1a. Legislation, regulations, or administrative procedures provide for control over exports of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
1b. Legislation, regulations, or administrative procedures provide for measures to regulate imports of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
1c. Legislation, regulations, or administrative procedures provide for measures to regulate transit/transshipment of conventional arms including SALW and ammunition?
If yes, list laws, regulations, or administrative procedures Yes
1d. Legislation, regulations, or administrative procedures provide for measures to regulate brokers/brokering of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
2a. The competent national authority/ies for the control of exports is/are:
Customs / Ministry of Finance No
Ministry of Defence Yes
Ministry of Economy / Ministry of Business / Ministry of Trade No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer Control Agency No
Other No
2b. The competent national authority/ies for the regulation of imports is/are:
Customs / Ministry of Finance No
Ministry of Defence No
Ministry of Economy / Ministry of Business / Ministry of Trade No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
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.
2c. The competent national authority/ies for the regulation of transit/transshipment is/are:
Customs / Ministry of Finance No
Ministry of Defence Yes
Ministry of Economy / Ministry of Business / Ministry of Trade No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
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.
2d. The competent national authority/ies for the regulation of brokers and/or brokering activities is/are:
Customs / Ministry of Finance No
Ministry of Defence Yes
Ministry of Economy / Ministry of Business / Ministry of Trade No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other No
3a. National control list of conventional arms subject to transfer controls.
If yes, please specify Yes
1. A transfer is prohibited if it would violate obligations under measures adopted by the United Nations Security Council acting under Chapter VII, in particular arms embargoes
If yes, please specify Yes
2. A risk assessment is conducted before issuing an export authorization
If yes, please specify Yes
3. National legislation, regulations or policy guidelines include the following] risk assessment criteria
Contribute to or undermine peace and security Yes
Commit or facilitate a serious violation of international humanitarian law to which State is a party Yes
Commit or facilitate a serious violation of international human rights law to which State is a party Yes
Commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which State is a party Yes
Commit or facilitate an act constituting an offence under international conventions or protocols relating to transnational organized crime to which State is a party Yes
Commit or facilitate serious acts of gender-based violence or serious acts of violence against women and children Yes
Risk of diversion Yes
Other No
4. Risk mitigation measures that could be undertaken to mitigate identified risks
If yes, use free text box for types of risk mitigation measures utilized Yes
1. There is an authorization or licensing system to control the export of conventional arms
If yes, please specify Yes
2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to export conventional arms
An end-user certificate (EUC) from the importing country. A simplified permit may be issued to an individual for the export of lower risk firearms, where there is no transfer of ownership, for the purposes of taking part in overseas sporting shooters events, hunting or for protection in international waters. Exemptions exist for:
  • SALW owned by certain listed defence forces when those goods are imported by the defence force (or a member of the defence force) and then exported by the defence force (or a member of the defence force);
  • air security officers (in certain circumstances);
  • SALW exported under the Defence Trade Cooperation Treaty between the United States and Australia
3. The national control system permits exports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify Yes
4. State maintains records of export authorizations
State maintains records of export authorizations? Yes
4a. Records of export authorizations are kept for … years
Records of export authorisations 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.
4b. Information contained in records of export authorizations includes:
Quantity Yes
Value Yes
Model / type Yes
Importing state Yes
End-User Yes
Other (please specify) No
5. State maintains records of actual exports
If yes, please specify Yes
5a. Records of actual exports are kept for … years
7 years
5b. Information contained in records of actual exports includes:
Quantity Yes
Value Yes
Model / type No
Importing state Yes
End-User No
Other (please specify) No
1. There is an authorization or licensing system to regulate the import of conventional arms
If yes, please specify Yes
2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to import conventional arms
On request Australia may issue International Import or End-user Certificates to exporting states
3. The national control system permits imports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify No information provided
4. State maintains records of actual imports
If yes, please specify Yes
4a. Records of actual imports are kept for … years
Records on import data are kept electronically. They must be kept for at least 7 years, though are generally kept for longer. With regard to import permits, the 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
4b. Information contained in records of actual imports includes:
Quantity Yes
Value Yes
Model / type Yes
Exporting state Yes
End-User Yes
Other (please specify) No
1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify No
2. The national system regulates the transit/transshipment of conventional arms
By land Yes
By sea Yes
By air Yes
3. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to transit/transship conventional arms
No information provided
4. The national control system permits transit/transshipment of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify No information provided
5. State maintains records of transit/transshipment authorizations
If yes, please specify Yes
5a. Records of transit/transshipment authorizations are kept for … years
7 years
5b. Information contained in records of transit/transshipment authorizations includes:
Quantity Yes
Value Yes
Model / type Yes
Exporting state Yes
Importing state Yes
End-User Yes
Other (please specify) No
1. Definition of broker and/or brokering in national legislation and/or regulations
If yes, please specify 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 2 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.
2. The national system regulates brokers and/or brokering activities
Registration of brokers only N/A
Authorization to conduct brokering only N/A
Two-stage process of registration of brokering and authorization for brokering Yes
3a. Information and/or documentation provided to the competent national authority in an application to register as a broker
Australia does have measures to validate the authenticity of documentation submitted by the broker.
3b. Information and/or documentation provided to the competent national authority in an application for a licence or another form of authorization to conduct brokering
Australia does have measures to validate the authenticity of documentation submitted by the broker.
4. The national control system permits brokering of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify No information provided
5. State maintains a register of brokers
If yes, please specify No information provided
5a. Records of registered brokers are kept for … years
No information provided
6. State maintains records of brokering licences or authorizations
If yes, please specify No information provided
6a. Records of brokering authorizations are kept for … years
No information provided
6b. Information contained in records of brokering authorizations includes:
Quantity No information provided
Value No information provided
Model / type No information provided
Exporting state No information provided
Importing state No information provided
End-User No information provided
Other (please specify) No information provided
7. Regulation of activities closely associated with brokering
If yes, please specify Yes
Acting as dealers or agents
1. Measures to mitigate the risk of diversion
Establishment of mitigation measures Yes
Provision, upon request, of end use / end user documentation to the exporting State Yes
Measures in place to verify or seek to authenticate EUCS or other types of end-user documentation [SALW] Yes
Measures in place aimed at preventing the forgery and misuse of EUCs or other types of end-user documentation [SALW] Yes
Requirement for end use / end user assurances from an importing State (or industry) Yes
Examination, where appropriate, of parties involved in a transfer No information provided
Requirement, where appropriate, for additional documentation, certificates, assurances for a transfer Yes
Exchange of relevant information with other States Parties on effective measures to address diversion, as well as on illicit activities and actors Yes
Reporting to an international or regional body on measures taken to address diversion of transferred conventional arms Yes
When exporting, State requires a Delivery Verification Certificate (DV) to confirm that SALW have reached their intended end-user or intended importer in the importing State [SALW] No
When importing, the State grants the right to the exporting State to conduct a physical check at the point of delivery [SALW] No
Other measures No information provided
2. Information contained in end user documentation (e.g. EUC)
Detailed description of the SALW or technology Yes
Contract number of order reference and date No
Final destination country Yes
Description of the end-use of SALW Yes
Exporter's details (name, address and business name) Yes
End-user information (name, position, full address, and original signature) Yes
Information on other parties in the transaction Yes
Certification by the relevant government authorities of the authenticity of the end-user Yes
Date of issue Yes
Other Yes
Purchase order, international import certificate
3. Measures to Control SALW re-exports:
Re-export of SALW only permitted when there is prior notification No
Re-export of SALW is permitted only when there is prior approval Yes
4. State takes appropriate measures when a diversion has been identified
Alert potentially affected States No information provided
Investigative and law enforcement measures at the national level No information provided
Use international tracing mechanisms to identify points of diversion Yes
Other measures Yes
Commences formal enforcement action subject to thelegislative controls
1. State takes measures to enforce national laws and regulations
State takes measures to enforce national laws and regulations Yes
2. Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation
Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation Yes
1. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the implementation of the UN Programme of Action on Small Arms (PoA)
If yes, please specify Yes
2. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the United Nations Register of Conventional Arms
If yes, please specify No information provided
3. The national system includes one or more national points of contact to exchange information on ATT implementation
If yes, please specify Yes
1. The state makes information publicly available on the national system to control/regulate international arms transfers and address diversion
National report on implementation of the PoA Yes
ATT initial report Yes
1540 matrix Yes
National report on the national system to control/regulate international arms transfers and address diversion Yes
ATT-BAP survey Yes
2. The state makes information publicly available on arms imports and exports
UN Register of Conventional Arms Yes
UN Register of Conventional Arms - SALW Yes
ATT annual report Yes
Arms transfers reported to Comtrade Yes
Regional instrument N/A
National report on arms transfers Yes
3. Website for more information on national system