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
4a. Details / reference / web link / additional comments
Through a list that is presented to the South African Parliament.
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
Wassenaar Arrangement
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
The National Conventional Arms Control (NCAC), Act 2002 (Act No 4 of 2002) as amended by the The National Arms Control Amendment Act 2008 (Act No 73 of 2008). The National Conventional Arms Control Regulation, Notice No R 637 of 28 May 2004. The Firearms Control Act, No 60 OF 2000 as amended and its supporting notices and regulations.
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

The Chairperson of the NCACC in conjunction with the Minister of Defence and Military Veterans is responsible for the administration of the various Acts related to the NCAC Act. The NCAC Act stresses the need for an evaluation process that is transparent, consistent and which is based on set criteria. The Scrutiny Committee (SC) is set to achieve the objectives as set above and meets once a month to consider applications pertaining to controlled items (Import, Exports, etc.) The SC is made up of representatives from Government Departments, as follows: Defence and Military Veterans; International Relations and Cooperation; Science and Technology; South African Police Service; the State Security Agency and Trade and Industry. The SC provides their recommendations to the NCACC, for consideration and approval.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The NCACC leads the process. The Directorate for Conventional Arms Control (DCAC) serves as a Secretariat of the NCACC and performs the work incidental to and as directed by the NCACC or its sub-committees. The DCAC is currently based within the Department of Defence and Military Veterans. The DCAC amongst others, registers and processes and issues all permits that are authorised by the NCACC
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
See above re the DCAC\'s areas of responsibility. In terms of the NCAC Act, any person intending to trade in controlled items or activities related thereto, must first successfully register with the NCAC Secretariat, i.e. by completing and submitting the prescribed registration application form, which is obtainable from the Secretariat. The registration process is only complete once the Secretariat confirms the registration and issues a Registration Certificate (RC) with a unique reference number. Once an RC is issued, the holder may thereafter apply for further permits.
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
In the process of approval, before a permit for export is issued. The permit is sent for assessment to the review departments prior to being released. This ensures that should there be new, relevant information presented to the DCAC through this review process, the Export permit will then not be released, until all remedies have been exhausted.
6. Does your State maintain records of arms export authorizations?

[ Article 12.1 ]

Yes
6a. Details / reference / web link / additional comments
According to the NCAC Act, a record of controlled items processed must be kept for a minimum of 5 years. Furthermore, the National Archives of South Africa Act, 1996 stresses that all government records must be kept for a minimum period of 20 years.
7. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

20
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
See above
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 ]

20
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
See above
12. Please provide any other information on export practices you would like to share.
See above
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
The National Conventional Arms Control (NCAC), Act 2002 (Act No 4 of 2002) as amended by the The National Arms Control Amendment Act 2008 (Act No 73 of 2008). The National Conventional Arms Control Regulation, Notice No R 637 of 28 May 2004.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

The Chairperson of the NCACC in conjunction with the Minister of Defence and Military Veterans is responsible for the administration of the various Acts related to the NCAC Act. The NCAC Act stresses the need for an evaluation process that is transparent, consistent and which is based on set criteria. The Scrutiny Committee (SC) is set to achieve the objectives as set above and meets once a month to consider applications pertaining to controlled items (Import, Exports, etc.) The SC is made up of representatives from Government Departments, as follows: Defence and Military Veterans; International Relations and Cooperation; Science and Technology; South African Police Service; the State Security Agency and Trade and Industry. The SC provides their recommendations to the NCACC, for consideration and approval.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The NCACC leads the process. The Directorate for Conventional Arms Control (DCAC) serves as a Secretariat of the NCACC and performs the work incidental to and as directed by the NCACC or its sub-committees. The DCAC is currently based within the Department of Defence and Military Veterans. The DCAC amongst others, registers and processes and issues all permits that are authorised by the NCACC
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

In terms of the NCAC Act, any person intending to trade in controlled items or activities related thereto, must first successfully register with the NCAC Secretariat, i.e. by completing and submitting the prescribed registration application form, which is obtainable from the Secretariat. The registration process is only complete once the Secretariat confirms the registration and issues a Registration Certificate (RC) with a unique reference number. Once an RC is issued, the holder may thereafter apply for further permits.
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
If requested through official channels the information will be provided.
6. Does your State maintain records of arms imports?

[ Article 12.2 ]

Yes
6a. Details / reference / web link / additional comments
According the the NCAC Act record must be kept for a minimum of 5 years. Furthermore, the National Archives of South Africa Act, 1996 stresses that all government records must be kept for a minimum period of 20 years.
7. For how many years are records maintained?

[ Articles 12.2 and 12.4 ]

20
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
As above
9. Please provide any other information on import practices you would like to share.
As above
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
A conveyance permit is required to enable the holder of an armaments development and manufacturing permit to convey controlled items owned by a person residing in a foreign country through or over the territory of the Republic of South Africa. Such an application must include a diplomatic note from the government of the country who owns the controlled items that are to be conveyed through the Republic requesting authorization for such conveyance.
1a. Details / reference / web link / additional comments
In South Africa, Transit/Transhipment is referred to as a Conveyance and this is highlighted in the NCAC Act
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

The Chairperson of the NCACC in conjunction with the Minister of Defence and Military Veterans is responsible for the administration of the various Acts related to the NCAC Act. The NCAC Act stresses the need for an evaluation process that is transparent, consistent and which is based on set criteria. The Scrutiny Committee (SC) is set to achieve the objectives as set above and meets once a month to consider applications pertaining to controlled items (Import, Exports, etc.) The SC is made up of representatives from Government Departments, as follows: Defence and Military Veterans; International Relations and Cooperation; Science and Technology; South African Police Service; the State Security Agency and Trade and Industry. The SC provides their recommendations to the NCACC, for consideration and approval.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The NCACC leads the process. The Directorate for Conventional Arms Control (DCAC) serves as a Secretariat of the NCACC and performs the work incidental to and as directed by the NCACC or its sub-committees. The DCAC is currently based within the Department of Defence and Military Veterans. The DCAC amongst others, registers and processes and issues all permits that are authorised by the NCACC
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

Please see question above
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 ]

20
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
South Africa\'s approach is to manage the trade in controlled items (arms) in all the various aspects, through a legitimate, transparent process. This allows for legitimate trade but implement measures that would prevent the diversion of controlled items to non-authorised persons and entities. South Africa\'s controls, depending on the sensitivity of the controlled items aim to include the following controls: Provision of (brokering) services, i.e.
  • acting as an agent in negotiating or arranging of a contract, purchase, sale or transfer of controlled items for a commission, advantage or cause, whether financially or otherwise
  • acting as an agent in negotiating or arranging a contract for the provision of services for a commission, advantage or cause, whether financially or otherwise.
1a. Details / reference / web link / additional comments
The National Conventional Arms Control (NCAC), Act 2002 (Act No 4 of 2002) as amended by the The National Arms Control Amendment Act 2008 (Act No 73 of 2008). The National Conventional Arms Control Regulation, Notice No R 637 of 28 May 2004. The Firearms Control Act, No 60 OF 2000 as amended and its supporting notices and regulations.
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

The Chairperson of the NCACC in conjunction with the Minister of Defence and Military Veterans is responsible for the administration of the various Acts related to the NCAC Act. The NCAC Act stresses the need for an evaluation process that is transparent, consistent and which is based on set criteria. The Scrutiny Committee (SC) is set to achieve the objectives as set above and meets once a month to consider applications pertaining to controlled items (Import, Exports, etc.) The SC is made up of representatives from Government Departments, as follows: Defence and Military Veterans; International Relations and Cooperation; Science and Technology; South African Police Service; the State Security Agency and Trade and Industry.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The NCACC leads the process. The Directorate for Conventional Arms Control (DCAC) serves as a Secretariat of the NCACC and performs the work incidental to and as directed by the NCACC or its sub-committees. The DCAC is currently based within the Department of Defence and Military Veterans. The DCAC amongst others, registers and processes and issues all permits that are authorised by the NCACC
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
As mentioned above
5. Please provide any other information on brokering practices you would like to share.
As mentioned above
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 first criteria in Section 15 of the NCACA, is to assess whether the envisaged transfer involves a country which is under the United Nations Security Council Resolution (UNSCR) which includes an arms embargo. Should this be the case the NCACC will not authorize the transaction during the subsistence of such an arms embargo
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

Note: only concentrating on the Conventional Arms mileau:
  • The 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 and its annexed Protocols (CCW).
  • The Convention on Cluster Munitions
  • Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction.
  • Montreal Convention on the Marking of Plastic Explosives for the Purpose of Identification.
  • The Arms Trade Treaty
  • The Wassenaar Arrangement
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
The Scrutiny Committee (SC) representing key government departments meets once a month to review all applications (import/export), in accordance with set criteria as prescribed by the Act and its attendant Regulations. This meeting is Chaired by the Secretary for Defence, supported by the National Conventional Arms Control Committee Secretariat, (DCAC). The recommendations of the SC are presented to the NCACC, for its consideration and approval. The NCACC also meet once a month, after the SC has met.
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) No
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
Review Departments which are part of the SC, assess each application on its merits as per criteria set in the Act. Each review departments, has a mandate according to its strategic objectives. The assessments are disparate, but are used to compile the risk. A comprehensive profile of risk is appreciated and conclusion arrived at. Should this not be the case the application is kept in abeyance in order to conduct further investigations.
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
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
Upon official request action will be undertaken.
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
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
On official request
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

The NCACA, provides for the establishment of an Inspectorate and Audit Unit. The Inspectorate conducts inspections and investigations on Entities that are registered with the NCACC. Violations that are discovered are then reported to the South African Police Services (SAPS), to conduct further investigations in line with its national jurisdiction and founding legislation. Should these investigations conducted by the SAPS conclude, the dossier is referred to the National Prosecution Authority (NPA).
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

Depending on various challenges. However, as a rule the SAPS will be notified to investigate further, after the Inspectorate has conducted its initial report, with an eye on securing a prosecution. This is done in accordance with the Criminal Procedures Act. The NCAC Inspectorate\'s responsibility is to ensure that the trade in and possession of controlled items is conducted in compliance with the NCAC Act and that the internal regulatory procession of the NCACC are complied with. It should be noted that the Inspectorate is accountable to the NCACC only.
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

As above
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
The NCACC Secretariat provides an annual report which is presented to the South African parliament. Further to this South Africa provides consistent information to the Wassenaar Arrangement as well as an annual report to the UN Register.
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.
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]
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
South Africa has some active NGOs and Non-Profit Companies that have indicated their willingness to assist other African countries re legislation development and Disarmament training/education with emphasis on the ATT. It should be noted that South Africa has a great deal of practical experience re Arms Control and is able to impart knowledge bearing in mind financial and capacity constraints.
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
Please note, South Africa has the practical experience but capital is limited. However, there are some NGOs in the country that can assist from an African perspective.
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 ]

In South Africa, the legislative implementation of the ATT legislatively will lie with State Organs. However, there is an active NGOs and Non-Profit Companies culture. This would accordingly be used to strengthen implementation as some of these NGOs have indicated their willingness to assist other African countries re: legislation development and Disarmament training/education with emphasis on the ATT. It should be noted that South Africa has a great deal of practical experience re Arms Control and is able to impart knowledge bearing in mind financial and capacity constraints
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.
Treaty has been ratified by the South African Parliament in 2014.