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3 INITIAL ELEMENTS (1996) Elements for Objective Analysis and Advice Concerning Potentially Destabilizing Accumulations of Conventional Weapons (1998) Best Practice Guidelines for Exports of Small Arms and Light Weapons (2002) Statement of Understanding on Arms Brokerage (2002) Elements for Export Controls of MANPADs (2003) Elements for Effective Legislation on Arms Brokering (2003) …

4 INITIAL ELEMENTS (1996) Elements for Objective Analysis and Advice Concerning Potentially Destabilizing Accumulations of Conventional Weapons (1998) Best Practice Guidelines for Exports of Small Arms and Light Weapons (2002) Statement of Understanding on Arms Brokerage (2002) Elements for Export Controls of MANPADs (2003) Elements for Effective Legislation on Arms Brokering (2003) … Best Practice Guidelines on Subsequent Transfer (Re-export) Controls for Conventional Weapons Systems contained in Appendix 3 of the Initial Elements (2011)

5 COUNTRY A (WA PS) Transfer of weapons Stringent export control measures; Reliable transfer COUNTRY B

6 COUNTRY A (WA PS) Transfer of weapons Re-exportRe-export Stringent export control measures; Reliable transfer COUNTRY B COUNTRY C ?

7 COUNTRY A (WA PS) Transfer of weapons Re-exportRe-export Stringent export control measures, Reliable transfer COUNTRY B COUNTRY C COUNTRY X/ unstable regime COUNTRY X/ conflict region Re-export Terrorist/ extremist group Re-export ?

8 COUNTRY A (WA PS) Transfer of weapons Re-exportRe-export Stringent export control measures, Reliable transfer COUNTRY B COUNTRY C COUNTRY X/ unstable regime COUNTRY X/ conflict region Re-export Terrorist/ extremist group Re-export Destabilizing accumulation/ compromising security and stability ?

9 COUNTRY A (WA PS) Transfer of weapons Re-exportRe-export COUNTRY B COUNTRY C Trust/good relations Trust/ good relations

10 COUNTRY A (WA PS) Transfer of weapons Re-exportRe-export COUNTRY B COUNTRY C Trust/good relations Trust/ good relations No trust? Bad relations?

BEST PRACTICE GUIDELINES on Subsequent Transfer (Re-export) Controls for Conventional Weapons Systems contained in Appendix 3 of the Initial Elements (2011)  Battle tanks  Armoured Combat Vehicles  Large Calibre Artillery Systems  Military Aircraft/UAVs  Military and Attack Helicopters  Warships  Missiles or Missile Systems  SALW/MANPADS 11

12 SCOPE Complete systems Exported technology Weapons produced under license

13 Greater responsibility in transfers of conventional arms Prevention of destabilizing accumulations of such arms Need to prevent the acquisition of conventional arms by terrorist groups and organizations, as well as by individual terrorists Objectives

14 GOVERNMENT- TO- GOVERNMENT AGREEMENTS END-USE/USER ASSURANCES EXPORT LICENSES Subsequent Transfers (Re-export) of conventional weapons systems and their production technology to third governments will be made in accordance with the terms of these documents Importing government will provide the appropriate assurances

15 END-USE/USER ASSURANCES: not allow re-export without prior authorization of the original exporting government not use goods for undeclared purposes not transfer goods to an unauthorized internal end- user

16 Aspects to consider in the review of requests for Subsequent Transfers/Re-export National security and policy concerns Legitimacy of the End-Use/User Legitimate defence requirements of the importing country Effect on Regional Stability Effectiveness of the importer’s export control system

Additional requirements:  To disclose reasons for denial of re-export permission  To ensure that re-export of goods produced under license is consistent with the provisions of all documents pursuant to which the production technology was transferred  To exercise restraint so as to avoid re-export to entities not authorized by states directly involved in the transaction  Take measures to limit the number of brokers involved in re-export of conventional arms 17

LEGISLATION:  Federal Law #114 “On military and technical cooperation with foreign states” dated 19 July 1998  Presidential Decree #1062 dated 10 September 2005 on military and technical cooperation of the Russian Federation with foreign states”  Regulation on implementation of military and technical cooperation between the Russian Federation and foreign states  Etc. ! Specific provisions on re-export ! 18

DECISIONS on export and RE-EXPORT are taken by:  PRESIDENT of the Russian Federation  GOVERNMENT of the Russian Federation  Federal Service for Military and Technical Cooperation ( see paragraph 13 of the Regulation on implementation of military and technical cooperation between the Russian Federation and foreign states: “Decisions on re-export or transfer to third countries of military goods supplied to foreign customers, as well as on transfer to third countries of military goods produced under Russian licenses, are taken by the President of the Russian Federation... by the Government of the Russian Federation… by the Federal Service for Military and Technical Cooperation…” ) 19

AUTHORIZED AGENCY:  Federal Service for Military and Technical Cooperation AUTHORIZED BROKER:  Rosoboronexport KEY ELEMENTS OF CONTROL:  Re-export provisions are included in intergovernmental treaties and agreements on export of conventional arms  Re-export provisions are included in follow-on contracts between authorized Russian and foreign entities on transfer of arms (legally binding guarantees not to re-export military goods without prior written consent of the Russian Federation)  End-user controls 20

END-USER CONTROLS  Limited range of end-users  Governments  Agencies and bodies designated by Governments (e.g. military, law-enforcement, etc.)  Checking legal powers of a customer  Authorization from the Government  License granting the right to be engaged in arms trade  Authorization for signing the contract  Consular legalization of documents 21

END-USER CONTROLS  Content of end-user certificates:  Description of military items  Information on the end-use  Full and credible information about end-user  Assurances by an authorized body that military items will be used only by the designated end-user and only for declared end-use  Assurances by an authorized body that re-export of military items may only take place by the prior written consent of the Russian Federation 22

REVIEW OF REQUESTS FOR RE-EXPORT  Criteria listed in Article 3 of the Best Practice Guidelines for re-export  Legal assurances that items will only be used for declared purposes  Legal assurances that further re-export will require written consent of the Russian Federation 23

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