1. ROMANIAN EXPORT CONTROLS SYSTEM
by Mihai COSTACHE
Head of Compliance Unit – Conventional Arms Division
National Agency for Export Controls

2. Romania Export Controls Community
Mission Statement:
To maintain and develop the responsible behavior of Romania as an active nonproliferation promoter of security within our region and international by
Continuous implementation and fostering national export controls laws and best practices according to mature export control regimes;
Fostering the enforcement dimension;
Implementing the transparency principle;
Facilitating responsible exports of arms and dual use items.

3. ANCEX Competencies 1 DUAL C W C USE P R I N C I P L E S UN FIREARMS
National authority in export control
Subordinated to the M F A
National
Agency for Export Controls
ARMS
C W C
UN FIREARMS
PROTOCOL
DUAL
USE
P R I N C I P L E S

4. POLICY IMPLEMENTATION GOVERNMENT OUTREACH TO INDUSTRY
ANCEX Competencies 2
POLICY IMPLEMENTATION
GOVERNMENT OUTREACH TO INDUSTRY
REGULATORY LICENSING
BODY AUTHORITY
ENFORCEMENT
INTERNATIONAL COOPERATION

5. ANCEX Organizational Chart

6. Eighteen Elements of an Effective Export Control System
Critical
Elements
Legal Framework
Advisory Committees
Policy
Negotiations
Control Lists
Regime Adherence
Catch-all (export)
Country Lists
Verification especially in site
Interagency Process
Licensing System
Transshipments
Information Sharing
Customs Authority
Confidentiality
Training
Record Keeping
Penalties

7. Legal Framework Overview 1
Military Pillar
Primary Legislation
Law 595/2004 update and modify Government Ordinance 158/1999
Law 499/2002 for the payment of Romania contribution to Wassenaar Arrangement
Law 9/2004 for adherence to UN Firearms Protocol
Secondary Legislation
Government Decision no. 844/2001 on the military goods and technologies subject to export and import controls regime
ANCEX President Orders : 59/2005 a.s.o
Other incident Legislation
Romanian Custom Code
Decision of Customs National Authority regarding Customs Offices designated for transfers of strategic goods

8. Legal Framework Overview 2
Dual Use Pillar
Primary Legislation
Law no.387/ 2003 on the dual use goods and technologies export control regime – entry into force November,
The very first organic law regulating export controls field
Law 92/ 2004 for Romania participation to Australia Group
Secondary Legislation
Government Decision no. 861/ 2004 on the dual use goods and technologies subject to export and import controls regime – entry into force July,
ANCEX President Orders : 631/2003 a.s.o
Other incident Legislation
Law 56/1997 on CWC implementation, as amended in 2004
Romanian Custom Code
Order 245/ 2004 of Minister Delegated to coordinate control authorities (Code of Conduct şi Control Guide )
Decision of Customs National Authority regarding Customs Offices designated for transfers of strategic goods

9. Splitting the Export Controls November 2003
At November 5, 2003, the Law 387 on the export controls regime of dual use items and technologies came into force;
At December 15, 2004, the Law 595 (update and modify G.O. 158/1999 regulating the regime of exports, imports and other operations with military goods;
Arms
Pillar
Dual use Pillar

10. Authorization Work Flow – Military Pillar
ANCEX
PRE - AUTHORIZATION CHECK documentary & in site
OCIEPS
PRESIDENT APPROVAL
1 – 60 OR DAYS (REAUTHORIZATION)
(VALABILITY UNTIL ANCEX ISSUING THE AUTHORIYATION)
CONVENTIONAL ARMS DIVISION
APPLICANT
1 – 60 DAYS (VALIDITY 1 YEAR)
1 – 15 DAYS (VALIDITY ONLY FOR ONE SPECIFIC OPERATION OR MAX. 60 DAYS)

11. Pre – Authorization Check - in site -
investigation on companies' legal existence (address, phone, fax, registration number in the trade register, object of activity, partners/ shareholders, managing partners, branches, subsidiaries, goodwill, foreign direct investment
history on company's life from incorporation to strike-off;
company's status (under dissolution, liquidation, bankruptcy, strike-off, temporary stagnation);
Law enforcement review - contact point (person(s), structure or entity).

12. Consultancy Review Process
ANCEX
DUAL USE
ITEMS AND TECHNOLOGIES
DIVISION
APPLICANT
NATIONAL FOCAL POINT
CONVENTION ARMS DIVISION
1 – 10 WORKING DAYS

13. ADVISE/ RECOMMANDATION REVIEW BY LICENSING OFFICER
Licensing Flow – Chart 1
ANCEX
CONVENTIONAL ARMS DIVISION IC
ADVISE/ RECOMMANDATION
REVIEW BY LICENSING OFFICER
ITEMS
COUNTRY OF CONCERN
END USER
END USE
EMBARGOES+EU CoC
RED FLAGS INDICATORS
SCREENING Director & Staff
Double (triple) check process
START -
CONTRACT
CONSNSUS/ NO CONSENSUS
DATA BASE
(TRACKER )
LICENSING
(NEXT LEVEL)
DEPUTY MYNISTER CONSNSUS/ NO CONSENSUS
APPLICATION
DENIAL
APPLICANT
DECISION
NOTIFICATION
ROMANIAN PARLIAMENT & SCND
WA – SECRETARIAT, UN DDA,
OSCE.
APPROVAL
by Head of
ANCEX
1 – 30 (SESITIVE CASES +15) = MAX. 45 DAYS

14. Licensing Flow – Chart 2 Documentation Analysis
accuracy analysis of commercial data
opportunity analysis of end - use\ embargo regime + regional\ global views + information exchange + goods sensitivity + end-user reliability + brokers/ dealers + risk diversion + essential identical transactions + notifications\ denials
conformity analysis of data + issuing authority\ signatures samples + balance verification + related documents analysis
red flags indicators

15. Inter-Agency Cooperation The Military Pillar
Ministry of
Foreign Affairs
ANCEX
Ministry of
Defense
Inter-ministerial Council for
the Exports, Imports and
Other Operations
of Military Items
Foreign
Intelligence
Service
National
Customs
Authority
Ministry
of Administration
and Interior
Ministry
of Economy
and Trade
Romanian
Intelligence
Service

16. Issuing a Permit (Flow – Chart) REVIEW BY OFFICER IN CHARGE
ANCEX
CONVENTIONAL ARMS DIVISION
APPROVAL
by Head of
ANCEX
REVIEW BY OFFICER IN CHARGE
ITEMS
COUNTRY OF ORIGIN
COUNTRY OF DESTINATION
END USER
END USE
EMBARGOES
EU CODE OF CONDUCT
RED FLAGS INDICATORS
SCREENING Director &
Officer in charge
Double check process
START
Order
APPLICANT
DECISION
DATA BASE
APPLICATION
TRANZIT &TRANSSHIPEMENT 1 – 5 DAYS
NON-COMMERCIAL OPERATIONS 1 – 30 (+15) DAYS

17. Responsibilities in Export Control 3
Parliamentary Control over Export Controls
Art.65, para.(2) Romania Constitution
The Parliament approves national defense strategy;
The Parliament exams reports from The Supreme Council for National Defense.
During exercising legislative function by
Exercising the right of legislative initiative;
Examination and consideration of the draft laws;
A post factum control via parliamentary mechanisms
The question, the interpellation, the inquiry
The motion and the vote of censure

18. Effective controls
MFA INTERFACE AND POLITICAL ISSUES, POINT OF CONTACT - UN PoA
ANCEX
EXPORT CONTROL EXPORT, IMPORT, BROCKERING TRANSSHIPMENT AND TRANSIT, POINT OF CONTACT - FIRE ARMS PROTOCOL
MEC
INTERNAL PRODUCTION CONTROL. MARKING AND REGISTRATION
MAI
BORDER AND INTERNAL CONTROL TO AVOID THE PROLIFERATION OF SALW THROUGH THE COUNTRY;
MoD
STOCKPILE MANAGEMENT AND SECURITY ``
CUSTOMS AUTHORITY & BORDER POLICE
BORDER CONTROL TO AVOID ILLICIT TRAFFIC OF SALW

19. Ministry of Foreign Affairs
Guide the national policy on SALW issues;
Ensure the interface with international organizations;
Sharing information with other international organizations and states.
Direct consultations amongst those national officials and institutions that must be involved in implementing the cooperation.
National Focal Point for UN PoA – Non Proliferation, Arms Controls and Counter Terrorism Office (

20. Ministry of Administration and Interior
National Focal Point: or
Division for Economic & Strategic Investigation - (DIES) – IC representative;
The Independent Unit of Arms, Explosives and Toxic Substances
Preventing, finding and ascertaining the crimes regarding the arms, explosives and toxic substances;
Giving authorisation to physical and juridical persons in order to possess arms and ammunition, endorsement for obtaining the licenses for import-export operations of arms and ammunition, explosive materials and irritant sprays for eyes;
Cooperates with the similar institutions from abroad and with the international organisations that have attributions in the area of arms, explosives and toxic substances;
Law no. 295/2004, ON WEAPONS AND AMMUNITION REGIME.

21. Ministry of National Defense www.mapn.ro
Owns the biggest stockpile.
Responsible for the stockpile management and security.
Import & Export of Distinctive Goods Monitoring Office - OCIEP
Examines, processes and forwards for approval the authorizing applications issued by the economic agents (within structure, or supervised by the National System body for Defence, Public Order and National Security -SNAOPSN) with the intention to carry out armaments, ammunitions and military items trade;
Examines, processes and forwards for approval the notice applications issued by the economic agents (others than above mentioned, or new one, established by H.G.) with the intention to obtain a strategic goods trade authorization from ANCEX

22. Ministry of Commerce and Industry
Production control;
Authorize the production of military items;
Issued the marking standard (Order of the minister of Industry and Resources on the mandatory character of the standard SR 13475/2002 on the SALW marking system).

23. National Customs Authority
Address:        13, Matei Millo Street, sector 1, Bucharest, Romania Phone:         ; ;         ; ; Fax:         

24. National Agency for Export Control www.ancex.ro, www.export-controls.ro
Head of ANCEX - Deputy Minister, Liliana GHERVASUC
Phone: , fax:
Conventional Arms Division - ANCEX
Director, Paul PASNICU
Phone: , fax:
Head of Compliance Unit, Mihai COSTACHE:
Phone: , fax:
Project Manager ICP, Maria PETCU

25. Romanian Experience on Transparency
2004 = the 4th consecutive year of no allegations of potential violations of arms embargo by Romanian companies;
ANCEX Strategy :
- Transparency, communication and cooperation program with Industry
- Web-sites administration since and
- Establishment of a National Focal Point Consulting -
First Report on Arms Export Controls –
- e.g. It received an encouraging mark from Small Arms Survey 2004 (7)
Second Report on Arms Export Controls
- It will be published in English next week (Romanian version already on our web site);
Additional levels and criteria of transparency;
For an executive summary in English, please visit starting with October 18, 2004.

26. Romanian Experience on Transparency 2

27. Main Romanian Exporters of Military Items in 2002
Romanian Experience on Transparency 3
Main Romanian Exporters of Military Items in 2002
[% in 43,8 mil. USD]

28. Main ML Exported from Romania in 2002
Romanian Experience on Transparency 3
Main ML Exported from Romania in 2002

29. Geographical distribution of Romanian Arms Exports 2000 - 2002

30. Overall assessment of current status of Romania Export Controls
Romania has continued to align its position with EU sanctions and restrictive measures, statements, declarations and démarches and, when invited to do so, has associated itself with the Union's common positions and joint actions.
Romania has implemented the embargoes and the restrictive measures imposed by the UN, EU, OSCE and others that stem from the Wassenaar Arrangement regarding the export control for conventional arms and dual-use products.
Excerpt from 2003 Regular Report on Romania’s Progress towards European Union Accession, Chapter 27

31. Topics and Issues for the Future
Audit/ Verification of ICP;
Fostering the training for contact person;
Interagency cooperation in the enforcement area (ANCEX, Customs, Border Police and MoAI);
Diversification and fostering the enforcement activity

32. ?