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New Zealand's controls on the export of Strategic Goods are implemented through the Customs Export Prohibition Order 2005, promulgated under the Customs and Excise Act 1996. Under the Order, the export of Strategic Goods is prohibited without the consent of the Secretary of Foreign Affairs and Trade. In practice, the authority of the Secretary is delegated to the Export Controls Officer of the International Security and Disarmament Division of the Ministry of Foreign Affairs and Trade. Under the Order, the Secretary of Foreign Affairs and Trade has the authority to deny, revoke, or add conditions to export approvals as they see fit.
Export controls cover a wide range of military goods and technologies, nuclear related goods, and goods and technologies with both civil and military applications. It should also be noted that the controls also cover goods being exported after or for repair, and the temporary export of items for demonstration or loan purposes. The list of goods controlled forms the New Zealand Strategic Goods List (NZSGL).
top of pageNew Zealand issues four broad types of permits / consents to export strategic goods: a temporary export permit, a standard export permit, a multiple export permit, and general consents.
Temporary export permits are issued for goods temporarily leaving New Zealand with the intention of return. Generally the export item will be in the care of the owner (sales representative, firearm owner etc), although items may be exported for the purposes of trial or repair by a third party.
Common scenarios:
Standard export permits are issued for the permanent export of a fixed quantity of specified items to a single, specific end-user. The export can, however, cover a number of shipments, or an entire contract.
Common scenarios:
Multiple export permits are issued for the export of an unspecified quantity of controlled items to a single, specific end-user which will be exported over an extended period. The export can cover a number of shipments, or an entire contract. The quantity of items to be exported under the permit is generally not known in advance.
Temporary multiple export permits may also be granted to cover multiple exports of items temporarily exported for the purposes of repair and return.
Common scenario:
A general consent allows an exporter to apply for a list of destination countries to which exports of specific listed items are pre-approved. The exporter lists those countries that they intend to export goods to, which are then either approved or not approved by the Ministry of Foreign Affairs and Trade. If a consent is granted for a country listed on a general consent, the exporter may then export any volume of the specified products to any end-user in that country. According to a set reporting timetable, exporters must, however, provide information to the Ministry of Foreign Affairs and Trade on end-users who have received items under the general consent.
General consents are available for:
If consent is not granted, the exporter will still have to apply for a standard export licence to a specific end-user. The refusal to grant a general consent for a particular country does not indicate that the Ministry of Foreign Affairs and Trade will not allow exports of a particular item to that country; only that it wishes to examine each application individually.
top of pageTo apply for a permit to export strategic goods, exporters should complete an application form. Routine applications for temporary, standard and multiple permits can be processed within 10 working days but general consents, and non-routine applications (applications where the destination country is potentially problematic) may take significantly longer. Early contact with the Ministry is advised.
The completed standard permit application form accompanied by supporting documentation should be sent to the Export Controls Administrators at the Ministry of Foreign Affairs and Trade.
Points to note:
The completed application for a general consent form accompanied by supporting documentation should be sent to the Export Controls Administrators at the Ministry of Foreign Affairs and Trade.
Conditions applying to the use of general consents:
In order to amend or renew a permit, exporters should reapply for the permit, attaching the original to be amended or renewed.
Records
As noted above, for general permits, exporters must keep records of end-users who have received goods under that permit. The following information on end-users is required by the Ministry of the Foreign Affairs and Trade:
This information will be required in accordance with a schedule set out on any general permits granted.
The original copy of the export permit should be presented to the New Zealand Customs Service when the Customs export entry for the goods is lodged with Customs. In addition, each permit has a permit number which must be entered into the permit information field on the Customs export entry.
top of pageIn applying for approval to export controlled goods and technologies, exporters will usually be required to provide supporting documentation. The Ministry of Foreign Affairs and Trade typically requires three forms of supporting documentation:
The Ministry may also require proof of delivery of goods exported through an intermediate. Military-list goods will in most cases require an end-user certificate signed by the ultimate end-user. The Ministry of Foreign Affairs and Trade may be willing to waive this requirement when all the following apply:
This decision is made on a case-by-case basis, and inability to provide appropriate end-user certification will be more likely to result in the denial of an export application. This requirement may also be waived for the export of vintage combat aircraft, deemed to be no longer of significant military utility. The end-user documentation for dual-use goods requires the certification of the main activity of the company. This will generally require the document to be counter-signed by a local chamber of commerce, or industry association.
Most dual-use goods exported from New Zealand will not generally require end-user certificates. Goods on the NSG [external link], AG [external link] and MTCR [external link] lists or goods on the WA [external link] 'sensitive list’ or ‘very sensitive list’ will generally require end-user documentation. Chemicals listed under Schedule 3 of the Chemical Weapons Convention require similar end-user certification when exported to States not Party to the Convention, as well as an assurance that they will not be retransferred.
Firearm exports require proof of authorisation to import before an export licence will be granted. Usually this will be in the form of an import licence relating to the specific weapons, though in some countries dealers are authorised to import unspecified firearms. A copy of this authority is sufficient.
Click forms to download a end-user certification form.
top of pageAll exports of firearms and ammunition require a permit.
However there is a general consent in place in respect of private exports as follows:
Private persons may export up to five sporting rifles and/or shotguns (this approval does not cover semi-automatic or automatic firearms and all pistols and revolvers) without a permit from the Ministry of Foreign Affairs and Trade in the following circumstances:
Persons exporting firearms covered by the general consent may export up to 5 kg of ammunition. The ammunition must accompany the firearms. This approval does not permit the export of ammunition on its own.
A general consent also applies to commercial exports of up to five firearms (not semi-automatic or automatic firearms) as follows:
This consent does not cover the export of commercial shipments of ammunition (including cartridges).
top of pageApplications to export controlled goods are dealt with on a case-by-case basis. Some technologies are more sensitive from a strategic perspective than others, as are some export destinations. New Zealand controls differentiate between levels of technology and between export destinations in accordance with their respective strategic sensitivity.
When applications to export strategic goods are received, the Ministry first confirms that the goods fit within the range of goods described in the Schedule and are subject to control. Typically applications will be referred to technical advisors for comment.
Authority for granting an approval for the export of strategic goods rests with the Secretary of Foreign Affairs and Trade. There is no statutory right of administrative appeal against any of the above decisions by the Secretary. The applicant is entitled to seek a review of any of these decisions by writing to the Secretary. Unless further information is supplied supporting the application, however, this review will only encompass issues of process, and not substance.
It is not practicable, nor, for a variety of reasons, is it appropriate to publish lists of countries to which particularly close attention is given. The situation in many countries can change rapidly. However, applications for consent to export to all destinations are subject to careful consideration on a case-by-case basis in accordance with the criteria listed below. The Ministry is, however, happy to give informal advice, and, in most cases, to make in-principle responses to written queries.
Exporters are advised to caveat sale contracts to note that export is subject to receiving the necessary consents from the New Zealand Government. This is standard practice internationally for the export of strategic goods. The Government cannot be held liable in the event that failure to obtain a consent to export results in a breach of contract.
top of pageThe Ministry of Foreign Affairs and Trade makes decisions about export permits according to a set of criteria. The intention of these criteria is to serve as an internal guide to ensure consistency in decision making, and to provide exporters with information as to what are relevant considerations in assessing an export application. The criteria are derived from the Government’s desire to make responsible decisions regarding the export of strategic goods. The criteria are primarily for assessing applications to export Wassenaar Arrangement goods, although some criteria (especially 3, 5, and 6) are directly relevant to other regimes.
Basic Decisions
1. Would the export contravene any UN Security Council Embargoes?
2. Would the export contradict any requests for restraint or expressions of concern by competent international bodies (eg. UN Security Council, Wassenaar Arrangement)?
3. Would the export undercut a denial from an export control regime of which New Zealand is a member?
4. Is the export consistent with decisions made by likeminded countries operating similar export controls to New Zealand?
5. Is there evidence that the country is involved in the development of Weapons of Mass Destruction?
6. Is there a significant risk that goods could be diverted or on-sold to another end-user?
7. Is the export part of an existing contract that has previously been approved?
8. Is the country involved in any conflict?
a) issues to consider for internal conflicts:
b) issues to consider for external conflicts:
c) how would the export contribute to the conflict in question?
d) is there evidence that child soldiers are being used in the conflict and, if so, how would the export effect this?
9. Would the export introduce a new capability into a region/internal security situation?
10. Would the export significantly enhance capabilities already employed (including, for instance, manpower effectiveness)?
a) how would this enhancement be perceived?
b) could this enhancement materially effect an already unstable situation?
11. Is there a potential for the goods to be used in any terrorist activity?
12.Could the export of the goods in question prejudice New Zealand's relationship with a third country?
Other Relevant Assessments
13. What is the human rights record of the recipient country?
14. Is there a possibility that the goods could be used in, or contribute to, the abuse of human rights?
15. What is the country's record in International Humanitarian Law/Law of Armed Conflict?
top of pageThe Wassenaar Arrangement considers some dual-use industrial goods to be more sensitive than others and therefore more care must be exercised in the transfer of these goods. The Wassenaar Arrangement has identified a sub-set of the industrial dual-use goods which is called the ‘sensitive list’ as well as a sub-set of the sensitive list which they have called the 'very sensitive list'. Both of these lists can be found at the end of Part 2 of the NZSGL. General consents are generally not available for the export of goods on these lists.
Particular restraint will be exercised in the consideration of export applications of any missile related items in the NZSGL (or of any missile) if the New Zealand Government judges that they are intended to be used for the delivery of weapons of mass destruction and there will be a strong presumption to deny such exports. The approval of any missile-related dual-use list item for export also authorises the export to the same end user of the minimum technology required for the installation, operation, maintenance, and repair of the item.
The Nuclear Suppliers' Group guidelines obligate all NSG members to satisfy themselves of the good non-proliferation credentials of a recipient country before allowing the transfer of nuclear related items, and to ensure that trade takes place under appropriate international safeguards. For most recipient countries, membership of the Nuclear Non-Proliferation Treaty or one of the nuclear weapon free zone treaties is sufficient evidence of non-proliferation credentials.
Controls on the export of industrial chemicals are in place due to their possible use as chemical weapons or as precursors in the manufacture of chemical weapons. Two regimes and an international convention relate to their control - the Wassenaar Arrangement [external link], the Australia Group [external link] and the Chemical Weapons Convention [external link]. As such, the various chemicals within Schedule 1, Schedule 2 and Schedule 3 of the NZSGL.
The CWC requires controls on the export and, under New Zealand national legislation, import of a range of chemicals that can be used as chemical weapons or in the production of chemical weapons. Goods controlled through this regime can be found in item ML7.a and ML7.b of Part 1 and items 1C350, 1C351 and 1C450 of Part 2 of the NZSGL.
An import permit is required from the Ministry of Foreign Affairs and Trade for any import of CWC chemicals. Applications to export and import CWC Schedule 1 chemicals must be received by the Ministry of Foreign Affairs and Trade at least 37 days prior to the anticipated shipment date, because the transfer must be notified to the Organisation for the Prohibition of Chemical Weapons (OPCW), which implements the CWC internationally, at least 30 days in advance.
A CWC Schedule 2 chemical is controlled if it constitutes more than 10% (by weight) of a mixture. For a chemical that is listed from S3.1 in the preceding table, export permission is required when it constitutes more than 25% of a mixture (by weight).
Applications to export CWC Schedule 3 chemicals, included in 1C350 or 1C450 will only be approved to States who are not Parties to the CWC if they are accompanied by an end-user certificate. CWC schedule 1 and 2 chemicals may not be transferred to States who are not Parties to the CWC.
Since 29 April 1997, when the CWC entered into force, New Zealand has been obliged to report information on imports and exports of goods covered by CWC schedules to the OPCW. For CWC schedule 1 goods listed in Items ML7.a, ML7.b, 1C350.23 or 1C351.d information is reported on individual shipments. For schedule 2 and 3 goods listed in Items 1C350 or 1C450 of Part 3, the information is aggregated by the receiving or shipping country.
In Items ML7.a or ML7.b or 1C450, whenever reference is made to groups of dialkylated chemicals, followed by a list of alkyl groups in parentheses, all chemicals possible by all possible combinations of alkyl groups listed in the parentheses are considered as included as long as they are not explicitly exempted.
In Items ML7.a or ML7.b or 1C450, the terms 'alkyl', 'cycloalkyl' or 'Me' (methyl), 'Et' (ethyl), 'n-Pr' (n-propyl) or 'i-Pr' (iso-propyl) are to be understood literally, ie. as not including any substituted alkyl, methyl, ethyl etc.
Note that export applications will not be approved if there is an unacceptable risk the chemicals may be diverted to a chemical weapons program. Additionally, specific CWC requirements prohibit the retransfer of schedule 1 chemicals. In practice, this means that schedule 1 chemicals imported into New Zealand may not be retransferred to a third country.
top of pageThe Ministry of Foreign Affairs and Trade is conscious that exporters require quick, clear decisions to be commercially competitive. Applicants can assist the Ministry to provide a timely response to their application by ensuring that all the required information is supplied.
The Ministry will endeavour to process routine applications within 10 working days. For general consents and non-routine applications that require more detailed examination, this processing time may take up to 6 weeks or longer.
