1. Export Controls Seminar for Western Balkans May 22- 23, 2006 1 EU Code of Conduct on arms exports - a paradigm or a panacea ? An introduction by Nineta Bãrbulescu, Senior Desk Officer Non proliferation, Arms Control and Combating Terrorism Office, Ministry of Foreign Affairs of Romania -prepared for Export Controls Seminar for Western Balkans “ Export Control of Dual-Use Items and Arms: Industry Outreach” May 22 - 23, 2006

2. Export Controls Seminar for Western Balkans May 22- 23, 2006 2 Motto Export Controls is not a publicly available field when it is well conducted and safety practiced. However, during challenging times as we are living after September 11, 2001, export controls became more and more a visible tool for implementing active nonproliferation policies and for combating international terrorism. For state reasons, the export controls officials have to assure that export controls never became a battle of indigenous political dispute.

3. Export Controls Seminar for Western Balkans May 22- 23, 2006 3 Introduction EU Code of Conduct on arms exports (CoC) was adopted by the EU Council in June 1998 Romania subscribed to CoC in July 1998 In December 1999 Romania became associated country to EU In November 2004 the technical negotiations with EU were closed In April 2005 it was signed the treaty accession between Romania, Bulgaria and EU Currently, we are 6 months prior to accession date

4. Export Controls Seminar for Western Balkans May 22- 23, 2006 4 Effective national practices Basics national legislation regulating export controls contains legal basis and procedures for end use control of strategic items assessing the license application against CoC criteria and principles is one of the critical criteria during decision making process pre licensing phase is built on this assessment CoC application is the heart of the decision making process

5. Export Controls Seminar for Western Balkans May 22- 23, 2006 5 The CoC Anatomy Preamble The CoC Principles 7 CoC Criteria Operative provisions

6. Export Controls Seminar for Western Balkans May 22- 23, 2006 6 The CoC Preamble CoC was adopted by the Council of the European Union It contains an introduction of CoC historical background Common Criteria as agreed at the Luxembourg European Councils in 1991 Common Criteria as agreed at the Lisbon European Councils in 1992

7. Export Controls Seminar for Western Balkans May 22- 23, 2006 7 The CoC Goals To prevent the export of equipment which might be used for internal repression or international aggression or contribute to regional instability + to promote convergence in the field of conventional arms exports + to set common standards as the minimum for the management and restraint in conventional arms transfers + to strengthen the exchange of relevant information with a view to achieving greater transparency

8. Export Controls Seminar for Western Balkans May 22- 23, 2006 8 The CoC Principles The recognition of the responsibility of arms exporting states, The right to transfer the means of self-defense, The right of self-defense, as it is recognized by the United Nations Charter

9. Export Controls Seminar for Western Balkans May 22- 23, 2006 9 Implementing the Coc in Romania - Romania subscribed to the EU CoC in July 1998 Since 1998, Romania associated to the EU Declarations, Joint Actions and Common Positions adopted in the framework of CFSP for implementing the

10. Export Controls Seminar for Western Balkans May 22- 23, 2006 10 The Coc and Romania - a brief history for the end users 1998 = Romania subscribed to the EU CoC 2001 = CoC translation to Romanian = CoC dissemination - on www.ancex.ro + as annex in the very first Report on Romanian arms exports for 2000-2001 = CoC became the favorite tool of the regular dialogue with defense industry

11. Export Controls Seminar for Western Balkans May 22- 23, 2006 11 The Coc and Romania - a brief history 2003 = CoC became an important issue of Romanian outreach on arms transfers to other countries in Balkans 2005 = full implementation of CoC –participation to NO UNDERCUT POLICY and PRACTICE –DENIALS issued –COARM participation for an adequate understanding of CoC regime Currently = CoC as a comprehensive tool

12. Export Controls Seminar for Western Balkans May 22- 23, 2006 12 The CoC Physiology How does CoC works ? What is the political value of the CoC? What is the routine value of the CoC? Next Steps?

13. Export Controls Seminar for Western Balkans May 22- 23, 2006 13 How does the CoC works ? In close connection with other tools –EU Common Military List, February 27, 2006 –Embargoes on arms transfers (EU embargoes, UN Security Council Resolutions, OSCE embargoes) plus unilateral embargoes –User’s Guide to the EU Code of Conduct on arms exports, as agreed by COARM (updated version April 19, 2006) –COARM database (updated version March 2006) – Common Position 2003/468/CFSP on the control of arms brokering

14. Export Controls Seminar for Western Balkans May 22- 23, 2006 14 How does the CoC works ? Additional data and information –The annual reports of the EU Council on the CoC implementation (recently, the 7th Report) –EU National Reports on Arms Exports –US Annual Report by the US Department of State - direct commercial sales authorizations for Fiscal Year 2005

15. Export Controls Seminar for Western Balkans May 22- 23, 2006 15 EU Common Military List UN Security Council EMBARGOES EU, OSCE EMBARGOES The EU Code of Conduct on Arms Exports User’s GUIDE COARM DATABASE EU Annual Reports on the CoC implementation How does the CoC works ? EU Acquis INTERNET Relevant National Reports Diplomatic Channels

16. Export Controls Seminar for Western Balkans May 22- 23, 2006 16 What is the CoC political value ? CoC is an arms export controls regime –CoC is efficient and predictable –CoC implementation means harmonized foreign policies on arms transfers -at large –Common standards –Common understandings - under way –Consistent NO UNDERCUT POLICY & PRACTICES

17. Export Controls Seminar for Western Balkans May 22- 23, 2006 17 What is the CoC routine value ? Assessing license application for arms transfers against CoC criteria Taking note of EU databases –COARM database, the EU Council Report s Using export controls regimes databases –Wassenaar Arrangement exchange of information Learning about any public pertinent information

18. Export Controls Seminar for Western Balkans May 22- 23, 2006 18 10 Necessary Steps for any new CoC end-user 1. The political determination to apply it 2. To find it - preferably in your native language - for English versions, please visit EU Council web site, security-related export controls 3. To read it - 4. To make a package of necessary documents *see previous slides no. 12-13 5. To understand it - a long way process

19. Export Controls Seminar for Western Balkans May 22- 23, 2006 19 10 Necessary Steps for any new CoC end-user 6. To closely follow publicly available export controls annual developments, in particular www.wassenaar.org and COARM developments 7. To understand Lessons learned especially from Eastern Europe region and to share it with defense industry 8. To advocate the EU CoC necessity with all export controls officials

20. Export Controls Seminar for Western Balkans May 22- 23, 2006 20 10 Necessary Steps for any new CoC end-user 9. To make end results efforts to create the necessary domestic legal framework for a regular CoC application, especially for crystal clear restrictions *UN, EU, OSCE embargoes 10. To fully implement it, on a daily basis, and to adjust, accordingly, the foreign policy for safeguard the European option and destiny of your country

21. Export Controls Seminar for Western Balkans May 22- 23, 2006 21 A CoC Application Theoretical Interactive Exercise

22. Export Controls Seminar for Western Balkans May 22- 23, 2006 22 Help us to understand how to help you !