End Use and User of Ammunition AT 05

End Use and User of Ammunition AT 05 Slide 1

Types of End Use Documents § End User Certificate (EUC) § Delivery Verification Certificate (DVC) AT 05 Slide 2

End User Certificate (EUC) § 2 x Types of EUC § EUC for transfer to States Entities § EUC for transfer to Private Entities AT 05 Slide 3

End-User Certificate Requirement § EUC shall be required prior to the approval of any Ammunition Export Licence AT 05 Slide 4

Content of an End User Certificate § The content of an EUC should vary depending on the nature of the End User AT 05 Slide 5

Content of an End-User Certificate for Transfer to State Entities § § § The Date of Issue A detailed description Whenever available the Contract Number The Country of Final Destination The Description of the End Use Assurances AT 05 Slide 6

Content of an End-User Certificate for Transfer to State Entities § § § Assurances that Re-Export Details of the Exporter Information about the End-User Original Signature of the End-User Certification A Unique Register Number AT 05 Slide 7

Content of an End-User Certificate for Transfer to State Entities § § Information on other Parties Information on Transit Points Commitment by the End User Clause allowing the Exporting State AT 05 Slide 8

Content of an End-User Certificate for Transfer to State Entities § The Place of Issue § The Location of the End Use of the Goods AT 05 Slide 9

Content of an End-User Certificate for Transfer to State Entities § Written Authorization § Imported Ammunition will not be Re-Exported § Imported Ammunition will not be Diverted AT 05 Slide 10

Content of an End-User Certificate for Transfer to Private Entities § § § The Date of Issue Detailed description of the ammunition The Country of the Final Destination The description of the End-Use Will only be used by the End-User Assurances AT 05 Slide 11

Content of an End-User Certificate for Transfer to Private Entities § § § Assurances Details of the Exporter Information about the End User The Original Signature Certification Unique Register Number AT 05 Slide 12

Content of an End-User Certificate for Transfer to Private Entities § § § The Contract Number Information on other Parties Information on Transit Points A Commitment A Clause AT 05 Slide 13

Content of an End-User Certificate for Transfer to Private Entities § The Place of Issue § The Location of the End Use Regarding re-export: § Assurances that Re-Export § Assurances that the Imported AT 05 Slide 14

Validity of an End-User Certificate § § EUC shall not be Used The Validity of an EUC The Length of Time Upon Expiry of the EUC AT 05 Slide 15

Format of an End-User Certificate § § Prevent Forgery Special Paper Exporting State Importing State AT 05 Slide 16

Reference of an EUC § EUC shall be provided with a Unique Registration Number AT 05 Slide 17

Delivery Verification Certificate (DVC) § A DVC shall be either a standard official document or an official document that contains a minimum amount of information AT 05 Slide 18

DVC Requirements § The Exporting State should require a DVC § Authorized to Stamp or Sign AT 05 Slide 19

Content of the DVC § Detailed description of the ammunition to be exported § The description of the End-Use of the imported ammunition § The details of the exporter § Information about the importer and End-User § The original signature of the Importer and/or End-User AT 05 Slide 20

Content of the DVC § Certification by the relevant Governmental Authorities § The Contract Number § Information on the means of transport of the transferred ammunition. § The Date of Issue § If applicable, a Unique Register Number and Validity of the DVC AT 05 Slide 21

Format of and Reference to DVC § A DVC should be issued by the Authorities of the Importing State. § Reference of a Delivery Verification Certificate. AT 05 Slide 22

End-Use Control Process § Pre-Transfer End-Use Controls § Pre-Licensing Risk Assessment § Standard Procedures AT 05 Slide 23

Simplified Procedures and Exemptions § Temporary exports of Ammunition for hunting or sport shooting etc. § Exports of ammunition for use by the State's own Security and Military Forces. § Transfers to certain trusted End-Users and destinations. AT 05 Slide 24

Strengthened Procedures § Strengthened Procedures should be applied to Ammunition considered sensitive by the Exporting State. AT 05 Slide 25

Authentication § § EUC Authentication or Legislation National Systems The Exporting State EUC Authentication may be undertaken by using Open Source information AT 05 Slide 26

Authentication § Only the original EUC shall be accepted. § EUC Authentication should be undertaken impartially. § Upon request the Importing State should assist the Exporting State. AT 05 Slide 27

Verification § The acceptance of EUCs at face value by Exporting Governments is, on its own, insufficient to prevent illicit transfers of ammunition. AT 05 Slide 28

Verification Process § § Identity and Legal Status of the Exporter. Identity and Legal Status of the End-User. Veracity of the Signature of the End-User. Identity and the Legal Status of the Intermediate Consignee, if Applicable. AT 05 Slide 29

Verification Process § Accuracy of the statements regarding the End. User. § Accuracy of the statements regarding Re. Export. § Accuracy of the statements regarding Export. § Adequacy of information provided in the EUC. § Existence of Certification. AT 05 Slide 30

Verification Process § Proper Authorization has been provided. § Possibility that the EUC could be forged. § Existence of a record of Past Involvement in illicit activities. § The relevance of the End-Use. AT 05 Slide 31

Verification Process § Risk of Diversion during Transfer. § Efficiency of End User. § Procedures of Stockpile Management and Security AT 05 Slide 32

Verification Process § § Existence of any record of past involvement. Likely involvement in corrupt practices. Validity of the End User. Ability and willingness to protect against Unauthorized Transfers. § Record Of Compliance. AT 05 Slide 33

Denying an Ammunition Export License on the Basis of EUC INFO § Validity of the EUC. § Appears that there Is a Significant Risk. AT 05 Slide 34

Controls during the Transfer § The Exporter should inform. § Ammunition transfers considered sensitive. § Exporting State should require cooperation. AT 05 Slide 35

Post-Shipment Controls § There should be 2 types of Post-Shipment Control: • Requirement for a Delivery Verification Certificate (DVC). • Requirement for Post Delivery Inspection. AT 05 Slide 36

Delivery Verification Certificate § An Exporting States should require that the Importing State and/or End-User provide a DVC to verify Receipt of the Ammunition Shipment. AT 05 Slide 37

Post-Delivery Inspection § Such controls should take place in the case of Transfers of Ammunition subject to Strengthened Procedures § Such as: • MANPADS • Cluster Bomb Units AT 05 Slide 38

Controls on Re-Export § Exporting States seek notification from Importing State prior to Re-Export /Re. Transfer. § Importers Honour any Contractually Agreed Re-Export Restrictions. § Importing State Notifies Exporting State Before Re-Export /Re-Transfer. AT 05 Slide 39

Exchange of Information § Each State should coordinate the exchange of Information, documentation and intelligence. AT 05 Slide 40

Foreign Licensed Production § Foreign Licensed Productiono. Or Licensed Production Overseas. AT 05 Slide 41

Operational Capabilities § Officials should be given resources and Training. § Officials should seek to obtain information on End Users and End Use. § Assistance with interested States. AT 05 Slide 42

Enforcement § Mechanisms to allow the Investigation and Prosecution of Violations Of Ammunition Transfer Controls § Procedures to keep relevant Companies informed of their obligations. AT 05 Slide 43

Outreach to Industry § Industry Outreach regarding End-User and End-Use. § Unambiguous, precise and transparent information provided. § Details of Relevant Legislation § Regularly updated Handbook and/or Website. § States may organize regular meetings. AT 05 Slide 44

Penalties for Non-Compliance § Civil and Criminal Penalties Including: § Fines. § Confiscation Of Proceeds. § Custodial Sentences. AT 05 Slide 45

The Role of Customs Authorities § Enforcement of End-Use Controls. § Should Be Sufficient Trained To Enforce Controls. § Possible Involvement In Pre-Licensing Risk Assessment. § In The Importing State Verify and Certify Delivery AT 05 Slide 46

Questions AT 05 Slide 47