end use and user of ammunition at05 slide 1. types of end use documents end user certificate (euc) ...

End Use and User of Ammunition

AT05 Slide 1

Types of End Use Documents

End User Certificate (EUC)

Delivery Verification Certificate (DVC)

AT05 Slide 2

End User Certificate (EUC)

2 x Types of EUC

EUC for transfer to States Entities

EUC for transfer to Private Entities

AT05 Slide 3

End-User Certificate Requirement

EUC shall be required prior to the approval of any Ammunition Export Licence

AT05 Slide 4

Content of an End User Certificate

The content of an EUC should vary depending on the nature of the End User

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 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

AT05 Slide 15

Format of an End-User Certificate

Prevent Forgery Special Paper Exporting State Importing State

AT05 Slide 16

Reference of an EUC

EUC shall be provided with a Unique Registration Number

AT05 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

AT05 Slide 18

DVC Requirements

The Exporting State should require a DVC

Authorized to Stamp or Sign

AT05 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

AT05 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

AT05 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.

AT05 Slide 22

End-Use Control Process

Pre-Transfer End-Use Controls Pre-Licensing Risk Assessment Standard Procedures

AT05 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.

AT05 Slide 24

Strengthened Procedures

Strengthened Procedures should be applied to Ammunition considered sensitive by the Exporting State.

AT05 Slide 25

Authentication

EUC Authentication or Legislation National Systems The Exporting State EUC Authentication may be undertaken by

using Open Source information

AT05 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.

AT05 Slide 27

Verification

The acceptance of EUCs at face value by Exporting Governments is, on its own, insufficient to prevent illicit transfers of ammunition.

AT05 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.

AT05 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.

AT05 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.

AT05 Slide 31

Verification Process

Risk of Diversion during Transfer. Efficiency of End User. Procedures of Stockpile Management and

Security

AT05 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.

AT05 Slide 33

Denying an Ammunition Export License on the Basis of EUC INFO

Validity of the EUC. Appears that there Is a Significant Risk.

AT05 Slide 34

Controls during the Transfer

The Exporter should inform. Ammunition transfers considered sensitive. Exporting State should require cooperation.

AT05 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.

AT05 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.

AT05 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

AT05 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.

AT05 Slide 39

Exchange of Information

Each State should coordinate the exchange of Information, documentation and intelligence.

AT05 Slide 40

Foreign Licensed Production

Foreign Licensed ProductionoOr Licensed Production Overseas.

AT05 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.

AT05 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.

AT05 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.

AT05 Slide 44

Penalties for Non-Compliance

Civil and Criminal Penalties Including:

Fines.

Confiscation Of Proceeds.

Custodial Sentences.

AT05 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

AT05 Slide 46

Questions

AT05 Slide 47