Import and Export of Ammunition

AT04 Slide 1

Terminology

Transfer Authorisation

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Transfer Authorisation Process

Written authority by States: • Into which the ammunition is to be imported• From which the ammunition is to be exported• With jurisdiction over brokering activities• Through whose territory the ammunition is to transit• On whose territory the ammunition is to be

transhipped

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Transfer Authorisation Process

Scope of authorisations: • State-to-State transfers• State-to-private transfers• Private-to-State transfers• Commercial sales (private-to-private)• Leases• Licensed production• Transfers of equipment

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Transfer Authorisation Process

Simplified procedures: • Temporary, small amounts for hunting, evaluation,

exhibition, etc• Ammunition for use by a State's own forces• Trusted end-users

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Transfer Authorisation Process

Expiry and Revocation: • Authorisation is limited by time (i.e. has an‘end

date’).• Revocation (e.g. false pretences, change in

situation).

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Form and Content of Transfer Authorisations

A formal document:• Validity can be established• Difficult to forge of falsify• IATG 03:30 provides guidance on the form and

content

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Assessment of Transfer Applications

Impartiality and fairness Timeliness A preliminary assessment Grounds for denial (see list in IATG 03:30) Risk of diversion or re-transfer assessed

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Assessment of Transfer Applications

Grounds for denial:• See Aide Memoire (lesson handout)

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Assessment of Transfer Applications

Assessing the risk of diversion and retransfer:• Risk of diversion before reaching the end-user.• The authorised end-use might re-transfer the

ammunition in contravention of export criteria or law.

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Operating Licences

Authorises people/groups/companies. Operating Licence is required first, then make

applications for specific transfers.

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Import Controls

IATG 03:30

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Applications for Import Authorisations

Minimum information for import application:• Name / contact details of the importer• Name / contact details of the end-user• An end-use assurance• The country of export• Name / contact details of the exporter• The value of the import• Detailed description of the ammunition

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Assessment of Applications

Quantity and nature of ammunition commensurate with: • Legitimate, national self-defence and security

requirements• Requirements for participating in United Nations

and regional peace support operations• Requirements of the civilian population for small

arms ammunition, in accordance with national law

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Grounds for Denial

Incomplete information in the application. Inconsistent with assessment criteria on the

previous slide. Clear risk of diversion before reaching the

authorized end-user. Recipient not legally entitled to be in

possession of the ammunition.

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Record Keeping

Maintained for at least 20 years. Preferably maintained indefinitely. Properly organised and maintained. Supplemented and updated as necessary.

See IATG 03:30

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Export Controls

IATG 03:30 Authorisation on a case-by-case basis. Simplified procedures may be used.

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Applications for Export Authorisation

Minimum information for import application:• Name and contact details of the exporter.• Applicant’s operating licence, if applicable. • Import authorization (issued by importing State).• End-user certificate (as per IATG 03.40).• Intended end-use of the consignment.• Names, details and roles of all parties involved. • Full details of the transport route.• The value of the consignment.• A detailed description of the consignment’s contents.

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Additional Information on Air Transport

Name and contact details of the air carrier Aircraft registration number Aircraft country of registration Flight route including planned stopovers

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Assessment of Export Applications

Similar to import applications Inter-agency involvement more likely

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Record Keeping

Maintained for at least 20 years. Preferably maintained indefinitely. Properly organised and maintained. Supplemented and updated as necessary.

See IATG 03:30

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Transit Controls

Minimize the risk that ammunition could be used for any untoward purpose.

The national authority responsible for authorizing the export has responsibility for authorizing transit / transhipment.

Transit / transhipment should not be authorised before States have authorised import and export applications.

AT04 Slide 22

Applications for Transit and Transhipment Authorisation

Minimum information for transit / transhipment application:• Name and contact details of the applicant• Import authorisation • Export authorisation• End-user certificate• Intended end-use of the consignment• A detailed description of the consignment’s

contents

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Assessment of Transit / Transhipment Applications

Similar to import applications Inter-agency involvement more likely

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Record Keeping

Maintained for at least 20 years. Preferably maintained indefinitely. Properly organised and maintained. Supplemented and updated as necessary.

See IATG 03:30

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Brokering Controls

National controls exercised regardless of whether:• Nationals or non-nationals of the States in question.• Ammunition ever enters the jurisdiction of the State

in which brokering activities take place.

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Primary and Secondary Brokering

Primary:• Negotiation and arrangements of transactions• Transfers of ammunition

Secondary:• Freight forwarding• Transportation• Financial• Insurance

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Brokering Authorisation Process

A brokering authorization should not be granted before the importing State has granted an import authorization, but may be granted before export, transit and transhipment authorizations, since arranging such authorizations can constitute brokering activities.

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Applications for Brokering Authorisation

Minimum information for brokering application:• Name and contact details of broker.• Applicant’s operating licence.• Country of import and import authorization.• Name and contact details of the end-user.• End-use assurance.• Country of export.• Name and contact details of the exporter.• Value of the consignment.• Detailed description of the consignment’s contents.

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Assessment of Brokering Applications

Similar to import applications. Records maintained and kept as for other

types of assessment.

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Enforcement

Use various mechanisms to: • Keep companies and individuals informed of their

obligations.• Allow for investigation and prosecution.

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Enforcement

Out-reach to Industry:• Dissemination of information.• Information updates.• Training.• Inspection.

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Enforcement

Violation of Arms Embargoes:• Embargoes imposed by UN Security Council.• Investigated and prosecuted.• Also apply to embargoes and moratoria imposed by

regional organisations.

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Enforcement

Customs officials shall determine that:• Consignment accompanied by all required

authorisations and documentation.• The actual content is consistent with the paperwork.

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Questions

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