NEWSLETTER EU-OUTREACH EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE PROJECTS

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1 PAGE 1 EU-OUTREACH NEWSLETTER OCTOBER / 58 NOVEMBER 2014 IN THIS ISSUE 1 EU CBRN Risk Mitigation Centres of Excellence (CoE 5 and CoE 8) 4 EU-Outreach in Export Control of Dual-Use Items (LTP) 7 EU Arms Trade Treaty Outreach Project (ATT-OP) EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE PROJECTS COE PROJECT 5: REGIONAL WORKSHOP FOR THE COUNTRIES OF THE AFRICAN ATLANTIC FAÇADE 8 Export Control for Dual-Use Items for Jordan and Kazakhstan (CoE 38) 9 EU-Outreach in the Field of Conventional Arms (COARM) 10 EU-Outreach in Export Control of Dual-Use Items (LTP) and in the Field of Conventional Arms (COARM) 11 Activity Calendar 13 News on Export Control 14 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), November 2014 BAFA Reproduction is authorised, provided the source is acknowledged. The regional workshop for the countries of the African Atlantic Façade is one of numerous events of the Knowledge development and transfer of best practice on CBRN import and export monitoring project which started on 1 January 2013 and which is implemented by BAFA in cooperation with the Stockholm International Peace Research Institute (SIPRI) as a consortium partner. The project s main objective is to raise awareness on the importance of establishing comprehensive trade control procedures for CBRN materials at a national and regional level. Within the framework of the project, numerous activities in cooperation with the partner countries have been carried out so far. The regional workshop on Biological risk management and national regulations on the importation of chemical goods took place in Berlin on October 2014 with the support of the Robert-Koch Institute, which is the central federal institution in Germany being responsible for disease control and prevention. During two days, representatives from Gabon, Morocco and Senegal as well as EU experts from France, Sweden and Germany actively discussed the various measures regarding the import and export of chemical and biological goods and materials. The workshop was the second event of its kind for partner countries from the African Atlantic Façade since the beginning of the project. Against the background of the Ebola out break in West Africa the workshop mainly focused on the countries prior-ranking concerns including biological risk management and related safety and security measures at border points. Technical experts from the Robert-Koch Institute explained the nature of the Ebola virus and its propagation path and presented related surveillance and point of entry capacities in Germany. Furthermore, presentations on international legal frameworks with regard to the export and import of biological materials as well as international health regulations were presented and discussed. Best practices for the implementation of this framework on a national level were given by the attending EU experts. A newsletter published by the EU-Outreach Programmes on

2 PAGE 2 In order to get insights from a practical point of view, the workshop contained several case studies which simulated the situation on a legislation level. Participants and the supporting EU experts were also discussing different ways of implementing a national regulation system to ensure states obligations in complying with the Chemical Weapons Convention (CWC). These debates have been a follow-up from the previous regional workshop, which had taken place in Libreville, Gabon, at the end of January 2014 and which was fully dedicated to the import and export of chemical goods. Each partner country gave an overview of its national regulation system and encountered challenges during the implementation phase. Source: BAFA Overall, all countries stressed the importance of international cooperation in order to minimize chemical and biological risks, especially in light of the Ebola virus which is a global threat due to the existing worldwide traffic. We thank the technical experts from the Robert-Koch Institute for their valuable support. Their presence and input provided an added value for the entire event.

3 PAGE 3 EU CBRN RISK MITIGATION CENTRES OF EXCELLENCE PROJECTS COE PROJECT 5 JORDAN NATIONAL EVENT On September, a national customs working meeting took place in Amman, Jordan. The Jordanian Customs authority invited experts from the EU to continue their dialogue on specific aspects of customs procedures and requirements in order to improve the national CBRN import/export monitoring system. In particular questions dealing with the theoretical structure of the HS Correlation Table, but also its practical implementation into the national system have been of interest for the discussion. The small meeting offered a very open working atmosphere and provided the possibility for all participants to engage actively in discussions. MIDDLE EAST REGIONAL WORKSHOP Following the requests of all partner countries in the Middle East to receive further trainings in regard to customs procedures and the inspection of shipments as well as the interpretation of the necessary documents, the R egional Workshop for Middle East took place in Rotterdam on November This workshop was hosted by Dutch Customs and created a platform for national participants and EU experts to exchange national, regional and international views on customs procedures in regard to import and export monitoring of CBRN material. UPCOMING EVENT UZBEKISTAN BILATERAL WORKSHOP ON CBRN IMPORT / EXPORT MONITORING On 2 October 2014, a one day workshop on CBRN import/export monitoring was provided to the relevant authorities of Uzbekistan in Tashkent. EU experts offered their expertise inter alia on the identification of CBRN goods from customs point of view, general awareness on and how to handle CBRN risks. Representatives from different agencies relevant for CBRN issues such as the Ministry of Foreign Affairs, Minsitry of Health, Ministry for Foreign Economic Relations, State Inspection Sanoatgeokontekhnazorat, State Commitee for Nature Protection, Institute or Nuclear Physics attended the seminar. NORTH AFRICA REGIONAL WORKSHOP Guided by the interest of the North African partner countries to focus on enforcement issues, a regional workshop on the Investigation of Strategic Trade Control Violations will take place on November at the German Customs Criminal Office (ZKA) in Cologne, Experts from Algeria, Morocco, Tunisia, the Netherlands and Germany will discuss the necessity of trade control related investigations as well as preconditions and best practices in this field.

4 PAGE 4 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) CHINA STUDY VISIT FOR CHINESE REPRESENTATIVES TO THE EU In the framework of the EU-Outreach Programme on Export Control of Dual-Use Items a Chinese delegation was invited to a study visit to Belgium from 9 to 11 September. The Chinese delegation, headed by Mr. LI Yang, Deputy Director General of Arms Control Department, Ministry of Foreign Affairs, consisted of representatives of the Ministry of Foreign Affairs, Ministry of Commerce, Customs authorities as well as from the industry. The first two days focused on specific topics in the field of licensing and customs. The first day was hosted by the Flemish Department of Foreign Affairs and was dedicated to licensing issues such as Internal Compliance Programmes (ICP) and Risk Management. The meeting started with words of welcome and reflections on the China and EU Cooperation in Non-Proliferation Law Enforcement. Licensing experts from China, the Flemish Department of Foreign Affairs, Belgium, and the Federal Ministry for Economic Affairs and Energy, Germany, presented the way of Internal Compliance Programmes implemented in their respective countries. In the presentations and later discussions the importance of ICP became obvious as well as the necessity to adjust ICPs to the size of the companies. Risk Management as a tool for the licensing authorities was also presented from the Chinese, Belgium and German point of view. The Federal Public Service Finance hosted the second day of the study visit dedicated to Risk Assessment and introduction to the risk assessment in China, the Netherlands and Belgium opened the floor to the challenges in this field of export control such as the classification of companies and auditing. For a practical insight into the work of customs the delegation was invited to visit the port of Antwerp to see how containers are scanned and checked by customs officers. The focus of the third and last day of the study visit was on the view of the European Commission on export control related Source: EU Commission issues with participation of representatives of DG DEVCO, DG TRADE and DG TAXUD. The Chinese delegation was provided with a general overview of the EU-Outreach activities. Latest developments in export control in China as well as the EU were presented and discussed. After the exchange on internal compliance programme and risk management and risk assessment on the China and EU MS level, the third day offered the opportunity to discuss this on those issues on the level of the EU as a whole.

5 PAGE 5 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) JORDAN LEGAL/REGULATORY SEMINAR As part of the US State Department s Export Control and Related Border Security (EXBS) Program, LATA on behalf of the State Department s Bureau of International Security and Nonproliferation, Office of Export Control Cooperation (ISN/ECC) conducted a two-day advanced legal and regulatory training for Jordanian governmental officials in Amman on September Discussing the legal basis for the current national export control system in Jordan and the adoption of the consolidated EU Control List 428/2009, an expert from the EU participated in the seminar and provided his expertise in the theoretical as well as practical working experiences with the EU Control Lists. This workshop provided the participants from Thailand, Malaysia, Vietnam and the Philippines who are involved in the technical rating and assessment of strategic trade items with knowledge about the regulatory framework in respect to the UNSCR 1540, items classification, end-use analysis, how to work with the EU Control List as well as the legal regulatory challenges with national control lists. Specified working groups which were divided into the four main international export control regimes provided different exercises and practical tasks which are necessary to make a comprehensive enduse analysis. The participants made use of this session to discuss, compare and evaluate their experiences in the technical field. SOUTH EAST ASIA REGIONAL WORKSHOP Within the framework of the EU-Outreach Programme and the support of the US EXBS Program and the US Department of Energy, a regional workshop on Capacity Building on Technical Expertise in Strategic Trade Control: Rating of technical properties and application of legal terms for four South East Asian countries was organized in Bangkok on 8 9 October The multifaceted technical nature of this seminar was also reflected in the group of EU technical experts from Austria, Germany, Slovakia and the United Kingdom as well as experts from the US. ARMENIA AWARNESS RAISING TOWARDS GOVERN- MENTAL STAKEHOLDERS TOWARDS THE IMPORTAN- CE OF INTER-AGENCY COOPERATION IN THE FIELD OF EXPORT CONTROLS On 9 October an awareness raising event was organized in Yerevan, Armenia in the framework of the EU financed programme in the field of dual-use export controls. The event focused on the importance of inter-agency cooperation, key elements of inter-agency cooperation, challenges in day to day practice and introduced to the attendees different models of inter-agency cooperation. EU Member State experts from Bulgaria, Poland, Romania, Sweden and Germany imparted their expertise. Source: BAFA

6 PAGE 6 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) GEORGIA WORKING MEETING AND OUTREACH TO INDUSTRY WORKSHOP On 20 October a working meeting with the Georgian side with regards to the Georgian secondary legislation in the field of strategic trade controls was held in the framework of the dual-use outreach programme. The working meeting was of particular interest given the fact that with 1 October 2014, the new Georgian trade control legislation is in place. The respective trade control legislation comprises both primary and secondary legislation, including the control lists. EU Experts from various EU Member States (Austria, Belgium, Poland, Sweden and Germany) supported this activity. Furthermore, on 23 October, an Outreach to Industry Workshop was organized under the EU-Outreach Programme in Export Control of Dual-Use Items which aimed to introduce to the representatives of the Georgian industry the new legislation in place. EU Experts from Poland, Sweden, Austria and Germany supported this activity. Source: BAFA

7 PAGE 7 THE EU ATT OUTREACH PROJECT LATIN AMERICA AND THE CARRIBBEAN REGIONAL SEMINAR TO SUPPORT THE IMPLEMENTATION OF THE ARMS TRADE TREATY A two-day workshop was held on November in Bogotá, Colombia. A variety of representatives from all Latin American and Caribbean countries with backgrounds in the diplomatic, military/ defence, technical and law enforcement areas, regional organisations, civil society and the industry were invited to participate. In the framework of Council Decision 2013/768/CFSP, this workshop enabled the invitees, EU colleagues and the implementing agency to share experiences made with regard to ATT ratification and implementation as well as to identify linkages between the project (ATT-OP) and assistance provided by other donors on a regional level. The workshop s agenda included time for presentations on the current status of ATT ratification and implementation in some of the countries invited as well as for civil society and regional organisations to present their projects and recommendations for effective ATT implementation, its benefits and potential challenges.

8 PAGE 8 EXPORT CONTROL FOR DUAL-USE ITEMS FOR JORDAN AND KAZAKHSTAN GERMANY WORKING MEETING WITH KAZAKH DELEGATION From September a working meeting with a Kazakh delegation took place in Eschborn (BAFA) within the new EU-Outreach Project which started in January The delegation composed of different authorities involved into export control procedures met with EU experts to discuss the draft concept for the establishment of an Identification Centre for nuclear and radioactive materials on which the cooperation with the partner country will be focused. Besides the fruitful discussions, a wide range of questions from different fields submitted by the Kazakh side during the meeting in Astana in June 2014 were addressed. Furthermore, the adjustment of the agreed action plan - due to the extension of the project period for an additional year - was an important topic of the agenda. The proposals made by the Kazakh head of the delegation will be taken into account in the updated plan.

9 PAGE 9 EU-OUTREACH IN THE FIELD OF CONVENTIONAL ARMS (COARM) EASTERN EUROPE AND CAUCASUS REGIONAL WORKSHOP A COARM Regional Workshop on arms export controls for eastern European and Caucasian Partners of the ENP was organized in Tbilisi, Georgia on October Participating countries to the regional event were Armenia, Azerbaijan, Belarus, Georgia, Moldova and Ukraine. This regional workshop the second event in this format organized in the framework of the Council Decision 2012/711/CFSP addressed policy, licensing and customs representatives and aimed at discussing the importance of trade controls as a security instrument combating proliferation while not hampering legitimate trade and in the same time to identify commonly used instruments that are applied to ease the administrative burden on legitimate trade like e.g. facilitating licensing procedures, exceptions, exemptions etc. The thematic sessions, including the breakout group sessions were chaired by EU experts from Austria, Belgium, Germany, Poland and Sweden. NORTH AFRICAN AND MEDITERRANEAN COUNTRIES REGIONAL WORKSHOP On October 2014 a COARM Regional Workshop on arms export controls for the North African and Mediterranean partner countries of the ENP took place in Algiers, Algeria. Main objective of the event was to promote the control of arms exports and the principles and criteria of Common Position 2008/944/CFSP. This outreach event was dedicated to government, customs and licensing officials from Algeria, Egypt, Morocco and Tunisia. The aim of the regional seminar was to demonstrate and share national practices in the field of the control of transfer of defence products with a special focus on licensing process and challenges of controlling transit and transshipment. Expertise was imparted by various EU Member States like Austria, Belgium, France, and Portugal. Source: BAFA

10 PAGE 10 EU-OUTREACH IN EXPORT CONTROL OF DUAL-USE ITEMS (LTP) AND IN THE FIELD OF CONVENTIONAL ARMS (COARM) SOUTH EAST EUROPE REGIONAL WORKSHOP ON DUAL-USE ITEMS AND ARMS EXPORT CONTROLS Within the framework of the EU-Outreach programme in Export Control of Dual-Use Items and Council Decision 2012/711/CFSP, a regional workshop on dual-use items and arms export controls took place for the partner countries from the South East European region in Belgrade, Serbia on 4 6 November The first part of the workshop on 4 November was dedicated to representatives of the respective authorities responsible for licensing of export controls, Customs Administrations and Ministry of Foreign Affairs (MFA) who jointly discussed the topic of cooperation with industry, its importance, their respective role, the concept of ICP as well as different approaches for engaging with exporters and other stakeholders, such as research and foreign trade community. The representatives from the region of South East Europe and the EU Experts shared their experience and best practices to further generate ideas and a common ground. On 5 6 November, the back-to-back event had a main focus on Arms Export Controls. The main objective was two-fold: On the one hand, sufficient room was allowed for the participating delegations to ask questions in the area of arms export controls and to have all topics clarified they wished to discuss. On the other hand, the representatives from South East Europe were encouraged to present their expectations with regard to future events in the region. Another focus was also on the implementation and ratification of the Arms Trade Treaty, where participants had the opportunity to talk about their experience. In this session, they were further updated on current developments with regard to the treaty. In the course of the event, the participating delegations were divided into breakout groups, both countrywise where they could discuss in their own language and according to their expertise. In the respective policy, licensing and customs groups they discussed various case studies, which were eventually presented to the plenary. The participants discussed lively, both in the plenary and in small breakout groups. Source: BAFA

11 PAGE 11 ACTIVITY CALENDAR CONTRACT DATE COUNTRY / REGION ACTIVITY POINT OF CONTACT SEPTEMBER LTP China Study Visit for Chinese Representatives to the EU Mr Reimar Angersbach CoE Jordan Follow up visit - Customs Working Meeting Ms Katja Philipp CoE Kazakhstan Working Meeting on the Concept for Identification Centre Ms Irina Albrecht LTP Jordan Participantion at a Legal Seminar of US EXBS Mr Werner Knapp OCTOBER CoE 5 02 Uzbekistan Seminar Ms Katja Philipp LTP Armenia Awarness Raising Event to Governmental Bodies involved in Export Controls Mr Werner Knapp LTP South East Asia Regional Workshop in Thailand on Capacity Building on Technical Expertise in Strategic Trade Control Rating of Technical Properties and Application of Legal Terms (Thailand, Malaysia, Vietnam, Phillippines) Dr Sibylle Bauer COARM East Europe and Caucasus Regional Workshop on Arms Export Controls (Armenia, Azerbaijan, Belarus, Georgia, Moldova, Ukraine) Mr Werner Knapp CoE African Atlantique Façade Regional Workshop (Gabon, Morocco, Senegal) Ms Katja Philipp LTP Georgia Legal Workshop and Awareness Raising to Industry Mr Werner Knapp

12 PAGE 12 COARM North Africa and Mediterranean Partner Countries Regional Workshop on Arms Export Controls (Algeria, Egypt, Marocco, Tunisia, Lybia) Mr Werner Knapp NOVEMBER LTP / COARM 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 Middle East Regional Workshop (Iraq, Jordan, Lebanon) Ms Katja Philipp ATT-OP Latin America and the Caribbean Regional Seminar to support the Implementation of the Arms Trade Treaty for (all LAC countries) Ms Irina Albrecht LTP Germany Non-Proliferation Risks: Governance and Compliance Management Dialogue with Industry in Support of UN Security Council Resolution 1540 (2004) Ms Irina Albrecht ATT-OP Colombia Initial Visit Ms Irina Albrecht LTP China Joint EU China Handbook Conference Mr Reimar Angersbach CoE North Africa Regional Workshop (Algeria, Morocco, Tunisia) Ms Katja Philipp DECEMBER LTP / COARM Belgium Joint Assessment Event of the Outreach Activities Mr Werner Knapp ATT-OP Philippines Initial Visit Ms Irina Albrecht CoE Germany Regional Workshop (Kazakhstan, Kyrgyzstan, Tajikistan, Uzbekistan) Ms Katja Philipp

13 PAGE 13 NEWS ON EXPORT CONTROL 10/2014 EU LAW / EMBARGO MEASURES UKRAINE MEASURES IN RESPECT OF THREATS TO THE TERRITORIAL INTEGRITY OF UKRAINE The Council Regulation (EU) No 269/2014 of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine is amended with the Council Regulation (EU) No. 959/2014 of 8 September 2014 (OJ L 271 of , p. 1) to expand the criteria for the inclusion in the list to target individuals or entities conducting transactions with the separatist groups in the Donbass region of Ukraine. With the Council Regulation (EU) No. 961/2014 of 8 September 2014 (OJ L 271 of , p. 8) implementing the Regulation (EU) No. 269/ additional persons are added to the list set out in Annex I. Presently it contains 119 individuals and 23 entities. RUSSIA The sanctions imposed by Council Regulation (EU) No. 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia s actions destabilising the situation in Ukraine are expanded with Council Regulation (EU) No. 960/2014 of 8 September 2014 (OJ L 271 of , p. 3). Based on Article 2a of this Regulation, additional restrictions apply to the export of dual-use goods under Annex I to Regulation (EC) 428/2009 to persons and entities as listed in Annex IV to Regulation (EU) No. 833/2014. The prohibitions in Art. 2a para. 1 shall be without prejudice to the execution of contracts concluded before 12 September 2014 (Art. 2a para. 3). Furthermore Art. 2a para. 4 provides for specific exemptions for the maintenance and safety of existing civil nuclear capabilities within the EU as well as the aeronautics and space industry. Please note that all these exemptions only apply to non-military use and non-military end-users since the wording may be misleading. In connection with this prohibition, please note that company OAO Almaz Antey that is mentioned in Annex IV to the above regulation is listed. The provision of funds and economic resources to this company is prohibited pursuant to Art. 2 para. 2 in conjunction with Annex I to Regulation (EU) No. 269/2014. Thus, deliveries to company Almaz Antey are also prohibited if these shipments are based on an existing contract. Technical assistance or financial services that are in connection with dual-use goods listed in Annex I to the Dual-Use Regulation and are to be provided to companies referred to in Annex IV are basically prohibited, unless these services fall within the scope of the above Art. 2a para. 4 or serve the execution of contracts concluded before Furthermore Art. 3a of Regulation (EU) No. 833/2014 prohibits to provide associated services necessary for deep water oil exploration and production, arctic oil exploration and production, or shale oil projects. Derogations are related to the execution of existing contracts and to services necessary for the urgent prevention or mitigation of serious events. In addition, a revision of Article 5 further restricts the access to capital markets of certain companies established in Russia as set out in Annexes III, IV and V. These are financial institutes and companies of the defence and oil sector. TERRORISM AL QAIDA The Commission Implementing Regulation (EU) 930/2014 of 28 August 2014 (OJ L 258 of , p. 4) and the Commission Implementing Regulation (EU) No. 934/2014 of 1 September 2014 (OJ L 262 of , p. 1) amending Council Regulation (EC) No. 881/2002 for the 218th to 219th time, put into practice the resolutions of the UN Sanctions Committee adopted on 20 and 26 August One natural person is added to the list and one natural person is removed from the list in Annex I.

14 PAGE 14 PAGE 14 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 Federal Office for Economic Affairs and Export Control Ms Irina Albrecht EU-OUTREACH IN THE FIELD OF CONVENTIONAL ARMS Points of Contact: European External Action Service Directorate for Security Policy and Conflicts Prevention Federal Office for Economic Affairs and Export Control Mr Werner Knapp 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