FRAMEWORK FOR IMPROVING END-USE AND END-USER CONTROL SYSTEMS

Transcription

1 FRAMEWORK FOR IMPROVING { END-USE AND END-USER CONTROL SYSTEMS Brian Wood and Peter Danssaert International Peace Information Service Vienna 20 April 2015 Based on Extracts from an Occasional Paper researched and written by the athors for the United Nations Office for Disarmament Affairs, 2011

2 % of Reporting States Implementing Transfer Controls on SALW Africa Americas Asia Erope Oceania Export controls 67% 86% 85% 100% 83% EUCs 10% 39% 35% 93% 50% Import controls 84% 96% 91% 73% 83% Transit controls 41% 68% 56% 83% 100% Illegal trade a criminal offence 22% 61% 50% 76% 67% Sorce: UNIDIR Report on the UNPOA 2012

3 Focs of the UNODA Stdy concepts, docments and procedres relating to the reglation of end se and end sers of conventional arms political and practical obstacles to the development of an international framework for athentication, reconciliation and standardization of end-ser certificates

4 Systemic Problems Reported End-se/ser certificates can too easily be: Forged or falsified Obtained from corrpt officials Missed by arms brokers or ndeclared agents Unchecked by export athorities Disconnected from delivery verification Breached when end sers re-transfer arms Not sed to assess risks of nsafe transport, storage and management of the arms

5 Names of End Use/User Docments end-se certificate and end-ser certificate (officially certified) end-se statement (private commercial entity) private end-ser certificate verss official end-ser certificate end-ser ndertaking end-se assrance and end se garantee Docments that spplement EUCs: Import athorisations, commercial contracts

6 OSCE and Wassenaar - Standard Elements for end-se certificates The OSCE and Wassenaar standards generally reqire: the date of isse, preferably accompanied by a register nmber and the expiry date a detailed description (type, qantity, characteristics) of the SALW or technology related to the design, prodction, testing and pgrading of arms to be exported; contract nmber or order reference and date; final destination contry; description of the end se of the arms (for example, se by the armed forces or internal secrity forces); exporter s details, at least name, address and bsiness name; end-ser information, specifically, name, position, fll address and original signatre;

7 OSCE WA Standard Elements - contined assrances that the arms will be sed only by the end ser and for the stated end se; assrances that re-export of imported arms can take place only after receiving a written athorization from the exporting contry nless the exporting contry decides to transfer that athority to the export licensing athorities of the importing contry; information on other parties (intermediate consignees/ prchasers) involved in the transaction, as appropriate, inclding, name, title and original signatre of any consignee or information on the intermediate consignee and prchaser might be provided in writing dring the athorizing procedre; Certification by the relevant Government athorities, according to national practice, as to the athenticity of the end ser (the certification mst inclde the date, name, title

8 Delivery Verification and On-site Inspections The OSCE asks that the receiving State shold verify the end se of the arms (e.g. by reqiring the final consignee to provide the exporter with a delivery verification certificate once the export has reached the final destination or by condcting on-site inspections) The inclsion of a clase on post-shipment control in the end-ser certificate is deemed optional e.g. Finland, Norway, Romania, Sweden and Switzerland reqire it in their end-se/ser certificates Optional reqirements contained in the Wassenaar list are: (a) certification that the goods will be installed at the premises of the end ser or will be sed only by the end ser; (b) agreement by the importer/end ser to allow on-site verification; (c) an ndertaking from the importer/end ser not to divert or relocate the goods covered by the end-se certificate/

9 Elements fond in most EUCs in the sample stdied A detailed description of the arms, their types and qantities and vales; The end se(s) and the location where the items shall or shall not be sed; The name(s) and address(es) and signatres of the immediate consignees or prchaser and of the end-ser(s) and the contry of final destination; The contract of sale nmber, date and names/addresses of parties involved; An ndertaking that the items will not be sed for prposes other than those declared, or by end sers other than those declared; The date of isse, register/serial nmber and the dration of the certificate. Assrances by the end ser that the re-export of imported

10 Variations fond in Docment Design only two States in the sample, Azerbaijan and Romania, appear to inclde expiry dates as a rotine element in their end-se/ser certificates, both limiting their end-se/ ser certificates to six months only. the details of the end ser (e.g Switzerland only reqires a letterhead) details of the exporter (e.g. Italy only reqires the name of the applicant) description of the end se (e.g. Astralia, Italy, Portgal, Sweden and the United States do not inclde this aspect) the assrance abot end se (e.g. Astralia, Hngary, Italy, and Singapore do not inclde this aspect) Some States only reqire the name of the exporter and/or the name of the end ser (e.g. Finland, France, Norway, Romania, Sweden, Switzerland and the United States), while the majority of other States demand the fll street address.

11 Safegards in End Use Docments End se/ser docments shold bear a niqe serial nmber. Letterhead of company sed for an end ser statement mst first be certified by a designated agency of the importing State. The nmber of officials and instittions athorized to stamp or sign sch docments shold be kept to a minimm, preferably one national office with comprehensive registry. End se/ser docments shold only be valid for a specified period, preferably one year, and only sed once for the items specified. Upon expiry, a new end se/ser docment shold be reqested. For low risk items and destinations, the exporting State can decide to pass the athority for re-export to the importing State. For higher risk, States may reqire an ndertaking that the

12 Athentication and Verification The designated exporting State athority shold careflly check/cross check: The athenticity of the end se/ser docment itself and also verify the details are accrate If the import is spported by the designated importing State athority before athorizing the export The certification stamp/seal, nmber and signatres of names, addresses of certification/apostille or government agency The accracy of name, address, legal stats and reliability of end ser and other parties involved That the stated end se is legal and athorized The information pertaining to the arms on the EUC corresponds with the order/s from the prchaser / importer regarding the specific transaction