1. Does your State maintain a national system for controlling or regulating:

[ Articles 3, 4, 5.2, 8, 9, and 10 ]

Export Yes
Import Yes
Transit / Transshipment by land Yes
Transit / Transshipment by sea Yes
Transit / Transshipment by air Yes
Brokering Yes
2. For which activities does your State maintain a national control list of conventional arms:

[ Articles 2.2 and 5.2 ]

Export Yes
Import Yes
Transit / Transshipment Yes
Brokering Yes
3. Does your national control list cover the following:

[ Articles 2.1, 3, 4, and 5.2 ]

Battle tanks [Article 2.1] Yes
Armored combat vehicles [Article 2.1] Yes
Large-caliber artillery systems [Article 2.1] Yes
Combat aircraft [Article 2.1] Yes
Attack helicopters [Article 2.1] Yes
Warships [Article 2.1] Yes
Missiles and missile launchers [Article 2.1] Yes
Small arms and light weapons [Article 2.1] Yes
Ammunition / Munitions for the above items [Article 3] Yes
Parts and components requiring control for the above items [Article 4] Yes
4. Is/are your national control list(s) publicly available?

[ Article 5.3 ]

1) If yes, please provide a copy or link to where your control list is made publicly available 2) If no, please provide a copy of your control list or provide information on the additional items that are covered Yes
http://www.comlaw.gov.au/Details/F2013C0...
4a. Details / reference / web link / additional comments
5. Are the controlled items defined?

[ Article 5.3 ]

1) if yes, which definition(s) do you use? (e.g. Wassenaar, United Nations Register of Conventional Arms, National definitions, etc.) Yes
Wassenaar and national definitions contained in regulations
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
Please see the following link: http://www.defence.gov.au/deco/Legislation.asp
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

The Defence Export Control Office (DECO), which sits within the Department of Defence, is responsible to the Minister for Defence for regulating the export of defence and dual-use goods as part of Australia\'s system of export controls.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Please see above response.
4. Does your State take measures to ensure that all authorizations are detailed and issued prior to export?

[ Article 7.5 ]

If yes, what measures does your State take to ensure that all authorizations are detailed and issued prior to export? Yes
Authorizations are issued by DECO to exporter.
5. Can your State reassess an authorization if your State becomes aware of new and relevant information?

[ Article 7.7 ]

Yes
5a. Details / reference / web link / additional comments
6. Does your State maintain records of arms export authorizations?

[ Article 12.1 ]

Yes
6a. Details / reference / web link / additional comments
7. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

Records of export authorizations are currently held for 7 years, however this retention period is currently being examined, with a view to extend the period to a minimum of 10 years.
8. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model / Type Yes
Importing State Yes
End-User Yes
Other (specify below) No
8a. Details / reference / web link / additional comments
The records contain information about the goods exported, the consignee/end-user, and documents such as import authorizations, firearms licenses, purchase orders and sanctions permits -- should this be applicable to the destination.
9. Does your State maintain records of actual arms exports?

[ Article 12.1 ]

Yes
9a. Details / reference / web link / additional comments
Managed by the Australian Department of Immigration and Border Protection and Australian Bureau of Statistics
10. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

Records of arms exports are maintained for a minimum of 7 years
11. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model/ Type No
Importing State Yes
End-User No
Transit/ transshipment State(s) No
Other (specify below) No
12. Please provide any other information on export practices you would like to share.
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
Customs (Prohibited Imports) Regulations 1956 http://www.comlaw.gov.au/Details/F2014C00943
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

Attorney General\'s Department, Australian Department of Immigration and Border Protection
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Attorney-General’s Department leads overall Commonwealth policy for firearms, while Australian Department of Immigration and Border Protection leads the administration of the regulations.
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

Importers must meet at least one import test (and satisfy all requirements associated with that test) under the Customs (Prohibited Imports) Regulations 1956. Importers must then be issued with a relevant permission to import, which is presented to the Australian Department of Immigration and Border Protection prior to release of the goods.
5. Does your State have measures in place to ensure that appropriate and relevant information is available to exporting States as part of their export assessment process?

[ Articles 8.1 and 11.3 ]

Yes
5a. Details / reference / web link / additional comments
On request, Australia may issue International Import or End-user Certificates to exporting states.
6. Does your State maintain records of arms imports?

[ Article 12.2 ]

Yes
6a. Details / reference / web link / additional comments
Records of authorizations are maintained
7. For how many years are records maintained?

[ Articles 12.2 and 12.4 ]

Duration depends on the issuing body for the permit (this may be the Attorney-General’s Department or state or territory police). The Attorney-General’s Department currently holds import information dating back to 2004, with no view to destroying any records now or in the future.
8. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value No
Model / type Yes
Exporting State No
Transit / transshipment State(s) No
Other (please specify below) No
9. Please provide any other information on import practices you would like to share.
1. Is the regulation of transit and/or transshipment established in national legislation?

[ Article 9 ]

If yes, please provide the definition of transit and/or transshipment in your national legislation Yes
Transit and transshipment are discussed but not defined.
1a. Details / reference / web link / additional comments
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

Attorney General\'s Department, Australian Department of Immigration and Border Protection, Department of Defence
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Attorney-General’s Department leads overall Commonwealth policy for firearms, while the Australian Department of Immigration and Border Protection leads the administration of the regulations.
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

Authorizations for transshipment items and a capacity to intervene in transit goods.
5. Does your State maintain records of arms that are authorized to transit and/or transship territory under its jurisdiction?

[ Articles 12.2 and 12.4 ]

Yes
5a. Details / reference / web link / additional comments
6. For how many years are records maintained?

[ Article 12.4 ]

Records of exports authorizations are currently held for 7 years, however this retention period is currently being examined with a view to extend to a minimum of 10 years.
7. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model / Type Yes
Exporting State Yes
Importing State Yes
Transit / Transshipment No
End-User Yes
Other (please specify below) No
7a. Details / reference / web link / additional comments
Records contain information pertaining to value if provided by exporter.
8. Please provide any other information on transit and/or transshipment practices you would like to share.
1. Is the regulation of arms brokering established in national legislation?

[ Article 10 ]

If yes, please provide the definition of brokering used in your national legislation Yes
The term ‘brokering’ is not defined in Australia’s national legislation, however the concept is explained as being a situation where a person (the broker) arranges for another person to supply goods or technology from one place outside Australia to another place outside Australia. For the purposes of Australian legislation, a broker is considered to be arranging a supply of controlled goods or technology if:
  1. the broker acts as an agent of a person, or acts as an intermediary between two or more persons, in relation to the supply; and
  2. either: (a) the broker receives, or is to receive, any commission, fee or other benefit for so acting; or (b) the broker so acts for the purpose of advancing a political, religious or ideological cause.
1a. Details / reference / web link / additional comments
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

Department of Defence
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Department of Defence
4. Does your State take measures to regulate brokering taking place under your jurisdiction?

[ Article 10 ]

If yes, what measures does your State take to regulate brokering taking place under your jurisdiction? Yes
The broker must apply to be registered as a broker and once registered, the broker must apply for a permit for each brokering activity.
5. Please provide any other information on brokering practices you would like to share.
The brokering provisions in Australia’s legislation have not yet commenced operation and are currently being reviewed. It is possible that the brokering provisions may be subject to future amendments prior to their implementation.
1. Does your State prohibit transfers of conventional arms:

[ Article 6 ]

If the transfer would violate obligations under measures adopted by the United Nations Security Council acting under Chapter VII, in particular arms embargoes? [Article 6.1] Yes
If the transfer would violate relevant international obligations under international agreements to which you are a party, in particular those relating to the transfer of, or illicit trafficking in, conventional arms? [Article 6.2] Yes
If you have knowledge at the time of authorization that the arms or items covered by your State's legislation would be used in the commission of genocide, crimes against humanity, grave breaches of the Geneva Conventions of 1949, attacks directed against civilian objects or civilians protected as such, or other war crimes as defined by international agreements to which you are a party? [Article 6.3] Yes
1a. Details / reference / web link / additional comments
Charter of the United Nations Act of 1945 allows us to immediately implement any UN Chapter 7 action. http://www.comlaw.gov.au/Details/C2010C00774
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

  • Arms Trade Treaty
  • Wassenaar Arrangement
  • United Nations Register of Conventional Arms
  • United Nations Programme of Action on Small Arms and Light Weapons
  • UN Protocol Against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition (signatory)
3. Please provide any other information on prohibitions you would like to share.
1. Does your State always conduct a risk assessment prior to authorization of an arms export?

[ Article 7.1 ]

If no, please specify under which conditions a risk assessment is not required. Yes
1a. Details / reference / web link / additional comments
2. Does your State require that the following criteria are included in your national assessment prior to granting an export authorization?

[ Article 7.1 ]

Whether the arms would contribute to or undermine peace and security? Yes
Whether the arms could be used to commit or facilitate a serious violation of international humanitarian law? Yes
Whether the arms could be used to commit or facilitate a serious violation of international human rights law? Yes
Whether the arms could be used to commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which your State is a party? Yes
Whether the arms could be used to commit or facilitate an act constituting an offence under international conventions or protocols relating to transnational organized crime to which your State is a party? Yes
2a. Details / reference / web link / additional comments
Australia\'s Export Control Policy is based on five key criteria to assess the exportability of defense and strategic goods:
  • International Obligations
  • Human Rights
  • Regional Security
  • National Security
  • Foreign Policy considerations
3. Are additional criteria considered in addition to the above prior to authorizing a transfer:

[ Articles 7.4 and 11.2 ]

Risk of diversion Yes
Acts of gender based violence Yes
Other (please specify below) No
3a. Details / reference / web link / additional comments
4. Does your State consider risk mitigation measures as part of its authorizations process?

[ Article 7.2 ]

If yes, what mitigation measures does your State consider (i.e. confidence building measures or jointly developed and agreed programs)? Yes
Risk is mitigated through the assessment process, by requiring the exporter to provide end-user statements (verifying what the end-user will do with the products), and ensuring that additional information like firearms licenses, and import certification is provided. In addition, export analysts check every destination, and consignee/end-user against Wassenaar denial lists, and entities of concern lists; and if in the end we consider the risk of diversion too high, we deny the export.
4a. Details / reference / web link / additional comments
5. Please provide any other information on risk assessment and/or mitigation practices you would like to share.
1. Does your State take preventative measures to mitigate the risk of diversion?

[ Article 11.2 ]

If yes, what preventative measures does your State take to mitigate the risk of diversion? Yes
Every application is risk assessed. Risk is mitigated through the assessment process, by requiring the exporter to provide end-user statements (verifying what the end-user will do with the products), and ensuring that additional information like firearm’s licences, and import certification is provided. In addition export analysts check every destination, and consignee/end-user against Wassenaar denial lists, and entities of concern lists; and if in the end we consider the risk of diversion too high, we deny the export.
2. Does your State cooperate and exchange information with States to mitigate the risk of diversion?

[ Article 11.3 ]

Yes
2a. Details / reference / web link / additional comments
If requested
3. Does your State take appropriate measures when it detects a diversion of transferred conventional arms?
If yes, what appropriate measures does your State take when it detects a diversion of transferred conventional arms? Yes
Commences formal enforcement action subject to the legislative controls.
4. Is your State willing to share information on effective measures to address diversion?
If yes, what information is your State willing to share? Yes
Best practice measures are discussed within various international control regime fora
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

Enforcement by the Australian Department of Immigration and Border Protection. This may include referral to the Australian Federal Police for investigation (Firearms).
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Australian Department of Immigration and Border Protection
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

  • Enforcement of the Customs (Prohibited Imports)
  • Regulations 1956 and the Customs (Prohibited Exports)
  • Regulations 1958 by the Australian Customs and Border Protection Service
  • http://www.comlaw.gov.au/Details/F2013C00554/Html/Text#_Toc363040677
  • http://www.comlaw.gov.au/Details/F2013C00432
  • http://www.comlaw.gov.au/Details/F2013C00051
4. Please provide any other information on enforcement practices you would like to share.
1. Will your State provide an initial report within one year of entry into force on measures undertaken in order to implement the ATT?

[ Article 13.1 ]

Yes
1a. Details / reference / web link / additional comments
2. Does your State produce an annual report on:

[ Article 13.3 ]

Authorized arms exports Yes
Authorized arms imports No
Actual arms exports No
Actual arms imports No
2a. Details / reference / web link / additional comments
  • Australia currently complies with annual reporting requirement for UNCAR including approvals for SALW, along with reporting to Wassenaar Arrangement.
  • Data on number of import authorizations issued is recorded.
3. Are there legal impediments to the reporting requirements under the ATT?

[ Article 13.3 ]

No
3a. Details / reference / web link / additional comments
4. Can your State report on measures taken to address the diversion of transferred conventional arms?

[ Article 13.2 ]

Do not know
4a. Details / reference / web link / additional comments
5. Has your State designated a national contact point for the ATT?

[ Article 5.6 ]

Yes
5a. Details / reference / web link / additional comments
6. Please provide any other information on transparency practices you would like to share.
1. Is your State involved in cooperation measures that will help to implement the ATT?

[ Article 15.1 ]

Yes
1a. Details / reference / web link / additional comments
Since 2013, we have provided AUD 2 million to UNSCAR. The Australian Government has also participated in regional workshops (most recently in Cambodia in November 2014) to promote the treaty and share its experiences with implementation.
2. Is your State currently involved in:

[ Articles 15 ]

Exchange of information on conventional arms transfers [Articles 15.2 and 15.3] Yes
Cooperative measures to prevent diversion [Article 15.4] Yes
Widest measures of assistance in investigations, prosecutions and judicial proceedings [Article 15.5] Do not know
Measures to prevent corruption [Article 15.6] Yes
Development of best practices and lessons learned [Article 15.7] Yes
2a. Details / reference / web link / additional comments
3. Does your State intend to pursue cooperation in:

[ Article 15 ]

Exchange of information on conventional arms transfers [Article 15.1, 15.2, and 15.3] Yes
Cooperative measures to prevent diversion [Article 15.4] Yes
Widest measure of assistance in investigations, prosecutions and judicial proceedings [Article 15.5] Yes
Measures to prevent corruption [Article 15.6] Yes
Development of best practices and lessons learned [Article 15.7] Yes
3a. Details / reference / web link / additional comments
1. Does your State require assistance to implement the provisions of the Arms Trade Treaty?

[ Article 16.1 ]

No
2. Does your State require:

[ Article 16.1 ]

Legal assistance No
Legislative assistance, including model legislation No
Assistance for institution building No
Technical assistance No
Financial assistance No
Material assistance No
Stockpile management assistance No
Disarmament, demobilization, or reintegration assistance No
Assistance with effective practices for implementation No
Other (please specify below) No
3. Is your State in a position to provide assistance to other States to enable implementation of the provisions of the Arms Trade Treaty?

[ Articles 16.1, 16.2, and 16.3 ]

If yes, please answer question 4. If no, please go straight to question 5. Yes
3a. Details / reference / web link / additional comments
Australia is currently providing funding to UNSCAR. We have contributed to New Zealand’s development of model legislation. We funded and took part in regional legal workshops in the Asia Pacific region. We have contributed to sponsorship for developing countries to attend 1CSP and preparatory meetings. We have undertaken diplomatic outreach with countries in the Asia Pacific region.
4. Is your State in a position to provide:

[ Article 16.1 ]

Legal assistance
Legislative assistance, including model legislation
Assistance for institution building
Technical assistance
Financial assistance
Material assistance
Stockpile management assistance
Disarmament, demobilization, or reintegration assistance
Assistance with effective practices for implementation
Other (please specify below)
5. Please provide information on any additional needs required to implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16/2 ]

6. Please provide information on any specific assistance programs that your State has provided that may help others implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16.2 ]

Australia is a major donor to UNSCAR which is mandated to support the preparation for ratification and implementation of the ATT. Australia conducted significant awareness raising activities during ATT negotiations and has continued to do so since the Treaty’s entry into force. This has included promoting the treaty in regional workshops and encouraging countries to sign and ratify it. Australia has provided support for the Control Arms’ ATT Monitor Project, for the Baseline Assessment Project, and for Small Arms Survey work on small arms and light weapons.
7. Please provide information on specific assistance your State has received through the United Nations, international, regional, subregional or national organizations, non-governmental organizations, or on a bilateral basis that could be considered relevant for ATT implementation

[ Article 16.2 ]

1. Has your State already signed the Arms Trade Treaty?
Yes
2. Has your State already ratified the Arms Trade Treaty?
Yes
3. Is your State preparing to sign the Arms Trade Treaty in the next two years?
N/A
4. Is your State preparing to ratify the Arms Trade Treaty in the next two years?
N/A
5. Will/Has your State forumalted one or more reservations upon ratification?

[ Article 25.1 ]

If yes, please provide a description of your reservation(s). No
6. Please provide any other information you would like to share.