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.seco.admin.ch/themen/00513/00...
4a. Details / reference / web link / additional comments
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
Article 5 of the Federal Act of War Material (WMA) which can be found under http://www.seco.admin.ch/themen/00513/00600/00614/00616/index.html?lang=en defines war material as follows: Weapons, weapons systems, munitions and military explosives; Equipment that has been specifically conceived or modified for use in combat or for the conduct of combat and which is not as a general rule used for civilian purposes. War material also includes individual components and assembly packages, which may also be partially processed, provided it is discernable that such components cannot be used in the same form for civilian purposes. The national control list (List of War Material; Annex 1 WMO) is based on the Wassenaar Arrangement Munitions List.
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
Due to the Customs Union Treaty between Liechtenstein and Switzerland, the export of arms is governed by Swiss legislation in Liechtenstein.
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

The State Secretariat for Economic Affairs SECO shall decide in consultation with the responsible offices of the Federal Department of Foreign Affairs. The decision of SECO shall also be taken in consultation with: the responsible offices of the Federal Department of Defence, Civil Protection and Sport in the case of security or procurement policy matters; the Federal Office for Energy in the case of nuclear related matters. The State Secretariat for Economic Affairs SECO shall consult the Federal Intelligence Service in the case of significant licensing proceedings. The offices involved shall decide which applications are of major significance to foreign policy or security policy in accordance with Article 29 paragraph 2 WMA and must therefore be submitted to the Federal Council (the Swiss Government) for decision. If the offices involved are unable to agree on the treatment of a request in terms of paragraphs 2 or 3, the application shall be submitted to the Federal Council for decision. The offices involved may in cases of minor significance or where there are precedents for the decision waive the requirement of a joint decision and authorize the State Secretariat for Economic Affairs SECO to take a decision alone (Art. 14 WMO).
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The licensing authority is the State Secretariat for Economic Affairs SECO (Art. 13 para. 1 WMO)
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
The import, export and transit of war material require a license from the Confederation (Art. 17 para. 1 WMA). An export of controlled items without an export license is illegal.
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
Import, export and transit licenses are limited in their duration. If exceptional circumstances require, they may be suspended or revoked (Art. 19 WMA).
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 ]

Records are maintained for a minimum of 30 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) No
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
10. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

Records are maintained for a minimum of 30 years
11. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model/ Type Yes
Importing State Yes
End-User Yes
Transit/ transshipment State(s) Yes
Other (specify below) No
12. Please provide any other information on export practices you would like to share.
The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a licence for export trade and for contracts under Article 20 WMA, the following is taken into account: the maintenance of peace, international security and regional stability; the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; the efforts made by Switzerland in the area of development cooperation; the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; the attitude of the countries which are participating with Switzerland in international export control regimes (Art. 5 para. 1 WMO). Licences shall not be granted for export trade and for contracts under Article 20 WMA if: the country of destination is involved in an internal or international armed conflict; the country of destination violates human rights in a systematic and serious manner; the country of destination is listed as one of the least developed countries on the current OECD-DAC list of countries in receipt of development aid; in the country of destination there is a high risk that the exported weapons will be used against the civilian population; or in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient (Art. 5 para. 2 WMO). In derogation from paragraphs 1 and 2, a licence may be granted for individual weapons in Category WM 1 of Annex 1 with the ammunition pertaining thereto, provided the weapons are used exclusively for private or sporting purposes (Art. 5 para. 3 WMO).
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
Due to the Customs Union Treaty between Liechtenstein and Switzerland, the import of arms is governed by Swiss legislation in Liechtenstein.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

As for the regulation of arms exports, the State Secretariat for Economic Affairs SECO is responsible for regulating arms imports. However, the import of firearms, their components or accessories, or their munitions or munitions components as well as explosives, pyrotechnic devices or propellant powder are regulated by the Federal Office of Police (Art. 17 para. 4 WMA).
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The most arms imports are licensed by the State Secretariat for Economic Affairs SECO.
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

The import, export and transit of war material require a licence from the Confederation (Art. 17 para. 1 WMA). An import of controlled items without an import licence is illegal. For the details of the authorization, please see the application for imports of war material (Attachment 2) which serves as import licence. Manufacturers who hold an initial licence may apply for a general import licence (GIL) for the import of individual parts, assembly packages or anonymous components of war material in terms of Article 18 paragraph 2 WMA, provided the parts concerned do not fall within the scope of application of the Weapons Act of 20 June 1997. An individual licence is required in every case for the temporary import of such war material with the ATA Carnet or in the procedure for temporary use. The licensing authority may at any time demand from the licensee information on the nature, quantity, customs clearance data and end use of goods that are or have been imported or transported in transit in terms of a GIL or GTL; the obligation to provide information expires ten years after customs clearance. The licensing authority shall refuse a GIL or a GTL if the natural person or legal entity or its management bodies in the two years prior to filing an application have been convicted with full legal effect of an offence under the WMA, the Goods Control Act of 13 December 1996 or the Weapons Act of 20 June 1997. It shall refuse a GIL if there are grounds for refusal under Article 24 WMA. The GIL or the GTL shall in such cases be refused for a period of one year; where there is justification, this period may be reduced to six months (Art. 9e WMO).
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
7. For how many years are records maintained?

[ Articles 12.2 and 12.4 ]

Records are maintained for a minimum of 30 years
8. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model / type Yes
Exporting State Yes
Transit / transshipment State(s) Yes
Other (please specify below) No
9. Please provide any other information on import practices you would like to share.
The import of war material shall be authorized if it is not contrary to international law or national interests (Art. 24 WMA).
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
There is no legal definition of transit in the War Material Act.
1a. Details / reference / web link / additional comments
Due to the Customs Union Treaty between Liechtenstein and Switzerland, the transit and transshipment of arms is governed by Swiss legislation in Liechtenstein.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

The State Secretariat for Economic Affairs SECO shall decide in consultation with the responsible offices of the Federal Department of Foreign Affairs. The decision of SECO shall also be taken in consultation with: the responsible offices of the Federal Department of Defence, Civil Protection and Sport in the case of security or procurement policy matters; the Federal Office for Energy in the case of nuclear related matters. The State Secretariat for Economic Affairs SECO shall consult the Federal Intelligence Service in the case of significant licensing proceedings. The offices involved shall decide which applications are of major significance to foreign policy or security policy in accordance with Article 29 paragraph 2 WMA and must therefore be submitted to the Federal Council (the Swiss Government) for decision. If the offices involved are unable to agree on the treatment of a request in terms of paragraphs 2 or 3, the application shall be submitted to the Federal Council for decision. The offices involved may in cases of minor significance or where there are precedents for the decision waive the requirement of a joint decision and authorize the State Secretariat for Economic Affairs SECO to take a decision alone (Art. 14 WMA).
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The licensing authority is the State Secretariat for Economic Affairs SECO (Art. 13 para. 1 WMO). The responsibility for transit in connection with overflight authorizations is attributed to the Federal Office of Civil Aviation (Art. 13 para. 2 WMO).
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

The import, export and transit of war material require a license from the Confederation (Art. 17 para. 1 WMA). A transit of controlled items without a transit license is illegal. For the details of the authorization, please see the application for transits of war material (Attachment 3) which serves as transit license. Holders of initial licenses and transport and haulage undertakings with a domicile or permanent establishment in Switzerland may apply for a general transit license (GTL) for the transit of war material to countries of final destination that are listed in Annex 2. The licensing authority may at any time demand from the licensee information on the nature, quantity, customs clearance data and end use of goods that are or have been imported or transported in transit in terms of a GIL or GTL; the obligation to provide information expires ten years after customs clearance. The licensing authority shall refuse a GIL or a GTL if the natural person or legal entity or its management bodies in the two years prior to filing an application have been convicted with full legal effect of an offence under the WMA, the Goods Control Act of 13 December 1996 or the Weapons Act of 20 June 1997. It shall refuse a GIL if there are grounds for refusal under Article 24 WMA. The GIL or the GTL shall in such cases be refused for a period of one year; where there is justification, this period may be reduced to six months (Art. 9e WMO).
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
6. For how many years are records maintained?

[ Article 12.4 ]

Records are maintained for a minimum of 30 years
7. What information do the records contain?

[ Article 12.3 ]

Quantity Yes
Value Yes
Model / Type Yes
Exporting State Yes
Importing State Yes
Transit / Transshipment Yes
End-User Yes
Other (please specify below) No
7a. Details / reference / web link / additional comments
8. Please provide any other information on transit and/or transshipment practices you would like to share.
The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: (a) the maintenance of peace, international security and regional stability; (b) the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; (c) the efforts made by Switzerland in the area of development cooperation; (d) the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; (e) the attitude of the countries which are participating with Switzerland in international export control regimes (Art. 5 para. 1 WMO). Licenses shall not be granted for export trade and for contracts under Article 20 WMA if: the country of destination is involved in an internal or international armed conflict; the country of destination violates human rights in a systematic and serious manner; the country of destination is listed as one of the least developed countries on the current OECD-DAC list of countries in receipt of development aid; in the country of destination there is a high risk that the exported weapons will be used against the civilian population; or in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient (Art. 5 para. 2 WMO). In derogation from paragraphs 1 and 2, a license may be granted for individual weapons in Category WM 1 of Annex 1 with the ammunition pertaining thereto, provided the weapons are used exclusively for private or sporting purposes (Art. 5 para. 3 WMO).
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
\"Brokerage” is: the creation of the essential requirements for the conclusion of contracts relating to the manufacture, offer, acquisition or passing on of war material, the transfer of intellectual property, including know-how, or the granting of rights thereto, insofar as they relate to war material; the conclusion of such contracts if this service is provided by third parties
1a. Details / reference / web link / additional comments
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

3. Which Ministry or agency leads this process?

[ Article 5.5 ]

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
Anyone who on Liechtenstein territory wishes to broker war material on a professional basis for recipients abroad, irrespective of the location of the war material requires an initial license. Anyone who on Liechtenstein territory wishes to broker war material for a recipient abroad, without operating his own production plant for the manufacture of war material in Liechtenstein, requires, in addition to an initial license, a specific license for each individual case. The Government may provide exceptions for certain countries. Anyone who acts as a professional broker for a recipient abroad in respect of firearms under the legislation on weapons, their components or accessories, or their munitions or munitions components shall receive a specific license only if he proves that he holds a corresponding license to trade arms under the legislation on weapons
5. Please provide any other information on brokering practices you would like to share.
The brokerage of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Liechtenstein foreign policy. In the granting of a license for brokerage, the following is taken into account: a. the maintenance of peace, international security and regional stability; b. the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; c. the efforts made by Liechtenstein in the area of development cooperation; d. the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; e. the attitude of the countries which are participating in international export control regimes. Licenses shall not be granted for brokerage if: (a) the country of destination is involved in an internal or international armed conflict; (b) the country of destination violates human rights in a systematic and serious manner; (c) the country of destination is listed as one of the least developed countries on the current OECD-DAC list of countries in receipt of development aid; (d) in the country of destination there is a high risk that the exported weapons will be used against the civilian population; or (e) in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient.
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
The granting of licenses is not permitted if enforcement measures in terms of the Embargo Act of 22 March 2002 have been ordered (Art. 25 WMA). It is prohibited to develop, produce, broker, acquire, transfer to anyone, import, export, carry in transit, or store nuclear, biological or chemical weapons (NBC weapons) or to possess them in any other way; to incite anyone to carry out an act mentioned in letter a above; to assist anyone to carry out an act mentioned in letter a above. The foregoing prohibition does not apply to acts that are intended to enable the destruction of NBC weapons by the agencies responsible therefor; or to provide protection against the effects of NBC weapons or to combat such effects. The prohibition also applies to acts carried out abroad, irrespective of the law at the place of commission, if the acts violate international law agreements to which Switzerland is a party; and the perpetrator is Swiss or is domiciled in Switzerland (Art. 7 WMA). It is prohibited to develop, produce, broker, acquire, transfer to anyone, import, export, carry in transit, or store nuclear, biological or chemical weapons (NBC weapons) or to possess them in any other way; to incite anyone to carry out an act mentioned in letter a above; to assist anyone to carry out an act mentioned in letter a above. The foregoing prohibition does not apply to acts that are intended to enable the destruction of NBC weapons by the agencies responsible therefor; or to provide protection against the effects of NBC weapons or to combat such effects. The prohibition also applies to acts carried out abroad, irrespective of the law at the place of commission, if the acts violate international law agreements to which Switzerland is a party; and the perpetrator is Swiss or is domiciled in Switzerland (Art. 7 WMA). It is prohibited to develop, produce, broker, acquire, transfer to anyone, import, export, carry in transit, or store anti-personnel mines or to possess them in any other way. Notwithstanding the general obligations under paragraph 1, the retention or transfer of a number of anti-personnel mines for the development of and training in mine detection, mine clearance, or mine destruction techniques is permitted. The amount of such mines shall not exceed the minimum number absolutely necessary for the above-mentioned purposes. Anti-personnel mines are explosive devices that are placed under, on, or near the ground or any other surface and which are conceived or modified so as to explode as a result of the presence, approach, or contact of a person, and which are intended to incapacitate, injure or kill one or more persons. Mines designed to be detonated by the presence, proximity or contact of a vehicle as opposed to a person that are equipped with anti-handling devices are not considered anti-personnel mines as a result of being so equipped. “Anti-handling device” means a device intended to protect a mine and which is part of, linked to, attached to or placed under the mine and which activates when an attempt is made to tamper with or otherwise intentionally disturb the mine (Art. 8 WMA). It is prohibited to develop, produce, broker, acquire, transfer to anyone, import, export, carry in transit, or store cluster munition or to possess the same in any other way; to incite anyone to carry out an act mentioned in letter a above; to assist anyone to carry out an act mentioned in letter a above. This also applies to explosive bomblets that are specifically intended to be dispersed or released by dispensers affixed to an aircraft. For the development of procedures for detecting, clearing, or destroying cluster munition and for training in such procedures, the retention or transfer of a quantity of cluster munition is permitted. The quantity of cluster munition retained shall not exceed the minimum quantity absolutely necessary for the above-mentioned purposes (Art. 8a WMA). The direct financing of the development, manufacture or acquisition of prohibited war material is itself prohibited. Direct financing within the meaning of this Act is the direct granting of credits, loans or gifts or comparable financial advantages in order to pay or advance costs and expenditures that are associated with the development, manufacture or acquisition of prohibited war material (Art. 8b WMA). The indirect financing of the development, manufacture or acquisition of prohibited war material is itself prohibited where the prohibition of direct financing is circumvented thereby. Indirect financing within the meaning of this Act is: participation in companies that develop, manufacture or acquire prohibited war material; the acquisition of debt securities or other investment products issued by such companies (Art. 8c WMA). The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: [...] (b) the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; [...] (d) the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; [...] (Art. 5 para. 1 WMO). Licenses shall not be granted for export trade and for contracts under Article 20 WMA if: (a) the country of destination is involved in an internal or international armed conflict; (b) the country of destination violates human rights in a systematic and serious manner; [...] d. in the country of destination there is a high risk that the exported weapons will be used against the civilian population; [...] (Art. 5 para. 2 WMO).
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

  • Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction
  • Convention on Cluster Munitions
  • Arms Trade Treaty
  • U.N. Firearms Protocol
  • OSCE arms control instruments
  • Hague Code of Conduct.
  • Protocol for the Prohibition of the Use of Asphyxiating, Poisonous or Other Gases, and of Bacteriological Methods of Warfare
  • Convention on the Prevention and Punishment of the Crime of Genocide
  • Convention (I) for the Amelioration of the Condition of the Wounded and Sick in Armed Forces in the Field
  • Convention (II) for the Amelioration of the Condition of Wounded, Sick and Shipwrecked Members of Armed Forces at Sea
  • Convention (III) relative to the Treatment of Prisoners of War
  • Convention (IV) relative to the Protection of Civilian Persons in Time of War
  • Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on their Destruction
  • Protocol (I) Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International Armed Conflicts
  • Protocol (II) Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of Non-International Armed Conflicts
  • 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
  • Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction
  • Rome Statute of the International Criminal Court
3. Please provide any other information on prohibitions you would like to share.
It is the understanding of Liechtenstein that the term “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 it is a party” in Article 6, paragraph 3, encompasses acts committed in international and in non-international armed conflict, and includes, among others, serious violations of Common Article 3 to the Geneva Conventions of 1949, as well as, for States Parties to the relevant agreements, war crimes as described in the Hague Convention IV of 1907 and its Regulations, the Additional Protocols of 1977 to the Geneva Conventions and the Rome Statute of the International Criminal Court of 1998. It is the understanding of Liechtenstein that the term “knowledge” in Article 6, paragraph 3, in light of the object and purpose of this Treaty and in accordance with its ordinary meaning, implies that the State Party concerned shall not authorize the transfer if it has reliable information that provide substantial grounds that the transfer would be used in the commission of the enlisted crimes.
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
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
The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: (a) the maintenance of peace, international security and regional stability; [...] (Art. 5 para. 1 WMO). Licenses shall not be grantedfor export trade and for contracts under Article 20 WMA if: (a) the country of destination is involved in an internal or international armed conflict; [...] (Art. 5 para. 2 WMO). The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: [...] (b) the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; [...] d. the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; [...] (Art. 5 para. 1 WMO). Licenses shall not be grantedfor export trade and for contracts under Article 20 WMA if: (a) the country of destination is involved in an internal or international armed conflict [...] (d) in the country of destination there is a high risk that the exported weapons will be used against the civilian population; [...] (Art. 5 para. 2 WMO).
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
The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: [...] (d) the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; [...] (Art. 5 para. 1 WMO). Licenses shall not be grantedfor export trade and for contracts under Article 20 WMA if: [...] (e) in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient (Art. 5 para. 2 WMO). The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a licence for export trade and for contracts under Article 20 WMA, the following is taken into account: [...] (b) the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; [...] (Art. 5 para. 1 WMO). The manufacture, brokerage, export and transit of war material for recipients abroad shall be authorized if this is not contrary to international law, international obligations, and the principles of Swiss foreign policy (Art. 22 WMA). In the granting of a license for export trade and for contracts under Article 20 WMA, the following is taken into account: [...] (c) the efforts made by Switzerland in the area of development cooperation; [...] (e) the attitude of the countries which are participating with Switzerland in international export control regimes (Art. 5 para. 1 WMO). Licenses shall not be granted for export trade and for contracts under Article 20 WMA if: [...] (c) the country of destination is listed as one of the least developed countries on the current OECD-DAC list of countries in receipt of development aid; [...] (Art. 5 para. 2 WMO).
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)? No
4a. Details / reference / web link / additional comments
5. Please provide any other information on risk assessment and/or mitigation practices you would like to share.
It is the understanding of Liechtenstein that the term “overriding risk” in Article 7, paragraph 3, entails, in light of the object and purpose of the ATT and in accordance with the ordinary meaning of all equally authentic language versions of this term in the ATT, an obligation not to authorize the export whenever the State Party concerned assesses the likelihood of any of the negative consequences set out in its paragraph 1 materializing as being higher than the likelihood of them not materializing, even when having considered the expected effect of any mitigating measures.
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
Licenses shall not be granted for export trade and for contracts under Article 20 WMA if: [...] in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient (Art. 5 para. 2 WMO). For a license to be granted for the export of finished products or for individual parts or assembly packages to a foreign government or an undertaking acting on behalf of a foreign government, a non-re-export declaration from the government of the country of destination is required. The requirement for a non-re-export declaration is waived if the case involves individual parts or assembly packages of negligible value. By issuing the non-re-export declaration, the country of destination undertakes not to export, sell, lend, or gift the war material authority or to transfer it in any other way to third parties abroad without the consent of the licensing authority. If there is an increased risk in the country of destination that the war material to be exported will be passed on to an undesirable end recipient, the licensing authority may stipulate that it has the right to verify compliance with the non-re-export declaration on site. In the case of export of substantial volume, a non-re-export declaration in the form of a diplomatic note from the country of destination is required. If there is evidence that the non-re-export declaration has been violated, the licensing authority may take precautionary measures. The Federal Department of Economic Affairs decides whether a license should be revoked (Art. 5a WMO).
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
Switzerland has taken several measures to deal with the recurrence of diversion. With regard to the most recent case, Switzerland has temporarily suspended all export licenses as well as the application procedures for exports authorization to the given country. Secondly, Switzerland has conducted a post-shipment verification of war material previously exported. In addition, Switzerland and the country of destination have established a joint enquiry commission with regard to the given case. Furthermore, the legally binding nature of the non-re-export declarations has been reinforced: they must be signed by a high level government representative and, depending of the circumstances of the concrete delivery (goods, value, recipient, etc.), reiterated in a diplomatic note. In addition, Switzerland and the country of destination established a bilateral export control dialog with the goal to exchange information about their specific export control systems and to sensitize each other for particular concerns.
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
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

The State Secretariat for Economic Affairs SECO carries out the controls. Controls at the border are the responsibility of the Federal Customs Administration (Art. 19 WMO). The Central Office for combating illegal activities in connection with war material participates in enforcement and in the prevention of offences and shall report violations of the provisions of the WMA to the competent prosecution authorities. Insofar as and for as long as its duties require, it is entitled to process personal data, including particularly sensitive personal data and personality profiles (Art. 30 WMA). The Office of the Attorney General is responsible for legal prosecutions.
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

The State Secretariat for Economic Affairs SECO carries out the controls (Art. 19 para. 1 WMO).
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

Whoever willfully commits any of the following acts is liable to a term of imprisonment or to a fine of up to 1 million francs: the manufacture, import, transit, export, trade in, or brokerage of war material, or the conclusion of contracts for the transfer of intellectual property including know-how relating to war material, or for the granting of rights thereto without the relevant license or in violation of the conditions or requirements stipulated in a license; the provision of incorrect or incomplete information in an application when such information is essential for the granting of a license or the use of such an application that has been completed by a third party; the failure to report war material for import, export or transit or the making of a incorrect declaration in respect of its import, export or transit; the delivery, transfer or brokerage of war material for a recipient or destination other than that named in the license; the transfer of intellectual property, including know-how, relating to war material, or the granting of rights thereto to a recipient or destination other than that named in the license; the participation in financial dealings relating to an illegal war material transaction or the procurement funding for such a transaction as an intermediary. In serious cases the penalty is penal servitude for up to ten years. This may be combined with a fine of up to 5 million francs. If the act is committed through negligence, the penalty is imprisonment for up to six months or a fine of up to 100 000 francs. In the case of unauthorized import or transit, an act committed abroad is also a criminal offense (Art. 33 WMA). Any person who willfully commits any of the following acts without being able to claim an exemption under Article 7 Paragraph 2 WMA is liable to a custodial sentence not exceeding ten years or to a monetary penalty: the development, manufacture, brokerage, acquisition, surrender to another, imports, export, transit, stockpiling, or any other form of possession of nuclear, biological or chemical weapons (NBC weapons); incitement to commit any of the acts listed above; or assisting in the commission of an act listed above. A custodial sentence may be combined with a monetary penalty. If the act is committed through negligence, the penalty is a custodial sentence not exceeding one year or a monetary penalty. An act committed abroad is an offense in terms of these provisions irrespective of the law of the place of commission if: it violates international law agreements to which Switzerland is a contracting party and the offender is Swiss or is domiciled in Switzerland. Article 7 paragraphs 4 and 5 of the Criminal Code apply also (Art. 34 WMA). Any person who willfully commits any of the following acts without being able to claim an exemption under Article 8 paragraph 2 WMA is liable to a custodial sentence not exceeding ten years or to a monetary penalty: the development, manufacture, brokerage, acquisition, surrender to another, import, export, transit, stockpiling, or any other form of possession of antipersonnel mines; incitement to commit any of the acts listed above a; or assisting in the commission of an act listed above. A custodial sentence may be combined with a monetary penalty. If the act is committed through negligence, the penalty is a custodial sentence not exceeding one year or a monetary penalty (Art. 35 WMA). Any person who willfully commits any of the following acts without being able to claim an exemption under Article 8a paragraph 3 WMA is liable to a custodial sentence not exceeding ten years or to a monetary penalty: the development, manufacture, brokerage, acquisition, surrender to another, import, export, transit, stockpiling, or any other form of possession of cluster munition; incitement to commit any of the acts listed above; or assisting in the commission of an act listed above. A custodial sentence may be combined with a monetary penalty. If the act is committed through negligence, the penalty is a custodial sentence not exceeding one year or a monetary penalty (Art. 35a WMA). Any person who willfully fails to comply with the prohibition of financing under Articles 8b or 8c WMA without being able to claim an exemption under Article 7 paragraph 2, Article 8 paragraph 2 or Article 8a paragraph 3 WMA is liable to a custodial sentence not exceeding five years or to a monetary penalty. A custodial sentence may be combined with a monetary penalty. A person who merely accepts the possibility of an offense against the prohibition of financing under Articles 8b or 8c WMA does not commit an offense (Art. 35b WMA). Any person who willfully commits any of the following acts is liable to a fine not exceeding 100,000 francs: the refusal to provide information, submit documents or permit access to business premises in terms of Articles 27 and 28 paragraph 1 WMA or provides false information in this connection; the violation in any other way of a provision of this Act or of an implementing regulation, the contravention of which is declared to be an offense, or the failure to comply with an order issued with notice of the applicability of the penalties in terms of this Article, unless the criminal conduct constitutes a different offense. Attempts and complicity are offenses. If the act is committed through negligence, the penalty is a fine of up to 40 000 francs. The right to prosecute prescribes after five years (Art. 36 WMA). In relation to offenses in commercial enterprises, Article 6 of the Federal Act of 22 March 1974 on Administrative Criminal Law applies (Art. 37 WMA). The court shall order the confiscation of the war material concerned, irrespective of the criminal liability of any person, if and to the extent that no guarantee of its lawful continued use is offered. The confiscated war material, together with any proceeds of sale, becomes the property of the Confederation subject to the reservation of the Federal Act of 19 March 2004 on the Division of Confiscated Assets (Art. 38 WMA). Confiscated assets or rights to compensation become the property of the Confederation subject to the reservation of the Federal Act of 19 March 2004 on the Division of Confiscated Assets (Art. 39 WMA). The prosecution and judgement of offences are subject to federal jurisdiction. The federal and cantonal licensing and control authorities, the cantonal and communal police and the customs authorities are obliged to report offenses against this Act that they detect or which come to their knowledge in the course of their duties to the Office of the Attorney General of Switzerland (Art. 40 WMA).
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 Yes
Actual arms exports Yes
Actual arms imports Yes
2a. Details / reference / web link / additional comments
3. Are there legal impediments to the reporting requirements under the ATT?

[ Article 13.3 ]

No
3a. Details / reference / web link / additional comments
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
5. Has your State designated a national contact point for the ATT?

[ Article 5.6 ]

No
5a. Details / reference / web link / additional comments
6. Please provide any other information on transparency practices you would like to share.
1. Is your State involved in cooperation measures that will help to implement the ATT?

[ Article 15.1 ]

No
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
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
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. No
3a. Details / reference / web link / additional comments
4. Is your State in a position to provide:

[ 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
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 ]

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.