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://www3.lrs.lt/pls/inter3/dokpaieska...
4a. Details / reference / web link / additional comments
Lithuanian control list is based on EU Common Military List: http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/uri=OJ:JOC_2014_107_R_0001&from=EN
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
Definitions are used as set out in the EU Common Military List which is primarily based on the definitions set by Wassenaar Arrangement and other export control regimes.
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

Ministry of Economy, Ministry of Foreign Affairs, Ministry of National Defense, Police Department under the Ministry of Interior, Customs Department under the Ministry of Finance, Lithuanian Weaponry Fund under the Ministry of Interior, Ministry of Transport, are the main ones.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economy and Police Department under the Ministry of Interior are licensing authorities depending on the goods in question.
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
National legislation sets the requirement to obtain a license prior to transaction. Licensing rules include the form of license application, which indicates the information to be submitted. Additional control is being executed at the border by Lithuanian Customs. They check the goods against the license and if any discrepancy is found, goods will be stopped for verification or investigation. In case Customs have suspicion that the goods crossing the border might belong to control lists, they will also be stopped for verification or investigation. Administrative or criminal liability could be invoked against the breach of the rules set out for the exports of strategic goods.
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
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 ]

For firearms and ammunition - 20 years; for strategic goods - the Law on Strategic goods sets out that not less than 5 years, unless it is otherwise entrenched in other laws or international treaties (in practice - 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, importer, consignee, state of origin, declaration on the end-use, exact address of the final destination, rout of shipment, type of shipment and the Lithuanian state border crossing point (if applicable), etc.
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 ]

For firearms and ammunition – 20 years; for strategic goods – the Law on Strategic goods sets out that not less than 5 year, unless it is otherwise entrenched in other laws or international treaties (in practice – minimum 10 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) Yes
Exporter, importer, consignee, state of origin, declaration on the end-use, exact address of the final destination, rout of shipment, type of shipment and the Lithuanian state border crossing point (if applicable), etc.
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
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

Ministry of Economy, Ministry of Foreign Affairs, Ministry of National Defense, Ministry of Transport, Police Department under the Ministry of Interior. Customs Department under the Ministry of Finance, Lithuanian Weaponry Fund under the Ministry of Interior are the main ones.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economy and Police Department under the Ministry of Interior are licensing authorities depending on the goods in question.
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

National legislation sets out the requirement to obtain a license prior to transaction. It also includes the form of license application, which indicates the information to be submitted. Additional control is being executed at the border by Lithuanian Customs. They check the goods against the license and if any discrepancy is found, goods will be stopped for verification or investigation. In case Customs have suspicion that the goods crossing the border might belong to control lists, they will also be stopped for verification or investigation. Administrative or criminal liability could be invoked against the breach of the rules set out for the imports of strategic goods and firearms and their ammunition.
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
All laws and regulations on getting the license are available on the internet, main laws and regulations are also published in English:
  1. Law on Control of Strategic goods: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=451914
  2. Resolution of the Government on the Approval of the Licensing Rules for Export, Import, Transit and Brokering of Strategic Goods and the Rules on the Implementation of Control of Strategic Goods: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=446708&p_tr2=2
  3. Law on Control of Weapons and Ammunition: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=365738
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 ]

For firearms and ammunition – 20 years; for strategic goods – the Law on Strategic goods sets out that not less than 5 year, unless it is otherwise entrenched in other laws or international treaties (in practice – minimum 10 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.
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 of military equipment shall mean a transport of military equipment entering from the territory of a third country and passing through the territory of the Republic of Lithuania to the territory of another third country. Transshipment is not defined as it falls within the category of transit.
1a. Details / reference / web link / additional comments
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

Ministry of Economy, Ministry of Foreign Affairs, Ministry of National Defense, Ministry of Transport, Police Department under the Ministry of Interior. Customs Department under the Ministry of Finance, Lithuanian Weaponry Fund under the Ministry of Interior are the main ones.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economy, Ministry of National Defense, Police Department, depending on the goods in question and the end-user
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

National legislation sets out the requirement to obtain a license or permission prior to transaction. It also includes the form of license application, which indicates the information to be submitted. Additional control is being executed at the border by Lithuanian Customs. They check the goods against the license and if any discrepancy is found, goods will be stopped for verification or investigation. In case Customs have suspicion that the goods crossing the border might belong to control lists, they will also be stopped for verification or investigation. Administrative or criminal liability could be invoked against the breach of the rules set out for the transit of strategic goods and firearms and their ammunition.
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 ]

For firearms and ammunition – 20 years; for strategic goods – the Law on Strategic goods sets out that not less than 5 year, unless it is otherwise entrenched in other laws or international treaties (in practice – minimum 10 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.
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
Brokering shall mean the negotiation and arrangement and execution of the transactions by the legal persons registered in the Republic of Lithuania and by branches of foreign legal persons and other organisations or natural persons permanently resident in the Republic of Lithuania for the transfer of military equipment outside the territory of the Republic of Lithuania, the territory of another Member State of the European Union or a third country to any other third country. In terms of regulation of the control of dual-use items, brokering shall be interpreted as defined by Regulation (EC) No 428/2009.
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 ]

Ministry of Economy, Ministry of Foreign Affairs, Ministry of National Defense, Ministry of Transport, Police Department under the Ministry of Interior. Customs Department under the Ministry of Finance, Lithuanian Weaponry Fund under the Ministry of Interior are the main ones.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Economy and Police Department under the Ministry of Interior are licensing authorities depending on the goods in question.
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
National legislation sets out the requirement to obtain a license or permission prior to transaction. It also includes the form of license application, which indicates the information to be submitted. Administrative or criminal liability could be invoked against the breach of the rules.
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 ]

Lithuania is a party to all major treaties and international agreements relevant for effective implementation of ATT. Lithuania is a party to all four Geneva Conventions, to all three Additional Protocols, and to the Rome Statute.
3. Please provide any other information on prohibitions you would like to share.
Lithuanian Law on Control of Strategic Goods sets out that the license shall not be issued in case there is an effective court judgment and unspent or un-expunged conviction in respect of the crimes against humanity and war crimes <…> as committed by the exporter, importer, supplier, recipient or broker.
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
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
Acts of gender based violence are handled in the context of international human rights law. Lithuania also considers Criteria set out in the EU Common Position 944/2008/CFSP, which inter alia include national security of EU Member States, allied and friendly countries (5) economic capacity of a recipient country (8), etc.
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
Prior assurances and confirmation of end-user‘s obligations from the competent authorities of importing State, consultations with national embassies in the countries of destination.
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.
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
Prior assurances and confirmation of end-user‘s obligations from the competent authorities of importing State, which in most cases must include the obligation not to re-export goods to third country and/or not to divert them to another user without prior authorization of Lithuanian competent authorities; additional guaranties from the end-user country, consultations with national missions in the countries of destination, consultations with partners; denial of licence.
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
Revocation of issued licenses, taking established diversion risk into account in the assessment of future transfers.
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
General information.
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

Customs Department, Police Department
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

Customs Department
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

Fines, criminal proceedings, revocation or suspension of licenses granted, denials of issuing licenses in the future.
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
Lithuania presents national annual report according to the EU Common Position 944/2008 and it is being incorporated into the annual EU report on licenses granted. Lithuania also presents national annual reports according to the requirements of regional or other international agreements.  
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 ]

5a. Details / reference / web link / additional comments
The official appointment via Government resolution is under consideration. Ministry of Foreign Affairs shall be appointed as institution for information exchange as regards the implementation of the ATT
6. Please provide any other information on transparency practices you would like to share.
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
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. Yes
3a. Details / reference / web link / additional comments
4. Is your State in a position to provide:

[ Article 16.1 ]

Legal assistance Do not know
Legislative assistance, including model legislation Yes
Assistance for institution building Yes
Technical assistance Yes
Financial assistance Do not know
Material assistance Do not know
Stockpile management assistance Do not know
Disarmament, demobilization, or reintegration assistance Do not know
Assistance with effective practices for implementation Yes
Other (please specify below) Yes
Legal, financial, material, stockpile management, and disarmament, demobilization, or reintegration assistance depends on the assistance needed and has to be evaluated on a case by case basis.
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 ]

Lithuania participates in the relevant EU programs. In the past Lithuania has provided national assistance in areas such as institution building, legislation, technical assistance and effective practices for implementation (customs operations and enforcement).
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 ]

Lithuania has benefited largely from bilateral assistance from a number of countries in building up national export control system.
1. Has your State already signed the Arms Trade Treaty?
Yes
2. Has your State already ratified the Arms Trade Treaty?
No
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?
Yes
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.
The draft Law on Ratification of the Arms Trade Treaty is currently considered in the Parliament of Lithuania (last stages of the proceedings). The Law on Ratification of the Treaty is expected to be adopted in 2014.