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

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

Export Yes
Import No
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 No
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
https://www.gov.uk/government/publicatio...
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
Definitions are contained within the legislation, based primarily on the Wassenaar Arrangement Munitions List. In some cases we have used the descriptions in the UN Register; other items may be defined according to national policy and practice.
1. Is the control of arms exports established in national legislation?

[ Article 5.5 ]

Yes
1a. Details / reference / web link / additional comments
The Export Control Act 2002 is the primary legislation relating to arms exports. Detailed implementing measures are set out in the Export Control Order 2008 as last amended by the Export Control (Amendment) (No. 2) Order 2014. All UK legislation is available at www.legislation.gov.uk
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business, Innovation and Skills (BIS)
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business, Innovation and Skills (BIS)
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
Individual and global licenses are only issued after careful assessment of an application submitted by or on behalf of the exporter. The licenses contain details of the exporter; the goods to be exported; consignee and end-user; and any conditions relating to the export. All general licenses are issued by the ECO. Unlicensed export is a criminal offense. The license assessment system allows requests for information when details are missing from applications.
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
Any license may be amended, suspended or revoked.
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 ]

In general records of export licence applications and export licences are kept for a period of 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) No
8a. Details / reference / web link / additional comments
9. Does your State maintain records of actual arms exports?

[ Article 12.1 ]

No
9a. Details / reference / web link / additional comments
10. For how many years are records maintained?

[ Articles 12.1 and 12.4 ]

11. What information do the records contain?

[ Article 12.3 ]

Quantity No
Value No
Model/ Type No
Importing State No
End-User No
Transit/ transshipment State(s) No
Other (specify below) No
12. Please provide any other information on export practices you would like to share.
We do not, in general, maintain records of actual arms exports. We may hold records of actual exports made against certain licenses but these are not comprehensive records of all arms exports. In particular, we do not hold records of exports made under global or general licenses.
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

No
1a. Details / reference / web link / additional comments
There is no general restriction or prohibition on import of military goods. There are specific restrictions relating to firearms and to certain items subject to international agreements e.g anti-personnel landmines, cluster munitions, chemical weapons, etc. These measures are contained in a number of pieces of separate legislation.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

As noted above there is no general restriction on import of military goods. Licensing of firearms imports is the responsibility of the Import Licensing Branch of the Department for Business, Innovation and Skills (BIS).
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Import Licensing Branch of the Department for Business, Innovation and Skills (BIS).
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

Relevant legislation sets out the circumstances in which an import license is required. Customs checks on goods imported to the UK ensure these requirements are met.
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 ]

No
5a. Details / reference / web link / additional comments
Any state may request information through diplomatic channels but there is no specific mechanism in place.
6. Does your State maintain records of arms imports?

[ Article 12.2 ]

No
6a. Details / reference / web link / additional comments
Only records of firearms and the other items described in question 1 of this section.
7. For how many years are records maintained?

[ Articles 12.2 and 12.4 ]

8. What information do the records contain?

[ Article 12.3 ]

Quantity No
Value No
Model / type No
Exporting State No
Transit / transshipment State(s) No
Other (please specify below) No
As noted, we do not maintain comprehensive records of arms imports. Some of the information referred to above will be available for some items, but it may not all be held in one place.
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 or transshipment”, in relation to goods, means transit through the United Kingdom or transshipment with a view to re-exportation of the goods or transshipment of the goods for use as stores.
1a. Details / reference / web link / additional comments
The Export Control Order 2008
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

Article 17 of the Export Control Order 2008 sets out the circumstances in which a transit/transshipment license is required. Customs checks on goods passing through the UK ensure these requirements are met.
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 ]

In general records of transit/transshipment licences are held for 10 years. However we do not maintain records of transits that are exempt from the licensing requirement (see question 8 of this section).
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 No
End-User Yes
Other (please specify below) No
7a. Details / reference / web link / additional comments
In the case of maintaining records of arms that are authorized to transit and/or transship territory, the UK is the transit state. It is unlikely we would have knowledge of other transit states.
8. Please provide any other information on transit and/or transshipment practices you would like to share.
As a matter of policy, and based on an assessment of risk and proportionality, the UK exempts transit/transshipment of most military goods from control provided certain conditions can be met. However we do control transit of all military goods to destinations subject to UN, OSCE, EU or national arms embargo, and the transit of more sensitive goods (including those specified in the ATT) to a number of higher risk destinations.
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
There is no definition as such. The range of activities subject to control depends on the nature of the goods and the destination, as set out in articles 20 to 23 of the Export Control Order 2008.
1a. Details / reference / web link / additional comments
The Export Control Order 2008 as last amended by the Export Control (Amendment) (No. 2) Order 2014.
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

The Export Control Organisation (ECO) within the Department for Business
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
The Export Control Order 2008 sets out the circumstances in which brokering is subject to control. Her Majesty’s Revenue and Customs are responsible for enforcing those controls.
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
Export Control Order 2008 - (Schedule 4 Part 3), Schedule 4 - Countries and Destinations subject to stricter export and trade controls
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

  • Nuclear Non-Proliferation Treaty
  • Biological and Toxin Weapons Convention
  • Chemical Weapons Convention
  • United Nations Convention on Certain Conventional Weapons
  • the Convention on Cluster Munitions (the Oslo Convention)
  • the Cluster Munitions (Prohibitions) Act 2010
  • Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction (the Ottawa Convention)
  • Land Mines Act 1998
  • The UK\\\\\\\\\\\\\\\'s commitments in the framework of the Australia Group
  • Missile Technology Control Regime
  • The Zangger Committee
  • The Nuclear Suppliers Group
  • The Wassenaar Arrangement
  • The Hague Code of Conduct against Ballistic Missile Proliferation
  • The OSCE Principles Governing Conventional Arms Transfers
  • European Union Common Position 2008/944/CFSP defining common rules governing control of exports of military technology and equipment.
  • The UK signed the Arms Trade Treaty (ATT) on 3 June 2013 and ratified on 2 April 2014. The UK chose to provisionally apply articles 6 and 7 upon ratification.
  • Geneva Conventions (1949) plus their three additional protocols (1977, 1977, 2005)
  • Rome Statute (1998)
Further detail: http://www.parliament.uk/documents/commons-vote-office/March_2014/25%20March/1-BIS-ArmsExportLicensing.pdf
3. Please provide any other information on prohibitions you would like to share.
Export Control Order 2008, Schedule 4 - Countries and Destinations subject to stricter export and trade controls
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
The Consolidated EU and National Arms Export Licensing Criteria set out the eight criteria against which all export, transit and brokering license applications are assessed. Additional criteria include the UK’s commitments as members of the international export control regimes; obligations under relevant EU measures; the effect of the proposed transfer on the national security of the UK, our allies and other friendly states; and the effect of the proposed transfer on sustainable development in the recipient country.
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
We may place limitations on the authorization relating to the use of the goods or the class of end-user to which the goods may be transferred; or we may seek government assurances on use/re-transfer.
4a. Details / reference / web link / additional comments
Our approach is based on a thorough assessment of risk before granting an authorization. In certain circumstances however we may consider whether any mitigation measures are available to reduce the risk.
5. Please provide any other information on risk assessment and/or mitigation practices you would like to share.
All export, transit and brokering license applications are assessed against the Consolidated EU and National Arms Export Licensing Criteria which were recently updated on 24 MARCH 2014 to take account of our obligations under the ATT.
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
Request for End User Undertaking as part of licensing process; thorough assessment of risk though the licensing process. Customs checks at the point of departure from the UK.
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
If the goods are located in the UK they may be subject to seizure by HM Revenue and Customs. If we become aware of diversion outside the UK we may share information with relevant authorities outside the UK so that they may take appropriate action.
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
In principle, yes, however in practice it will depend upon the source and sensitivity of the information concerned.
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

Business, Innovation and Skills (BIS); HM Revenue and Customs; Home Office Border Force
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

Her Majesty’s Revenue and Customs
3. What measures does your State take to enforce national laws and regulations that implement the provisions of the Treaty?

[ Article 14 ]

Customs checks at the UK border. Audit checks on businesses involved in arms trade. Imposition of penalties on those who break the law.
4. Please provide any other information on enforcement practices you would like to share.
1. Will your State provide an initial report within one year of entry into force on measures undertaken in order to implement the ATT?

[ Article 13.1 ]

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

[ Article 13.3 ]

Authorized arms exports Yes
Authorized arms imports No
Actual arms exports No
Actual arms imports No
2a. Details / reference / web link / additional comments
http://www.exportcontroldb.bis.gov.uk
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
In principle, yes, however in practice it will depend upon the source and sensitivity of the information concerned (e.g. the information may be classified or may be relevant to an active law enforcement operation which would prevent it being reported).
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.
The UK’s annual report provides comprehensive information on legislation and policy as well as on licences granted/refused/revoked. https://www.gov.uk/government/publications/strategic-export-controls-annual-report-2012 In addition the UK government is subject to oversight by the Parliamentary Committees on Arms Export Controls (CAEC) who take evidence in public from Ministers and officials, as well as industry and NGOs, and which publishes its own detailed reports here: (http://www.parliament.uk/business/committees/committees-a-z/other-committees/committee-on-arms-export-controls/)
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
The UK exchanges information as part of the Wassenaar Arrangement, the UN Register of Conventional Arms, EU Denial Notifications. We also confirm to the Anti-Personnel Mine Ban Treaty and Convention on Cluster Munitions that we don’t hold landmines and cluster munitions.   The UK will provide assistance in investigations, prosecutions and judicial proceedings in accordance with international Mutual Administrative Assistance and Mutual Legal Assistance Treaty arrangements   The UK Bribery Act 2010: details the crimes of bribery, being bribed, the bribery of foreign public officials, and the failure of a commercial organization to prevent bribery on its behalf. This applies to British Nationals whether they are operating in the UK or overseas.   The UK funded an Institute for Security Studies (ISS) project in Pretoria, South Africa in 2013 to develop an ATT Ratification Guide.
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
Will continue to implement the UK Bribery Act 2010.   The UK is funding a new project with the Institute for Security Studies (ISS). The aim of the project is to provide technical assistance and support to 3 African States in SADC to ratify and implement the ATT.
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
Engaged in EU Assistance Programme 2013/768/CFSP, will be providing coordinated support through this program, within the framework of this council decision
4. Is your State in a position to provide:

[ Article 16.1 ]

Legal assistance Yes
Legislative assistance, including model legislation Yes
Assistance for institution building Yes
Technical assistance Yes
Financial assistance Yes
Material assistance Yes
Stockpile management assistance Yes
Disarmament, demobilization, or reintegration assistance Yes
Assistance with effective practices for implementation Yes
Other (please specify below) Yes
In principle yes, but the UK would need to assess the request(s) taking into account other obligations such as its participation in the aforementioned EU Assistance Programme but also to avoid overlap.
5. Please provide information on any additional needs required to implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16/2 ]

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

[ Articles 16.1 and 16.2 ]

The UK funded an Institute for Security Studies (ISS) project in Pretoria, South Africa in 2013 to develop an ATT Ratification Guide. This may prove useful in assisting states to look at the issues they will face. The UK is funding a new project with the Institute for Security Studies (ISS) . The aim of the project is to provide technical assistance and support to 3 African States in SADC to ratify and implement the ATT.
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.