Main Committee I: Criteria/

Parameters/

Chairman's

paper/ rev4/ 21 July 2012 - 21hOO

5 Parameters
Prohibition: 1. Bearing in mind the purposes and principles of the United Nations Charter, a State Party shall not authorise a transfer of any item within the scope of this Treaty if the transfer:
1. 11. 111.

would violate the State Party's relevant obligations under international law; would be used to perpetrate or support a terrorist act; is intended for a recipient who is not a user authorized by the importing State.

Risk assessment: 2. In considering whether or not to authorize a transfer of an item within the scope of this treaty, a State Party shall assess whether, in its view, there is a substantial risk that the transferred item could be: a. used to commit or support the commission of a serious violation of international law, including international human rights law and international humanitarian law; b. used to commit or support the commission of genocide or [ethnic cleansing], a war crime or a crime against humanity; c. used to commit or support the commission of an act of armed violence, including [gender based violence/ violence against women] or violence against children; d. used to commit or aggravate an act of aggression or [foreign occupation] or other breaches of the peace; e. used to undermine regional, sub-regional or international stability; f. used to commit or support the commission of an acts of organised crime; or support the commission of acts of terrorism in all its forms and g. used to commit manifestations;

h. diverted into the illicit market or to be used to commit any of the acts specified in sub-paragraphs (a) to (g); or
1.

diverted to unauthorised end users or to unauthorised non-state actors.

3. In making such risk assessment, the State Party shall apply the criteria set out in paragraph 2 consistently and in an objective and non-discriminatory manner and in accordance with the principles set out in (section number), taking into account all relevant factors, including information provided by the importing State and the legitimate national security needs of the parties involved. 4. Where the State party assesses that a substantial risk of any of the consequences set out in paragraph 2 exists, the State Party:
1.

shall consider, as a first step, not authorizing the transfer.

ii. may consider mitigation measures, as part of its national risk assessment and prior to taking a final decision on the transfer, in full cooperation and mutual agreement with the importing State; iii. may balance the risk against the security imperatives associated with authorizing the transfer. 5. If after its national risk assessment and any mitigation efforts a substantial risk of any of the consequences set out in paragraph 2 persists the State Party shall not authorize the transfer. 6. The criteria set out in paragraph 2 shall not apply to import, transit and transhipment.

111

2. States Parties shall put in place adequate measures that will allow them, where necessary, to monitor and control imports of items covered by the scope of the Treaty. States Parties shall also adopt appropriate measures to prevent the diversion of imported items to unauthorized end-users or to the illicit market.
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3. _Importing States Parties may request, where necessary, information from the exporting State Party concerning potential authorizations. Brokering 1. Each State Party shall take the appropriate measures, within national laws and regulations, to control brokering taking place- under its jurisdiction or control in the context of transfers under this Treaty. Transit and Transshipment _

1. Each State Party shall adopt appropriate legislative, administrative or other measures to monitor and control, where necessary and feasible, conventional arms covered by this Treaty .that transit or tranship through territory under its jurisdiction, consistent with international law with due regard for innocent passage and transit passage. 2. Importing and exporting States Parties shall cooperate and exchange information, where feasible and upon request, to transit and transhipment States Parties, in order to mitigate the risk of diversion. Reporting, Record-Keeping and Transparency

1. Each State Party shall maintain records of conventional arms authorisations or exports for items under the scope of Paragraph AI, Article XX. Such records may contain, inter alia, quantity, model/type, arms transfers authorized, arms actually transferred, details of transit State(s), recipient State(s) and end users. Records shall be kept for a minimum often years, or consistent with other international commitments applicable to the State Party. 2. Each State Party shall maintain records for conventional momstransferred to their territory as the final destination under the scope of Paragraph AI, Article XX, where feasible. Such records may contain, inter alia, quantity, model/type, arms actually transferred; details of transit State(s) and exporting State(s). Records shall be kept for a minimum often years, or -consistent with other international commitments applicable to the State Party. 3. Each State Party shall maintain records of conventional arms that are authorised to transit or tranship their territory under the scope of Paragraph AI, Article XX, where feasible, Such records may contain, inter alia, quantity, model/type; details of exporting and recipient State(s), exporting State(s) and end users. States Parties may use national customs statistics to record this information. Records shall be kept for a minimum of ten years, or consistent with other international commitments applicable to the State Party. 4. States Parties may report to the Implementation 2 Support Unit on an annual basis any actions

taken to address the diversion of conventional arms to the illicit market. 5. Each State Party shall, within the first year after entry into force of this Treaty for that State Party, submit an initial report to the Implementation Support Unit of all activities undertaken in order to implement this Treaty, including inter alia, domestic laws, regulations and administrative measures. States Parties shall report on any new activities undertaken in order to implement this Treaty, when appropriate. Reports shall be distributed and made public by the Implementations Support Unit. 6. Each State Party shall submit annually to the Implementation Support Unit by 31 Maya report for the preceding calendar year concerning the authorization or actual transfer of items included in Paragraph AI, Article XX. Reports shall be distributed and made public by the Implementation Support Unit. The report submitted to the Implementation Support. Unit may be the same report submitted by the State Party to the UN Register of Conventional Alms for the same calendar year. Enforcement 1. Each State Party shall adopt national legislation or other appropriate national measures, including law enforcement, judicial mechanisms and administrative and/or criminal and civil penalties as may be necessary to implement the obligations of this Treaty.