategic equipment, components, and materials used in the production of Weapons of Mass Destruction (WMD) giving them a trained eye to improve their ability to recognize such commodities. In this regard, the CIT has been based on physical observations of unidentified dual-use equipment and materials used in the development and production of CBRN weapons and their missile delivery systems, focusing on their appearance, characteristic/recognizable features, special markings or packaging, container types, size, weight, and value etc. In addition, EU Experts provided an overview on how such CIT trainings can be built up, i.e. gathering suitable materials for trainings, advice on how to structure trainings and exercises. A very practical insight view on how Slovenia set up their training mechanism was provided by an Slovenian customs official. In order to foster open information exchange and create a platform for all participants to exchange their national viewpoints, representatives of each partner country provided an overview of their national customs/regulation system in place and encountered challenges during the implementation phase. Following the more theoretical two-day training, on the third day a very practical simulation training including controlling containers took place at the training centre at Maasvlakte. Source: BAFA We would like to thank all representatives from our Middle East partner countries and our colleagues from the Netherlands, Slovenia and the UK for their valuable participation and input during this workshop. A special thanks goes to the Netherlands Customs for hosting and co-organizing this workshop.
PAGE 8 EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE PROJECTS UPCOMING EVENT NORTH AFRIC A REGIONAL WORKSHOP Motivated by the interest of the North African partner countries to learn more about the role of enforcement and investigation authorities, a regional workshop on the Investigation of Strategic Trade Control Violations took place on 25 27 November at the German Customs Criminological Office (ZKA) in Cologne, Germany. Surrounded by a wide variety of examples of dual-use items seized by German Customs authorities and based on presentations of real investigation cases, experts from Algeria, Morroco, Tunisia, the Netherlands and Germany engaged in lively discussions about the specific challenges of investigative action in this field. The relevant real life experiences shared by specialised investigators helped to get very practical insights and to touch on a number of related topics (such as the usefulness of control lists and catch-all controls). The seminar very much focussed on demonstrating the necessity of close interagency cooperation and of having sound legal backgrounds in place. The event was followed by bilateral talks with each partner country on their specific future perspectives and planning. CENTRAL ASIA REGIONAL WORKSHOP The Regional Workshop for Central Asia will take place in Hamburg, Germany, on 16 18 December 2014. Besides presentations on their own CBRN import/export monitoring system the attending representatives from Uzbekistan, Kazakhstan, Kyrgyzstan and Tajikistan will inter alia receive an insight into the customs container testing facility at the port of Hamburg hosted by the German Customs Administration. Swedish and German experts in the fields of licensing and customs will offer their expertise in all relevant fields regarding CBRN import / export monitoring. We would like to thank ZKA for their most professional and great hospitality and, of course, all experts for their excellent contributions. Source: BAFA
PAGE 9 ACTIVITY CALENDAR CONTRACT DATE COUNTRY / REGION ACTIVITY POINT OF CONTACT NOVEMBER COARM / LTP 04-06 South East Europe Regional Workshop on Dual-Use Items and Arms Export Controls (Albania, Bosnia and Herzegovina, former Yugoslav Republic of Macedonia, Montenegro, Serbia) Mr Werner Knapp CoE 5 17-19 Middle East Regional workshop (Iraq, Jordan, Lebanon) Ms Katja Philipp ATT-OP 18-19 Latin America and the Caribbean Regional Seminar to Support the Implementation of the Arms Trade Treaty for Latin America and the Caribbean (all LAC countries) Ms Irina Albrecht ATT-OP 20-21 Colombia Initial Visit to Colombia Ms Irina Albrecht LTP 20-21 Non-Proliferation Risks: Governance and Compliance Management Dialogue with Industry in Support of UN Security Council Resolution 1540 (2004) Ms Irina Albrecht LTP 24-25 China Joint Handbook Conference and Export Control Workshop Mr Reimar Angersbach CoE 5 25-27 North Africa Regional workshop (Algeria, Morocco, Tunisia) Ms Katja Philipp DECEMBER COARM / LTP 04-05 All Regions Joint Assessment Event of the Outreach Activities organised in the framework of the EU-Outreach Programme in the field of Dual-Use Export Controls and under Council Decision 2012/711/ CFSP for Arms Export Control Mr Werner Knapp / Ms Irina Albrecht
PAGE 10 CoE 5 16-18 Central Asia Regional Workshop (Kazakhstan, Kyrgyzstan, Tajikistan, Uzbekistan) Ms Katja Philipp JANUARY LTP 27-28 All Regions Export Control Forum Ms Irina Albrecht
PAGE 11 NEWS ON EXPORT CONTROL 11/2014 EU LAW / EMBARGO MEASURES DEMOCRATIC PEOPLE S REPUBLIC OF KOREA The Council Regulation (EC) No. 329/2007 concerning restrictive measures against the Democratic People s Republic of Korea is amended with the Commission Implementing Regulation (EU) No. 1059/2014 of 8 October 2014 (OJ L 293 of 9.10.2014, p. 15). A new entity is added to the list in Annex IV to Regulation (EC) No. 329/2007 and the identifying information relating to a number of individuals and entities subject to restrictive measures are updated. Furthermore, one person is deleted from Annex V. The amendments implement the decisions adopted by the UN Sanctions Committee on 28 and 30 July 2014 and by the EU Council on 8 and 9 October 2014. LIBYA With the Council Regulation No. 1102/2014 of 20 October 2014 (OJ L 301 of 21.10.2014, p. 15) the possibility is extended to request a derogation for the provision of technical assistance, financing or financial assistance. The granting of derogations is now also possible if these services are related to non-lethal military equipment intended solely for the security or disarmament assistance to the Libyan government. The Council Regulation (EU) No. 1103/2014 of 20 October 2014 (OJ L 301 of 21.10.2014, p. 3) updated the list of individuals and entities subject to restrictive measures. SOMALIA With the Council Implementing Regulation (EU) No. 1104/2014 of 20 October 2014 (OJ L 301 of 21.10.2014, p. 5) another two natural persons are added to Annex I to Regulation (EU) No. 356/2010. SYRIA With the Council Implementing Regulation (EU) No. 1013/2014 of 26 September 2014 (OJ L 283 of 27.9.2014, p. 9) one natural person is added to Annex II to Regulation (EU) No. 36/2012 concerning restrictive measures in view of the situation in Syria and the identifying information related to two entities is updated. In addition, the Implementing Regulation (EU) No. 1105/2014 (OJ L 301 of 21.10.2014, p. 7) includes another 16 natural persons and two entities in Annex II to the above regulation and updated four entries. Furthermore one natural person is removed from the list. TERRORISM AFGHANISTAN With the Council Implementing Regulation (EU) No 1057/2014 of 8 October 2014 implementing Article 11(1) and (4) of Regulation (EU) No 753/2011 concerning restrictive measures directed against certain individuals, groups, undertakings and entities in view of the situation in Afghanistan five natural persons are added to the list of names set out in Annex I. The information relating to four entries is updated. The regulation implements the decisions adopted by the Committee of the UN Security Council on 11 February, 18 March, 16 May, 30 July and 20 August 2014. AL QAIDA The Commission Implementing Regulation (EU) No. 1022/2014 of 26 September 2014 (OJ L 283 of 27.9.2014, p. 40) and the Commission Implementing Regulation (EU) No. 1058/2014 of 8 October 2014 (OJ L 293 of 9.10.2014, p. 12), amending the Council Regulation (EC) No. 881/2002 for the 220th and 221st time, put into practice the Decisions adopted by the Al-Qaida Sanctions Committee of the UN Security Council on 9 and 23 September 2014. The two implementing regulations stipulate to add 14 natural persons and two entities to the list in Annex I and to remove one natural person from the list. The information relating to three entries in the list is amended.
PAGE 12 The EU-Outreach Team wants to express its gratitude for your support and interest in the conducted activities in 2014 and wishes you a wonderful and highly successful new year!
PAGE 13 PAGE 13 POINTS OF CONTACT EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS Points of Contact: European Commission EuropeAid Development and Co-operation Office Mr Wolfgang Lehofer Wolfgang.LEHOFER@ec.europa.eu Federal Office for Economic Affairs and Export Control Ms Irina Albrecht Irina.Albrecht@bafa.bund.de EU-OUTREACH IN THE FIELD OF CONVENTIONAL ARMS Points of Contact: European External Action Service Directorate for Security Policy and Conflicts Prevention NonProliferation-Disarm@eeas.europa.eu Federal Office for Economic Affairs and Export Control Mr Werner Knapp Werner.Knapp@bafa.bund.de EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE INITIATIVE Project no 5 Knowledge development and transfer of best practice on CBRN import/export monitoring, implemented by BAFA in cooperation with SIPRI Points of Contact: United Nations Interregional Crime and Justice Research Institute Ms Tamara Neskovic neskovic@mail.unicri.it Federal Office for Economic Affairs and Export Control Ms Katja Philipp Katja.Philipp@bafa.bund.de EU ARMS TRADE TREATY OUTREACH PROJECT Points of Contact: European External Action Service Directorate for Security Policy and Conflicts Prevention NonProliferation-Disarm@eeas.europa.eu Federal Office for Economic Affairs and Export Control Ms Irina Albrecht Irina.Albrecht@bafa.bund.de Project no 38 Export Control for Dual-Use Items for Jordan and Kazakhstan Points of Contact: European Commission EuropeAid Development and Co-operation Office Mr Wolfgang Lehofer Wolfgang.LEHOFER@ec.europa.eu Federal Office for Economic Affairs and Export Control Ms Irina Albrecht Irina.Albrecht@bafa.bund.de