QUESTIONNAIRE FOR
INFORMATION EXCHANGE WITH REGARD TO OSCE PRINCIPLES ON THE CONTROL OF BROKERING IN SMALL ARMS AND LIGHT WEAPONS
By 30 June 2011
(in accordance with FSC Decision 17/10)
1 Sources Question YES NO
Laws, regulations and administrative procedures
1 PoA II.14 Does your country have laws, regulations and/or administrative procedures governing brokering of SALW?
2 List laws and/or administrative procedures regulating SALW brokering in your country.
GGE Report 3 Are those laws and procedures part of the national export control system? para 63(i)
Comments
4 Does your country have a definition of brokering activities of persons and entities?
4a If yes, please provide
5 Does your country require brokers to register before they can apply for brokering licenses.
Comments
FSC.DEC/8/04 6 Does your country require a license to engage in brokering activities?
Comments
2 Does your country make a background check on past involvement in illicit activities before registering a broker or issuing brokering 7 licenses?
Comments
8 PoA II.14 Does your country keep a register of SALW brokers/traders?
Comments
Does your country require a licence for SALW brokering activities on the territory of your country regardless of the nationality of the 9 brokers?
Comments
10 Does your country control brokering activities outside your territory carried out by brokers of your country's nationality?
Comments FSC.DEC/8/04
Does your country control brokering activities outside your territory carried out by non-citizen residents who are established in your 11 country's territory?
Comments
BPG, 12 What is the policy on deciding which State's jurisdiction is appropriate for each brokering transaction? Brokering, V (1)
3 BPG, Brokering, V 13 Does your country have requirements for end-use documentation before authorizing each brokering activity? (5(i))
13a If so, describe
14 PoA II.14 Does your country require a licence, permit or other authorization for each brokering transaction?
Comments
GGE Report para 15 Are such applications for a licence, permit or other authorization considered for approval on a case-by-case basis? 44
Comments
16 Are there exceptions to the requirement to hold a licence or authorization for a brokering transaction?
16a Details (e.g. if the transaction is on behalf of the police or armed forces or other government officials)
17 What are the criteria for granting a licence, permit or other authorization?
18 Is ex post facto licensing possible?
18a BPG, Brokering, V If yes, under which conditions? (3)
4 19 Does your country have measures to validate the authenticity of documentation submitted by the broker?
19a Describe those measures
20 Does your country keep records of all issued licences or written authorizations?
If yes, how long are the records kept for?
FSC.DEC/8/04 a) 10 years 20a b) Indefinitely
c) Other
BPG, Brokering, V 21 Does your country require brokers to report regularly on their activities? (4(ii))
21a If so, describe
22 PoA II.3 Is it a criminal offence to engage in a SALW brokering transaction without a licence or authorization in your country?
Comments
23 Does your country share with other States such information as the disbarment of brokers and revocation of registration?
Comments
5 24 Does your country regulate activities that are closely associated with the brokering of SALW?
If so which of the following activities are regulated (check relevant boxes)?
a) acting as dealers or agents in SALW
b) Providing for technical assistance
c) Training
d) Transport
e) Freight forwarding 24a f) Storage
g) Finance
h) Insurance
i) Maintenance
j) Security
k) Other services
Comments
25 Are these activities regulated by legislation on brokering or any other legislation?
6 26 PoA II.14 What penalties or sanctions does your country impose for illegal brokering activities?
International Assistance
If the answer to Question 1 is ‘no’, does your country wish to request assistance in developing laws, regulations and/or administrative 27 PoA II.14 procedures to regulate SALW brokering?
28 What kind of assistance do you require?
29 Has your country developed a project proposal for assistance?
29a Does your country require training on controlling brokering activities in SALW?
Actions taken durign the reporting period
30 PoA II.6 During the reporting period, was action taken against groups or individuals engaged in illegal brokering (e.g. prosecution)?
30a Details.
31 Is your country content for these replies to be published on the OSCE website ?
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