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End Use and User of Ammunition

End Use and User of Ammunition. 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.

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End Use and User of Ammunition

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  1. End Use and User of Ammunition

  2. Types of End Use Documents • End User Certificate (EUC) • Delivery Verification Certificate (DVC) AT05 Slide 2

  3. End User Certificate (EUC) • 2 x Types of EUC • EUC for transfer to States Entities • EUC for transfer to Private Entities AT05 Slide 3

  4. End-User Certificate Requirement • EUC shall be required prior to the approval of any Ammunition Export Licence AT05 Slide 4

  5. Content of an End User Certificate • The content of an EUC should vary depending on the nature of the End User AT05 Slide 5

  6. 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

  7. 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

  8. 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

  9. 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

  10. 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

  11. 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

  12. 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

  13. 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

  14. 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

  15. 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

  16. Format of an End-User Certificate • Prevent Forgery • Special Paper • Exporting State • Importing State AT05 Slide 16

  17. Reference of an EUC • EUC shall be provided with a Unique Registration Number AT05 Slide 17

  18. 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

  19. DVC Requirements • The Exporting State should require a DVC • Authorized to Stamp or Sign AT05 Slide 19

  20. 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

  21. 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

  22. 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

  23. End-Use Control Process • Pre-Transfer End-Use Controls • Pre-Licensing Risk Assessment • Standard Procedures AT05 Slide 23

  24. 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

  25. Strengthened Procedures • Strengthened Procedures should be applied to Ammunition considered sensitive by the Exporting State. AT05 Slide 25

  26. Authentication • EUC Authentication or Legislation • National Systems • The Exporting State • EUC Authentication may be undertaken by using Open Source information AT05 Slide 26

  27. 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

  28. 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

  29. 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

  30. 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

  31. 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

  32. Verification Process • Risk of Diversion during Transfer. • Efficiency of End User. • Procedures of Stockpile Management and Security AT05 Slide 32

  33. 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

  34. 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

  35. Controls during the Transfer • The Exporter should inform. • Ammunition transfers considered sensitive. • Exporting State should require cooperation. AT05 Slide 35

  36. 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

  37. 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

  38. 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

  39. 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

  40. Exchange of Information • Each State should coordinate the exchange of Information, documentation and intelligence. AT05 Slide 40

  41. Foreign Licensed Production • Foreign Licensed ProductionoOr Licensed Production Overseas. AT05 Slide 41

  42. 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

  43. 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

  44. 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

  45. Penalties for Non-Compliance • Civil and Criminal Penalties Including: • Fines. • Confiscation Of Proceeds. • Custodial Sentences. AT05 Slide 45

  46. 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

  47. Questions AT05 Slide 47

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