1. Import and Export of Ammunition AT04 Slide 1

2. Terminology  Transfer  Authorisation AT04 Slide 2

3. 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 AT04 Slide 3

4. 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 AT04 Slide 4

5. 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 AT04 Slide 5

6. 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). AT04 Slide 6

7. 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 AT04 Slide 7

8. 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 AT04 Slide 8

9. Assessment of Transfer Applications  Grounds for denial: See Aide Memoire (lesson handout) AT04 Slide 9

10. 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. AT04 Slide 10

11. Operating Licences  Authorises people/groups/companies.  Operating Licence is required first, then make applications for specific transfers. AT04 Slide 11

12. Import Controls  IATG 03:30 AT04 Slide 12

13. 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 AT04 Slide 13

14. 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 AT04 Slide 14

15. 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. AT04 Slide 15

16. Record Keeping  Maintained for at least 20 years.  Preferably maintained indefinitely.  Properly organised and maintained.  Supplemented and updated as necessary.  See IATG 03:30 AT04 Slide 16

17. Export Controls  IATG 03:30  Authorisation on a case-by-case basis.  Simplified procedures may be used. AT04 Slide 17

18. 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. AT04 Slide 18

19. 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 AT04 Slide 19

20. Assessment of Export Applications  Similar to import applications  Inter-agency involvement more likely AT04 Slide 20

21. Record Keeping  Maintained for at least 20 years.  Preferably maintained indefinitely.  Properly organised and maintained.  Supplemented and updated as necessary.  See IATG 03:30 AT04 Slide 21

22. 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

23. 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 AT04 Slide 23

24. Assessment of Transit / Transhipment Applications  Similar to import applications  Inter-agency involvement more likely AT04 Slide 24

25. Record Keeping  Maintained for at least 20 years.  Preferably maintained indefinitely.  Properly organised and maintained.  Supplemented and updated as necessary.  See IATG 03:30 AT04 Slide 25

26. 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. AT04 Slide 26

27. Primary and Secondary Brokering  Primary: Negotiation and arrangements of transactions Transfers of ammunition  Secondary: Freight forwarding Transportation Financial Insurance AT04 Slide 27

28. 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. AT04 Slide 28

29. 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. AT04 Slide 29

30. Assessment of Brokering Applications  Similar to import applications.  Records maintained and kept as for other types of assessment. AT04 Slide 30

31. Enforcement  Use various mechanisms to: Keep companies and individuals informed of their obligations. Allow for investigation and prosecution. AT04 Slide 31

32. Enforcement  Out-reach to Industry: Dissemination of information. Information updates. Training. Inspection. AT04 Slide 32

33. Enforcement  Violation of Arms Embargoes: Embargoes imposed by UN Security Council. Investigated and prosecuted. Also apply to embargoes and moratoria imposed by regional organisations. AT04 Slide 33

34. Enforcement  Customs officials shall determine that: Consignment accompanied by all required authorisations and documentation. The actual content is consistent with the paperwork. AT04 Slide 34

35. Questions AT04 Slide 35