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://dre.pt/pdf1sdip/2014/05/09000/027...
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
Common Military List of the European Union
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
http://www.portugal.gov.pt/pt/os-ministerios/ministerio-da-defesa-nacional/quero-saber-mais/sobre-o-ministerio/tranferencias-intracomunitarias-bens-e-tecnologias-militares/transmissao-e-circulacao-de-produtos-de-defesa.aspx (for military goods and technologies - information both in Portuguese and English) http://www.psp.pt/Pages/armasexplosivos/ArmasMunicoes.aspx?menu=4&submenu=2 (for firearms for sporting and hunting purposes - website in Portuguese only)
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

Ministry of Defense for military goods and technologies, Ministry of Interior for firearms for sporting and hunting purposes, Ministry of Foreign Affairs for risk assessment, Ministry of Finance for customs procedures
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Defense / Ministry of Interior
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
Companies and individuals that have been authorized to engage in the activity of trade and industry of military goods and technologies must obtain an authorization prior to the export of military goods and technology. The application for an export authorization is assessed according the criteria of the EU Common Position 2008/944/CFSP, which include IHL/HR issues, sanctions, internal or regional conflicts, etc. The end-user certificate is always double checked by the MFA and the licensing authority (either the Ministry of Defence or the Ministry of Interior - Police).
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 ]

15 years minimum
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
License use documentation, including invoices, transport documentation, delivery verification, and other post-transfer control
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 ]

15 years minmum
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
License use documentation
12. Please provide any other information on export practices you would like to share.
License use documentation, including invoices, transport documentation, delivery verification certificates and other post-transfer control.
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
http://www.portugal.gov.pt/pt/os-ministerios/ministerio-da-defesa-nacional/quero-saber-mais/sobre-o-ministerio/tranferencias-intracomunitarias-bens-e-tecnologias-militares/transmissao-e-circulacao-de-produtos-de-defesa.aspx (for military goods and technologies - information both in Portuguese and English) http://www.psp.pt/Pages/armasexplosivos/ArmasMunicoes.aspx?menu=4&submenu=2 (for firearms for sporting and hunting purposes - website in Portuguese only)
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

Ministry of Defence for military goods and technologies, Ministry of Interior for firearms for sporting and hunting purposes, Ministry of Finance for customs procedures
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Defence / Ministry of Interior
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

Companies and individuals that have been authorized to engage in the activity of trade and industry of military goods and technologies must obtain an authorization prior to the import of military goods and technology. The application for import authorization is assessed based on public safety and security.
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 ]

15 years minimum
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) Yes
End user/end use
9. Please provide any other information on import practices you would like to share.
Portugal confirms \\\\\\\"de facto\\\\\\\" import of the authorized goods or technologies by checking invoices, transport documentation, delivery verification certificates and other post-transfer control. If needed, with the help of diplomatic staff.
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
The passage through Portugal of military goods and technologies that have as declared destinations other countries http://www.portugal.gov.pt/pt/os-ministerios/ministerio-da-defesa-nacional/quero-saber-mais/sobre-o-ministerio/tranferencias-intracomunitarias-bens-e-tecnologias-militares/transmissao-e-circulacao-de-produtos-de-defesa.aspx (for military goods and technologies - information both in Portuguese and English) http://www.psp.pt/Pages/armasexplosivos/ArmasMunicoes.aspx?menu=4&submenu=2 (for firearms for sporting and hunting purposes - website in Portuguese only)
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 Defence for military goods and technologies, Ministry of Interior for firearms for sporting and hunting purposes, Ministry of Foreign Affairs for risk assessment, Ministry of Finance for customs procedures
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Defence for military goods and technologies, Ministry of Interior for firearms for sporting and hunting purposes
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

Economic operators wishing to transit defense related products through Portugal must obtain a prior authorization. The application for a transit authorization is assessed according to the criteria of the EU Common Position 2008/944/CFSP, which include IHL/HR issues, sanctions, internal or regional conflicts etc. The end-user certificate and import and export authorizations issued by the origin and the destination countries are double checked by the MFA and the licensing authority (either the Ministry of Defence or the Ministry of Interior - Police).
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 ]

15 years minimum
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
The activities other than exports to, imports from or transit through Portugal, that consist on the negotiation or organization of transactions that may involve the sale, acquisition or transfer of military goods and technologies from a third country to another third country, promoted by individuals or companies, nationals or foreigners, in the Portuguese territory, as well as those activities promoted in a third country by nationals or companies based in Portugal.  
1a. Details / reference / web link / additional comments
http://www.portugal.gov.pt/pt/os-ministerios/ministerio-da-defesa-nacional/quero-saber-mais/sobre-o-ministerio/tranferencias-intracomunitarias-bens-e-tecnologias-militares/transmissao-e-circulacao-de-produtos-de-defesa.aspx
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

Ministry of Defence for military goods and technologies, Ministry of Foreign Affairs for risk assessment
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Defence
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
Companies and individuals that have been authorized to engage in the activity of trade and industry of military goods and technology must obtain an authorization prior to engaging in brokering. The application for a brokering authorization is assessed according to the criteria of the EU Common Position 2008/944/CFSP, which include IHL/HR issues, sanctions, internal or regional conflicts etc. A copy of end-user certificate, import or export license, and any other documentation that may be necessary on a case by case analysis, are always double checked by the MFA and the MOD.
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 ]

Portugal is Party to all major Treaties and Regimes relating to the transfer of, or illicit trafficking in, conventional arms. Portugal is Party to all major Treaties and Regimes relating to 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.
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
1a. Details / reference / web link / additional comments
A risk assessment is made by checking the export against the criteria of the EU Common Position 2008/944/CFSP, which include IHL/HRL issues, sanctions, internal or regional conflicts etc. A copy of end-user certificate, and any other documentation that may be necessary on a case by case analysis, are always double checked by the MFA and the MOD.
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
Criteria of EU Common Position 2008/944/CFSP such as national security of EU-MS (5) economic capacity of a recipient country (8). Exports are also checked against foreign policy interests of Portugal.
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
It is not mandatory to do so, according to national legislation. Portugal may request the advice of our diplomatic staff abroad, or the involvement of import control authorities in the transit and destination country.
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.
Portugal may request the advice of our diplomatic staff abroad, or the involvement of import control authorities in the transit and destination country. Portugal takes part in export control regimes and information exchange mechanisms.
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
The identity and aptitude of importers can be checked and the involvement of import control authorities from the import country. In addition, all individuals and companies ought to be certified by the licensing authority in order to engage in the trade and industry of military goods and technology, thus providing further assurances on the exporters’ aptitude and credibility.
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
Criminal prosecution
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
Upon request
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

Ministry of Defence for military goods and technologies, Ministry of Interior for firearms for sporting and hunting purposes, Ministry of Foreign Affairs for risk assessment, Ministry of Finance for customs procedures
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

Ministry of Defence / Ministry of Interior
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

Besides the usual measures concerning the implementation of any legal act (including the application of fines and criminal procedures when necessary), relevant Ministries also undertake to promote regular outreach activities to industry. Inter-ministerial cooperation and coordination is also fostered.
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 ]

Yes
5a. Details / reference / web link / additional comments
6. Please provide any other information on transparency practices you would like to share.
Portugal annually makes public its annual report on imports and exports of military goods and technologies (here), including information on transit and brokering. Portuguese exports are also included in the EU Annual Report of military technology and equipment. In addition, Portugal participates in the UN Register of Conventional Arms and the UN Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, as well as in other multilateral transparency mechanisms (including OSCE mechanisms and the Wassenaar Arrangment). Portugal complies with transparency obligations stemming from all disarmament conventions of which it is Party to.
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 Yes
Legislative assistance, including model legislation Yes
Assistance for institution building Yes
Technical assistance Yes
Financial assistance No
Material assistance Yes
Stockpile management assistance Yes
Disarmament, demobilization, or reintegration assistance Yes
Assistance with effective practices for implementation Yes
Other (please specify below) No
All available assistance depends on the availability of funds and experts
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 ]

Portugal has been involved in the relevant EU programs supporting the negotiation of an Arms Trade Treaty, as well as its implementation. Portuguese experts have participated regularly in EU outreach activities, the goal of which is to enhance arms export control systems.
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?
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.