1. End Use and User of Ammunition AT05 Slide 1

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