The Export Controls regime Assessment Criteria set the parameters considered by the Ministry of Foreign Affairs and Trade (the Ministry) when assessing an application for a permit to export strategic or military end-use goods under the Customs and Excise Act 2018. They reflect the government’s commitment to making responsible decisions around the export of such goods. Taken together, the six Assessment Criteria outline the basis for the assessment of the risks posed by the export of goods covered by the Export Controls regime, ensuring decisions are taken using a consistent approach.
By providing succinct information on the factors the Ministry takes into account when considering applications to export controlled goods, the Assessment Criteria and accompanying guidance seek to reduce uncertainty for exporters. They assist exporters to determine whether an application to export goods would have a reasonable prospect of being approved. Nevertheless, exporters and potential exporters are encouraged to contact the Ministry to discuss what the Assessment Criteria mean in terms of particular exports they may be contemplating.
There is some overlap between the individual Assessment Criteria. For example, some of Aotearoa New Zealand’s international obligations and policies apply to more than one Criterion. The Arms Trade Treaty (2014), for example, is relevant to both Criterion 1 (which covers disarmament, arms control and non-proliferation obligations), and to Criterion 2 (which covers the fundamental principles of international law, international human rights law and international humanitarian law).
Taken together, the six Assessment Criteria cover all matters to be considered in determining whether to approve or decline an application for a permit. Criteria 1, 2 and 3 are largely definitive in nature. They deal with the potential impact of the proposed export on Aotearoa New Zealand’s legal obligations, commitments and policies. Applications to export goods in violation of Aotearoa New Zealand’s legal obligations will be declined.
Where approval of an application would not put Aotearoa New Zealand at risk of violating obligations and commitments outlined Criteria 1, 2, and 3, the application would then be considered against Criteria 4, 5 and 6. This involves the weighing up of diverse factors, some positive and some negative, in order to arrive at a final determination. Potential positive impacts of an export may be considered under Criteria 4, 5 and 6 but these will not override a negative assessment under Criteria 1, 2 or 3.
Assessments of applications to export goods are undertaken on the basis of technical expertise and multiple data inputs. All assessments are peer reviewed internally. Complex assessments undergo additional scrutiny at senior levels within the Ministry. Ministers may also be consulted before the Secretary of Foreign Affairs and Trade makes a final decision.
The Ministry welcomes contact from exporters who wish to discuss whether their proposed export falls within the Export Controls regime and how to navigate the application process, including how to self-assess whether your export may be controlled and require a permit.