1. Does your State maintain a national system for controlling or regulating:

[ Articles 3, 4, 5.2, 8, 9, and 10 ]

Export Yes
Import Yes
Transit / Transshipment by land Yes
Transit / Transshipment by sea Yes
Transit / Transshipment by air Yes
Brokering Yes
2. For which activities does your State maintain a national control list of conventional arms:

[ Articles 2.2 and 5.2 ]

Export Yes
Import Yes
Transit / Transshipment Yes
Brokering Yes
3. Does your national control list cover the following:

[ Articles 2.1, 3, 4, and 5.2 ]

Battle tanks [Article 2.1] Yes
Armored combat vehicles [Article 2.1] Yes
Large-caliber artillery systems [Article 2.1] Yes
Combat aircraft [Article 2.1] Yes
Attack helicopters [Article 2.1] Yes
Warships [Article 2.1] Yes
Missiles and missile launchers [Article 2.1] Yes
Small arms and light weapons [Article 2.1] Yes
Ammunition / Munitions for the above items [Article 3] Yes
Parts and components requiring control for the above items [Article 4] Yes
4. Is/are your national control list(s) publicly available?

[ Article 5.3 ]

1) If yes, please provide a copy or link to where your control list is made publicly available 2) If no, please provide a copy of your control list or provide information on the additional items that are covered Yes
http://www.bafa.de/bafa/en/export_contro...
4a. Details / reference / web link / additional comments
  • German domestic law: “Kriegwaffenliste”/War Weapons List: http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_list.pdf
  • “Ausfuhrliste”/Export Control List in German: http://www.gesetze-im-internet.de/awv_2013/anlage_1_121.html
  • largely identical to the Common Military List of the European Union (in English): http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=OJ:C:2014:107:FULL&from=EN
  • “Kriegwaffenliste”/War Weapons List mainly comprises the items listed in Art. 2 and 3 ATT; the “Ausfuhrliste”/Export Control List comprises a much vaster set if items in fulfillment of Art 5 (3) ATT (“Each State Party is encouraged to apply the provisions of this Treaty to the broadest range of conventional arms.”)
5. Are the controlled items defined?

[ Article 5.3 ]

1) if yes, which definition(s) do you use? (e.g. Wassenaar, United Nations Register of Conventional Arms, National definitions, etc.) Yes
“Ausfuhrliste”/Export Control List: Wassenaar, European Union; “Kriegwaffenliste”/War Weapons List: national definitions, but largely identical to the categories of the United Nations Register of Conventional Arms including SALW
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
  • Foreign Trade and Payments Act of 6 June 2013 (http://www.bafa.de/bafa/en/export_control/legislation/export_control_awg_en.pdf)
  • Act Implementing Article 26 (2) of the Basic Law (War Weapons Control Act) (http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_control_act.pdf )
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy, Ministry of Foreign Affairs, Ministry of Defence, Ministry of the Interior, Ministry of Finance (Customs/Border Goods Controls)
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
4. Does your State take measures to ensure that all authorizations are detailed and issued prior to export?

[ Article 7.5 ]

If yes, what measures does your State take to ensure that all authorizations are detailed and issued prior to export? Yes
Exporters need a license for every transaction either individual, global or general. Applications have to be addressed to the Ministry of Economic Affairs and Energy (for war weapons) or the Federal Office of Economics and Export Control (for other military goods). MFA and Ministry of Defence are consulted. MFA provides foreign policy advice such as IHL/HR issues, sanctions, internal or regional conflicts etc. Licenses specify goods, time etc, additional requirements (e.g. customs certificates of recipient etc.) may be stipulated. License denials have to give the reasons for denial, exporter can take negative decisions to court.
5. Can your State reassess an authorization if your State becomes aware of new and relevant information?

[ Article 7.7 ]

Yes
5a. Details / reference / web link / additional comments
Yes, but authorized exporter can claim compensation in case of recovation
6. Does your State maintain records of arms export authorizations?

[ Article 12.1 ]

Yes
6a. Details / reference / web link / additional comments
7. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

Minimum 10 years
8. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model / Type Yes
Importing State Yes
End-User Yes
Other (specify below) Yes
Exporter, end user certificate
8a. Details / reference / web link / additional comments
9. Does your State maintain records of actual arms exports?

[ Article 12.1 ]

Yes
9a. Details / reference / web link / additional comments
For war weapons only (c.f. I. D. ii).).
10. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

Minimum 10 years
11. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value No
Model/ Type Yes
Importing State Yes
End-User Yes
Transit/ transshipment State(s) No
Other (specify below) No
12. Please provide any other information on export practices you would like to share.
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
For war weapons only (c.f. I. D. ii).). Act Implementing Article 26 (2) of the Basic Law (War Weapons Control Act) (http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_control_act.pdf )
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy, Ministry of Defence
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

Requirements of licenses for all war weapons
5. Does your State have measures in place to ensure that appropriate and relevant information is available to exporting States as part of their export assessment process?

[ Articles 8.1 and 11.3 ]

Yes
5a. Details / reference / web link / additional comments
6. Does your State maintain records of arms imports?

[ Article 12.2 ]

Yes
6a. Details / reference / web link / additional comments
For war weapons only (c.f. I. D. ii).).
7. For how many years are records maintained?

[ Articles 12.2 and 12.4 ]

Minimum 10 years
8. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value No
Model / type Yes
Exporting State Yes
Transit / transshipment State(s) No
Other (please specify below) Yes
Exporting company/manufacturer
9. Please provide any other information on import practices you would like to share.
1. Is the regulation of transit and/or transshipment established in national legislation?

[ Article 9 ]

If yes, please provide the definition of transit and/or transshipment in your national legislation Yes
Transit:
  1. the transportation of material goods from abroad through Germany without the goods having been released for free circulation in Germany, and
  2. the transportation of material goods in free circulation from another Member State of the European Union through Germany
There is no definition of transshipment in the national legislation. Transshipment is treated like transit
1a. Details / reference / web link / additional comments
For war weapons only (c.f. I. D. ii).). Act Implementing Article 26 (2) of the Basic Law (War Weapons Control Act) (http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_control_act.pdf )
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

Requirement of licenses for all war weapons
5. Does your State maintain records of arms that are authorized to transit and/or transship territory under its jurisdiction?

[ Articles 12.2 and 12.4 ]

Yes
5a. Details / reference / web link / additional comments
For war weapons only (c.f. I. D. ii.).).
6. For how many years are records maintained?

[ Article 12.4 ]

Minimum 10 years
7. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value No
Model / Type Yes
Exporting State Yes
Importing State Yes
Transit / Transshipment No
End-User Yes
Other (please specify below) Yes
Means of transportation, transport company
7a. Details / reference / web link / additional comments
8. Please provide any other information on transit and/or transshipment practices you would like to share.
1. Is the regulation of arms brokering established in national legislation?

[ Article 10 ]

If yes, please provide the definition of brokering used in your national legislation Yes
  1. the brokering of a contract on the acquisition or release of goods,
  2. the documentation of an opportunity to conclude such a contract or
  3. the conclusion of a contract on the release of goods. A brokering transaction shall not be the sole provision of auxiliary services. Auxiliary services are transportation, financial services, insurance or reinsurance or general advertising or sales promotion.
1a. Details / reference / web link / additional comments
Act Implementing Article 26 (2) of the Basic Law (War Weapons Control Act) (http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_control_act.pdf )
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy
4. Does your State take measures to regulate brokering taking place under your jurisdiction?

[ Article 10 ]

If yes, what measures does your State take to regulate brokering taking place under your jurisdiction? Yes
Requirement of licences for all war weapons, licenses for defence goods brokered from/to non EU/EEA-States
5. Please provide any other information on brokering practices you would like to share.
1. Does your State prohibit transfers of conventional arms:

[ Article 6 ]

If the transfer would violate obligations under measures adopted by the United Nations Security Council acting under Chapter VII, in particular arms embargoes? [Article 6.1] Yes
If the transfer would violate relevant international obligations under international agreements to which you are a party, in particular those relating to the transfer of, or illicit trafficking in, conventional arms? [Article 6.2] Yes
If you have knowledge at the time of authorization that the arms or items covered by your State's legislation would be used in the commission of genocide, crimes against humanity, grave breaches of the Geneva Conventions of 1949, attacks directed against civilian objects or civilians protected as such, or other war crimes as defined by international agreements to which you are a party? [Article 6.3] Yes
1a. Details / reference / web link / additional comments
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

Relevant international obligations under international agreements of a legal or political character, to which Germany either is a State Party or a participating State or which are considered legally or politically binding, emanate, inter alia, from—
  • the UN Charter and measures adopted by Security Council acting under Chapter VII, in particular arms embargoes
  • Article 1, second clause, of the 1995 Protocol on Blinding Laser Weapons to the 1980 Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons
  • Article 8 of the 1996 Amended Protocol II to the 1980 Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons
  • the 1997 Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction
  • the 2008 Convention on Cluster Munitions
  • the 2013 Arms Trade Treaty (after entry into force)
  • Regulation (EU) No 258/2012 implementing Article 10 of the U.N. Firearms Protocol, and establishing export authorization, and import and transit measures for firearms, their parts and components and ammunition
  • Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defense-related products within the Community
  • Council common position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment
  • OSCE arms control instruments
  • the Missile Technology Control Regime
  • the Wassenaar Arrangement
  • the Hague Code of Conduct.
  • 1899 Hague Declaration (IV:2) concerning Asphyxiating Gases
  • 1899 Hague Declaration (IV:3) concerning Expanding Bullets (Dum-Dum Bullets)
  • 1925 Protocol for the Prohibition of the Use of Asphyxiating, Poisonous or Other Gases, and of Bacteriological Methods of Warfare
  • 1948 Convention on the Prevention and Punishment of the Crime of Genocide
  • 1949 Convention (I) for the Amelioration of the Condition of the Wounded and Sick in Armed Forces in the Field
  • 1949 Convention (II) for the Amelioration of the Condition of Wounded, Sick and Shipwrecked Members of Armed Forces at Sea
  • 1949 Convention (III) relative to the Treatment of Prisoners of War
  • 1949 Convention (IV) relative to the Protection of Civilian Persons in Time of War
  • 1954 Convention for the Protection of Cultural Property in the Event of Armed Conflict including the 1954 Protocol and the 1999 Second Protocol additional to the 1954 Convention
  • 1972 Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on their Destruction
  • 1977 Protocol (I) Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International Armed Conflicts
  • 1977 Protocol (II) Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of Non-International Armed Conflicts
  • 1980 Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons Which May be Deemed to be Excessively Injurious or to Have Indiscriminate Effects inclusive Amendment and Protocols including the 1980 Protocol I, the 1980 Protocol II, the 1996 Amended Protocol II, the 1980 Protocol III, and the 1995 Protocol IV to the 1980 Convention
  • 1993 Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction
  • 1997 Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction
  • 1998 Rome Statute of the International Criminal Court
  • 2008 Convention on Cluster Munitions
3. Please provide any other information on prohibitions you would like to share.
1. Does your State always conduct a risk assessment prior to authorization of an arms export?

[ Article 7.1 ]

If no, please specify under which conditions a risk assessment is not required. Yes
A risk assessment is always required, but the German legislation and guidelines (“Political Principles Adopted by the Government of the Federal Republic of Germany for the Export of War Weapons and Other Military Equipment” of 19 January 2001 /“Political Principles”) contain a positive presumption in certain cases (e.g. exports to NATO or EU Member States or and NATO-equivalent countries (Australia, New Zealand, Japan, Switzerland), intra-EU trade). According to the German guidelines, such positive presumptions are just that. They do not obviate the requirement for an assessment and they are void if a situation covered by Art. 6 of the Treaty (or the equivalent in the Common Position or the German Political Principles) is encountered.
1a. Details / reference / web link / additional comments
2. Does your State require that the following criteria are included in your national assessment prior to granting an export authorization?

[ Article 7.1 ]

Whether the arms would contribute to or undermine peace and security? Yes
Whether the arms could be used to commit or facilitate a serious violation of international humanitarian law? Yes
Whether the arms could be used to commit or facilitate a serious violation of international human rights law? Yes
Whether the arms could be used to commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which your State is a party? Yes
Whether the arms could be used to commit or facilitate an act constituting an offence under international conventions or protocols relating to transnational organized crime to which your State is a party? Yes
2a. Details / reference / web link / additional comments
3. Are additional criteria considered in addition to the above prior to authorizing a transfer:

[ Articles 7.4 and 11.2 ]

Risk of diversion Yes
Acts of gender based violence Yes
Other (please specify below) Yes
In addition to the criteria under 7.B, the following elements are considered in the German Political Principles:
  • The preservation of human rights is of particular importance for every export decision, irrespective of the envisaged recipient country. Military equipment exports are therefore fundamentally not approved where there is “sufficient suspicion” of the involved military equipment’s misuse for internal repression or other ongoing and systematic violations of human rights. The human rights situation in the consignee country plays an important role in connection with this question. The Political Principles are more restrictive than e.g. the EU Common Position, which rules out export licences only where a “clear risk” exists or the ATT, which rules out export licences only where an “overriding risk” exists.
  • The export of war weapons is approved only in exceptional cases where, as justified by the individual situation, special foreign policy or security policy interests of the Federal Republic of Germany would support the granting of a licence. For other military equipment, licences are granted only insofar as such action does not endanger the interests to be protected under foreign trade and payments statutes
  • Is the end user a government, a government authority or a government authorized recipient?
  • Has an acceptable end user assurance (or own production declaration) been received?
  • Has the recipient state respected previous end user assurances, or rectified problems in this area? (otherwise no further exports)
In addition to the criteria under 7.B, the following elements are considered in EU Common Position 2008/944/CFSP of 8 December 2008:
  • The national security of EU Member States as well as that of friendly and allied countries
  • The behavior of the buyer country as regards in particular its attitude to terrorism, the nature of its alliances and respect for international law
  • The risk of diversion
  • Compatibility of the export with the technical and economic capacity of the recipient country, taking into account the desirability that states should meet their legitimate security and defense needs with the least diversion of human and economic resources for armaments.
3a. Details / reference / web link / additional comments
4. Does your State consider risk mitigation measures as part of its authorizations process?

[ Article 7.2 ]

If yes, what mitigation measures does your State consider (i.e. confidence building measures or jointly developed and agreed programs)? Yes
End user assurances are a form of risk mitigation that is obligatory according to the German Political Principles. In the case of SALW Transfers to third countries (i.e. countries that are not NATO or EU Member States or and NATO-equivalent countries,, c.f. 7 A i above) , the “New for Old” principle is also applied wherever possible. This calls for sales contracts to be worded to ensure that the recipient destroys small arms that are to be replaced by the new consignment, in order to prevent their proliferation. Moreover, insofar as possible, in new supply contracts the exporter is to require the consignee in a third country to destroy the weapons supplied in the case of a later removal from use. While essentially being a mitigation measure against diversion, the ensuing constant number of weapons can also be seen as a mitigating measure against a destabilizing accumulation of weapons. In individual cases, the “New for Old” principle is also applied to conventional weapons other than SALW.
4a. Details / reference / web link / additional comments
Germany considers risk mitigation measures in specific cases, but not on a regular basis.
5. Please provide any other information on risk assessment and/or mitigation practices you would like to share.
The ex-ante examination ensures right from the start that defense goods are not delivered to recipients if there is a danger that the goods will be diverted. If there are doubts about the recipient’s assurance of the end-use, export licence applications are rejected. Nonetheless, against the backdrop of discussions in relevant international forums, Germany is assessing the current system of end-use controls to ascertain whether further improvements could be made. In particular, it is checking to what extent post-shipment-controls in respective recipient countries could be integrated into the German export control system. Even an export control system which attempts to verify the end-use of munitions/military goods by means of post-shipment controls is not fully immune to illegal diversion of. In certain circumstances however, such a system would allow activities of this kind to be detected comparatively early and corresponding counter-measures to be implemented.
1. Does your State take preventative measures to mitigate the risk of diversion?

[ Article 11.2 ]

If yes, what preventative measures does your State take to mitigate the risk of diversion? Yes
c.f. 7. E.: thorough check of end use documentation: Export licences for war weapons or other military equipment of a quantity and type relevant to war weapons may be granted only on presentation of governmental end-use certificates that preclude re-exports without prior authorization. This applies mutatis mutandis to any other military equipment related to war weapons exported in connection with a manufacturing licence. For the export of such equipment used for the manufacture of war weapons definitive end-use certificates must be furnished. Stringent standards are to be applied in assessing whether the recipient country is capable of carrying out effective export controls. War weapons and other military equipment relevant to war weapons may only be re-exported to third countries or transferred inside the EU Internal Market with the written approval of the Federal Government. Re-Export Clauses: War weapons and other military equipment relevant to war weapons may only be re-exported to third countries or transferred inside the EU Internal Market with the written approval of the Federal Government. On SALW in particular: Germany pursues a restrictive policy on the export of small arms. As war weapons they are subject to the particularly strict rules of the “Political Principles” (Annex 1 of this Report), according to which licences for the export of war weapons to third countries may be issued only by way of exception and only in the case of special foreign or security policy interests of the Federal Republic of Germany. Regarding the export of technology and production equipment, there is the fundamental rule that no licences are issued in connection with the opening of new production lines for small arms and ammunition in third countries. For third countries (i.e. countries that are not NATO or EU Member States or and NATO-equivalent countries,, c.f. 7 A i above) , the “New for Old” principle is also applied wherever possible. This calls for sales contracts to be worded to ensure that the recipient destroys small arms that are to be replaced by the new consignment, in order to prevent their proliferation. Moreover, insofar as possible, in new supply contracts the exporter is to require the consignee in a third country to destroy the weapons supplied in the case of a later removal from use. In this way, exports and recipients make an active contribution towards not increasing the number of small arms available worldwide, and preventing their proliferation across to grey or black markets. Germany and, in particular the Bundeswehr, destroys surplus small arms. Finally, licences for the export of war weapons, including small arms, are fundamentally issued only for government end-users, not for private entities. The German Government thereby applies a principle which, though it has yet to become majority opinion in the international community (including the UN framework), if universalized would go a long way toward limiting the illegal spread of small arms.
2. Does your State cooperate and exchange information with States to mitigate the risk of diversion?

[ Article 11.3 ]

Yes
2a. Details / reference / web link / additional comments
3. Does your State take appropriate measures when it detects a diversion of transferred conventional arms?
If yes, what appropriate measures does your State take when it detects a diversion of transferred conventional arms? Yes
A recipient country that, in breach of an end-use certificate, authorizes or does not seek to prevent or sanction the unauthorized re-export of war weapons or other military equipment relevant to war weapons will on principle, as long as such conditions persist, be excluded from receiving any further deliveries of war weapons or other military equipment related to war weapons.
4. Is your State willing to share information on effective measures to address diversion?
If yes, what information is your State willing to share? Yes
Generic information
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy / BAFA
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economic Affairs and Energy / BAFA
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

4. Please provide any other information on enforcement practices you would like to share.
1. Will your State provide an initial report within one year of entry into force on measures undertaken in order to implement the ATT?

[ Article 13.1 ]

Yes
1a. Details / reference / web link / additional comments
2. Does your State produce an annual report on:

[ Article 13.3 ]

Authorized arms exports Yes
Authorized arms imports No
Actual arms exports Yes
Actual arms imports
2a. Details / reference / web link / additional comments
  • Reports on authorized arms exports are on all goods of the Export Control list (Ausfuhrliste, c.f. 1. D.)
  • Reports on actual arms exports only regard war weapons. Additionally, yearly report to UN Register of Conventional Arms (including SALW)
  • For actual arms imports, Germany completes yearly reports to the UN Register of Conventional Arms (including SALW)
 
3. Are there legal impediments to the reporting requirements under the ATT?

[ Article 13.3 ]

No
3a. Details / reference / web link / additional comments
No, but national legislation concerning business secrets or national security may require some aggregation of data.
4. Can your State report on measures taken to address the diversion of transferred conventional arms?

[ Article 13.2 ]

Yes
4a. Details / reference / web link / additional comments
Yes, but national legislation in judicial process and secrecy may require some limitations on the nature of information provided.
5. Has your State designated a national contact point for the ATT?

[ Article 5.6 ]

Yes
5a. Details / reference / web link / additional comments
As of entry into force of the ATT, the division 414 in the Federal Foreign office, in charge of the ATT, will be the national contact point for the ATT
6. Please provide any other information on transparency practices you would like to share.
  • The German Federal Government publishes an annual report to Parliament on export policy of military equipment (“Report by the Government of the Federal Republic of Germany on Its Policy on Exports of Conventional Military Equipment“), the latest report on 2013, published in June 2014, is currently only available in German (http://www.bmwi.de/DE/Mediathek/publikationen,did=641648.html)
  • The reports are also translated into English (latest edition on 2012, http://www.bmwi.de/EN/Service/publications,did=626286.html). In addition, starting 2014, a report regarding export licenses granted in the first half of each year will be published in the second half of that year. Furthermore, starting in May 2014, the German Federal Government informs Parliament about licensing decisions taken by the Federal Security Council, a specialized Cabinet Committee, shortly after these decisions have been taken.
  • In order to guarantee an open society with access to government information, the principle of public access to official documents has been incorporated into a general law, the Information Freedom Law (“Informationsfreiheits-Gesetz”). This openness gives the citizens the right to study public documents. This principle of public access is not limited in time. All public documents are archived and only in certain cases, are authorities given the right to make exceptions from this principle. However, the access to public documents is always subject to a confidentiality assessment. The initial presumption is always full access. Examples of factors that can justify redacting or withholding documents are: national security; Germany’s relations with a foreign state or an international organisation; business secrets, or the protection of the personal or economic circumstances of a private individual.
  • Germany also contributes information about export licenses for military goods granted to the annual EU report (“Annual Report according to Article 8(2) of Council Common Position 2008/944/CFSP defining common rules governing control of exports of military technology and equipment”). The latest edition on 2012 can be accessed via http://eur-lex.europa.eu/JOHtml.do?uri=OJ:C:2014:018:SOM:EN:HTML
1. Is your State involved in cooperation measures that will help to implement the ATT?

[ Article 15.1 ]

Yes
1a. Details / reference / web link / additional comments
2. Is your State currently involved in:

[ Articles 15 ]

Exchange of information on conventional arms transfers [Articles 15.2 and 15.3] Yes
Cooperative measures to prevent diversion [Article 15.4] Yes
Widest measures of assistance in investigations, prosecutions and judicial proceedings [Article 15.5] Yes
Measures to prevent corruption [Article 15.6] Yes
Development of best practices and lessons learned [Article 15.7] Yes
2a. Details / reference / web link / additional comments
Germany is involved in these activities through the UN, OSCE, EU, WA, and bilateral exchanges. Measures to prevent corruption can be found in steering documents related to the Council Common Position 2008/944/CFSP defining common rules governing the control of exports of military technology and equipment transparency regarding expenses and acquisition of military equipment. Germany has specific anti-corruption legislation.  
3. Does your State intend to pursue cooperation in:

[ Article 15 ]

Exchange of information on conventional arms transfers [Article 15.1, 15.2, and 15.3] Yes
Cooperative measures to prevent diversion [Article 15.4] Yes
Widest measure of assistance in investigations, prosecutions and judicial proceedings [Article 15.5] Yes
Measures to prevent corruption [Article 15.6] Yes
Development of best practices and lessons learned [Article 15.7] Yes
3a. Details / reference / web link / additional comments
Germany would like to see cooperative work within the ATT framework on the development of best practices and guidelines, building upon what has already been achieved in other fora, in particular the EU and WA.
1. Does your State require assistance to implement the provisions of the Arms Trade Treaty?

[ Article 16.1 ]

No
2. Does your State require:

[ Article 16.1 ]

Legal assistance No
Legislative assistance, including model legislation No
Assistance for institution building No
Technical assistance No
Financial assistance No
Material assistance No
Stockpile management assistance No
Disarmament, demobilization, or reintegration assistance No
Assistance with effective practices for implementation No
Other (please specify below) No
3. Is your State in a position to provide assistance to other States to enable implementation of the provisions of the Arms Trade Treaty?

[ Articles 16.1, 16.2, and 16.3 ]

If yes, please answer question 4. If no, please go straight to question 5. Yes
3a. Details / reference / web link / additional comments
Germany considers implementation assistance to be vital for the effective implementation of the Treaty and is willing to offer help to other signatories and States Parties, in particular developing countries, on a bilateral basis and together with EU partners. The Federal Office of Economics and Export Control (BAFA) has considerable expertise in this area and will be the implementing agency for a dedicated set of assistance measures by the European Union (6,4 Mio. € over 2014-2016). Germany is co-financing 20% of those measures. Together with Australia, Germany launched the UN Trust Facility Supporting Cooperation on Arms Regulation“ aiming at facilitating the entry into force of the ATT and the implementation of the United Nation‘s Programme of Action on Small Arms and Light Weapons. In 2013 Germany contributed 600.000 € to the Fund and is preparing to contribute to the same amount in 2014
4. Is your State in a position to provide:

[ Article 16.1 ]

Legal assistance Yes
Legislative assistance, including model legislation Yes
Assistance for institution building Yes
Technical assistance Yes
Financial assistance Yes
Material assistance Yes
Stockpile management assistance Yes
Disarmament, demobilization, or reintegration assistance Yes
Assistance with effective practices for implementation Yes
Other (please specify below)
5. Please provide information on any additional needs required to implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16/2 ]

6. Please provide information on any specific assistance programs that your State has provided that may help others implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16.2 ]

The Federal Office of Economics and Export Control (BAFA) has considerable expertise in this area and will be the implementing agency for a dedicated set of assistance measures by the European Union (6,4 Mio. € over 2014-2016). Germany is co-financing 20% of those measures. Together with Australia, Germany launched the „UN Trust Facility Supporting Cooperation on Arms Regulation“ aiming at facilitating the entry into force of the ATT and the implementation of the United Nation‘s Programme of Action on Small Arms and Light Weapons. In 2013, Germany contributed 600.000 € to the Fund and is preparing to contribute to the same amount in 2014 Germany took part in the relevant previuos EU programmes and has provided assistance in areas such as legislation, technical assistance and stockpile management assistance. In addition, Germany supports NGO initiatives.
7. Please provide information on specific assistance your State has received through the United Nations, international, regional, subregional or national organizations, non-governmental organizations, or on a bilateral basis that could be considered relevant for ATT implementation

[ Article 16.2 ]

1. Has your State already signed the Arms Trade Treaty?
Yes
2. Has your State already ratified the Arms Trade Treaty?
Yes
3. Is your State preparing to sign the Arms Trade Treaty in the next two years?
N/A
4. Is your State preparing to ratify the Arms Trade Treaty in the next two years?
N/A
5. Will/Has your State forumalted one or more reservations upon ratification?

[ Article 25.1 ]

If yes, please provide a description of your reservation(s). No
6. Please provide any other information you would like to share.
Upon ratification, Germany also declared provisional application of Articles 6 and 7 of the ATT. The Memorandum of the Federal Government on the “Arms Trade Treaty of 2 April 2013 that was attached to the draft treaty law dated 23 May 2013 submitted to the German Parliament and that contains commentaries of the Federal Government regarding the meaning, object and purpose, history and contents of the ATT is available in German under http://www.auswaertiges-amt.de/cae/servlet/contentblob/674462/publicationFile/191507/ATT_Denkschrift.pdf and in English under http://www.auswaertiges-amt.de/cae/servlet/contentblob/682150/publicationFile/194907/ATT-Denkschrift-Memorandum_EN.pdf