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