Global Transshipment Control
Enforcement Conference
Sydney, Australia
July 15-18, 2003
Co-Chairs' Summary of Best
Practices
Participants in the Global Transshipment Control Enforcement Conference held
in Sydney. 15-18 July. 2003 examined current and potential best practices
for securing effective controls on transit. transshipment, and re-export of
WMD-related items. technologies and delivery systems in four areas: legislative
and regulatory frameworks; inspections and investigations; detection technologies;
and outreach.
The following list of best practices draws on discussion during the Sydney
Transshipment Conference and supplements the "Best Practices for Effective
Export, Re-export, Transit and Transshipment Controls" generated at the Transshipment
Enforcement Conference held November 15-17, 2000 in San Diego, California.
Participants in the Sydney Transshipment Conference anticipated that in future
seminars they would report on their governments' progress towards implementation
of these practices, as well as identify new best practices.
Legislative and Regulatory Frameworks
Governments should have up-to-date lists of products and technologies of
concern consistent with established international nonproliferation norms.
These lists should cover both tangible and intangible technologies and may
usefully draw on existing lists of various nonproliferation arrangements.
Transshipment trade controls should also permit the regulation of shipments
of unlisted items of potential concern, when governing authorities have reason
to believe the shipment will go to terrorists or a program of proliferation
concern (i.e. "catch-all" controls). Controls on transshipment services, including
financial services and brokering, can also complement more traditional controls
on listed items.
Governments should have policies that enhance the knowledge of and support
for controls on transshipment trade among its own agencies, trade facilitators,
and the public. Governments should, for example, improve systems to integrate
existing private sector data on transshipment trade, increase outreach regarding
end-users of concern, and encourage industry to develop effective internal
compliance practices for transshipment trade controls.
Effective transshipment trade controls should foster the capacity of authorities
transshipment hubs to obtain adequate information from exporters and their
governing authorities to assess the legitimacy and control conditions of the
shipment.
Inspections and Investigations
- Governments should take assertive steps to increase the focus of designated
enforcement agencies on transshipment trade controls for reasons of nonproliferation
and anti-terrorism, which is a newer concern relative to the traditional
emphasis on dutiable or prohibited imports. This should include training
on enforcing transshipment controls on intangibles and services.
- Enforcement agencies should use risk management and targeting strategies
to their resources most effectively against suspect shipments and to minimize
impediments to legitimate commerce. In many cases, agencies can build on
existing targeting and enforcement strategies used for other types of illicit
transactions, such as narcotics smuggling or duty evasion.
- Enforcement agencies should use both intelligence and trade information
analysis to drive targeting. Enforcement agencies should continually evaluate
their targeting strategies and develop a standard method to document examinations
and results. They should also use random inspections to provide a quality
control fo their targeting strategies.
- Enforcement agencies should develop minimum reporting requirements for
exporters and traders and need to maintain lists of suspect parties to implement
effective controls on transshipment trade.
- Enforcement officers need access to accurate, authoritative, clear, and
timely technical assistance in establishing whether specific shipments involve
controlled items or transactions. This should entail cooperation with licensing
authorities and sources of additional technical expertise.
- Governments should seek to develop global standards on controlling and
enforcing transshipment trade to acknowledge the low risk posed by more
secure transshipment hubs.
- Licensing and enforcement authorities should use both formal and informal
me~ to exchange information regarding approvals and denials for transshipments.
They may also exchange useful information on product classification to trusted
neighboring or other transshipment hum authorities to assist in their targeting
strategies.
Detection Technologies
- Technology does not substitute for, but rather supplements, the knowledge
and skills of trained, professional enforcement officers. Government and
industry should develop technological solutions proportional to their needs
for implementing effective transshipment trade controls. The technologies
adopted should be appropriate to the operational environment and meet quality
standards.
- Technological solutions must be sensitive to budgetary considerations
related to the purchase, use, service support, maintenance, and upgrades
of detection equipment.
- Enforcement agencies should share with counterparts their experiences
with the use of equipment to aid the development of additional best practices.
- Increased training and awareness regarding the types of controlled items,
and the reason for their control, must accompany training in the use of
new detection technologies. Procedures and operations must be revised as
these technologies are introduced. Targeting strategies should make optimal
use of new detection technologies.
- Public and private enforcement agencies need to pay special attention
to safety developing technological solutions, both in using the technology
and in inspect potentially hazardous shipments.
Outreach
- Governments should maintain substantial transparency regarding controls
on transshipment trade. To this end, governments should use multiple channels
and strategies to exchange information with the private sector regarding
transshipment trade controls.
- Governments should develop systematic, responsive, and well-documented
outreach strategies. Governments should also put into place formal procedures
for the exchange of information and coordination between relevant government
agencies.
- Effective outreach on transshipment trade controls should include explanation
of t legal basis for the controls, the terms and principles of the regulations,
the means ( using the regulations for compliance, tips for identifying suspect
sales, and penalties for non-compliance, among other elements.
| | | | | | |
