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
U.S. Munitions List: https://www.pmddtc....
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
  • U.S. national definitions for battle tanks, armored combat vehicles, large-caliber artillery systems, combat aircraft, attack helicopters, warships, and missiles and missile launchers encompass, inter alia, the definitions utilized by the Wassenaar Arrangement and the UN Register of Conventional Arms as of the Treaty’s entry into force, for the same items.
  • The U.S. national definitions for small arms and light weapons are consistent with the International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (ITI) and the sub-categories of small arm and light weapons used in the UN Register of Conventional Arms and the 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 vast majority of exports of conventional arms covered under Article 2(1) of the Treaty constitute transfers of defense articles that are controlled under the Arms Export Control Act (AECA) as implemented by the International Traffic in Arms Regulations (ITAR). Those items designated as defense articles for purposes of export constitute the United States Munitions List (USML). Those conventional arms not controlled under the AECA are controlled for purposes of export through the Commerce Control List (CCL), which is administered by the Department of Commerce as part of its Export Administration Regulations (EAR).
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms exports?

[ Article 5.5 ]

Department of State, Department of Commerce, Department of Homeland Security, and Department of Defense.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Department of State, Department of Commerce
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
A license or other approval is required to prior an export. “Other approval” would include technical assistance agreements, manufacturing license agreements, as well as exemptions to the license requirements set out in the ITAR.
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 ]

At least 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)
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 ]

At least 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) No
Other (specify below)
12. Please provide any other information on export practices you would like to share.
The United States has not completed its ratification process and is not yet a State Party to the Treaty. We are providing this information on the U.S. national control system as part of our ongoing international efforts to promote stronger national control systems.
1. Is the regulation of arms imports established in national legislation?

[ Article 8.2 ]

Yes
1a. Details / reference / web link / additional comments
Section 38 of the AECA, 22 U.S.C. § 2778, as amended, authorizes the President to control the import and the export of defense articles and defense services. This authority has been delegated to the Secretary of State with respect to the export and temporary import of defense articles and defense services and to the Attorney General with respect to the permanent import of defense articles and defense services. This authority is carried out pursuant to the ITAR, 22 CFR Part 120 et seq., and other federal regulations including 28 CFR Part 0.130(a) and 27 CFR Part 447.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms imports?

[ Article 5.5 ]

Department of State, Department of Justice.
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Department of State, Department of Justice.
4. What measures does your State take to regulate imports?

[ Article 8.1 ]

Tanks, armored combat vehicles, large caliber artillery systems, combat aircraft, attack helicopters, naval warships, and missiles/missile launchers are not eligible for import into the United States by private citizens except as demilitarized items. Imports of small arms and light weapons requires an import license issued by ATF.
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 ]

At least 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) No
Other (please specify below)
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
The United States covers transit and transshipment through the definition of “temporary import” in the ITAR. Section120.18 of the ITAR defines “temporary import” as bringing into the United States from a foreign country any defense article that is to be returned to the country from which it was shipped or taken, or any defense article that is in transit to another foreign destination. Temporary import includes withdrawal of a defense article from a customs bonded warehouse or foreign trade zone for the purpose of returning it to the country of origin or country from which it was shipped or for shipment to another foreign destination.
1a. Details / reference / web link / additional comments
The vast majority of transit and trans-shipment of those conventional arms covered under Article 2(1) of the Treaty constitute transfers of defense articles that are controlled under the AECA, 22 U.S.C.§§ 2751 to 2799aa-2.
2. Which Ministry/ies or government agency/ies is/are responsible for regulating arms transit and/or transshipment?

[ Article 5.5 ]

Department of State
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Department of State
4. What measures does your State take to regulate transit and/or transshipment under its jurisdiction?

[ Article 9 ]

All consignees and common carriers must be identified on the export license application.
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
Most temporary imports and subsequent export of defense articles of transshipping the United States must be authorized by the Department of State through an individually validated temporary import license pursuant to 22 CFR 123.3.
6. For how many years are records maintained?

[ Article 12.4 ]

At least 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)
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 ITAR defines “brokering activities” to mean “any action on behalf of another to facilitate the manufacture, export, permanent import, transfer, re-export, or retransfer of a U.S. or foreign defense article or defense service, regardless of its origin.”
1a. Details / reference / web link / additional comments
Brokering controls are established under the AECA. E.O. 13637 delegated to the Secretary of State the authority for registration and licensing of those persons who engage in the business of brokering activities with respect to those items designated as defense articles controlled either for purposes of export or for purposes of permanent import. These controls are set forth in the ITAR.
2. Which Ministry/ies or government agency/ies is/are responsible for implementing controls on arms brokering?

[ Article 5.5 ]

Department of State
3. Which Ministry or agency leads this process?

[ Article 5.5 ]

Department of State
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
U.S. brokering laws cover activities involving all U.S. persons located inside or outside the United States or Foreign persons subject to U.S. jurisdiction involving defense articles or defense services of U.S. or foreign origin located inside or outside of the United States. Every person who engages in the business of arms brokering activities, other than employees of U.S. or foreign governments acting in an official capacity, must register with the State Department. All registered arms broker must provide an annual report to the State Department enumerating and describing those approved activities and any exemptions used for other covered activities. In addition to the registration requirement, no person may engage in specified arms brokering activities without a license or other authorization.
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
Article 6(3) of the Treaty prohibits a State Party from authorizing any transfer of conventional arms or items covered by the Treaty only when the State Party has actual knowledge, at the time of the authorization, that the conventional arms or items 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 it is a Party.
2. Please provide a list of the relevant international agreements to which you are a party.

[ Articles 6.2 and 6.3 ]

  • The Protocol on Prohibitions or Restrictions in the Use of Mines, Booby-Traps and Other Devices, as amended on May 3, 196
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 AECA requires consideration of many of these criteria prior to authorizing an export of conventional arms. In addition, the United States Conventional Arms Transfer Policy (Presidential Policy Directive 27 of January 15, 2014) (the “CAT Policy”) provides further criteria, including the human rights, counter-terrorism, and non-proliferation record of the recipient, which must be taken into consideration when evaluating a potential export.
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)
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
The United States considers a full range of mitigation measures, including, inter alia, licensing restrictions, and it also engages in post-shipment verification checks to monitor these measures.
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.
The United States requires that all States wishing to re-transfer U.S. origin arms secure U.S. consent to do so for the entire life cycle of the weapon.
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 United States considers the risk of diversion and any necessary or appropriate mitigation measures pursuant to its CAT Policy and existing export control law, regulations, and practices.
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
The nature of the cooperation depends on the specific circumstances
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
The measures taken depend on the specific circumstances of the diversion.
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
The United States is willing to share its experience in combatting diversion
1. Which agency/ies is/are responsible for enforcing arms transfer controls?

[ Article 5.5 ]

E.O. 13637, dated March 8, 2013, delegates the authority to control the import and export of defense articles to the Secretary of State except with respect to the permanent import of defense articles. The authority to regulate the permanent import of defense articles has been delegated to the Attorney General and is implemented by ATF. For those covered arms or items not controlled under the AECA, such covered arms or items are controlled for purposes of export through the Department of Commerce’s CCL as part of its EAR.
2. Which Ministry or agency leads this process?

[ Article 5.5 ]

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

[ Article 14 ]

The United States has signed but not ratified the Treaty, so it is not legally obligated to implement the provisions of the Treaty. However, the United States maintains an extensive national control system that exceeds the legal obligations of the Treaty.
4. Please provide any other information on enforcement practices you would like to share.
The Department of Homeland Security, Immigration and Customs Enforcement (ICE) and Customs and Border Protection (CBP), and the Department of Commerce’s Bureau of Industry and Security Export Enforcement (BIS EE) are all charged with the statutory authority to investigate, detain, or seize any export or attempted export of defense articles or technical data regulated by the ITAR. The ATF Bureau of the Department of Justice is charged with investigating, detaining, or seizing imports of defense articles or technical data regulated by the ITAR. The Federal Bureau of Investigation (FBI) of the Department of Justice investigates such cases when there is a nexus to any foreign counterintelligence matter.
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 ]

No
1a. Details / reference / web link / additional comments
Consistent with the obligations of the Treaty, the United States will provide this report within the first year after the Treaty enters into force for the United States.
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 ]

No
4a. Details / reference / web link / additional comments
This is sensitive information and the United States does not make the information publicly available.
5. Has your State designated a national contact point for the ATT?

[ Article 5.6 ]

No
5a. Details / reference / web link / additional comments
The United States is not a State Party and has not designated a nation contact point for the ATT.
6. Please provide any other information on transparency practices you would like to share.
The U.S. national point of contact for the UN Register of Conventional Arms and the Wassenaar Arrangement is Office of Conventional Arms Threat Reduction, Bureau of International Security and Nonproliferation, Department of State.
1. Is your State involved in cooperation measures that will help to implement the ATT?

[ Article 15.1 ]

No
1a. Details / reference / web link / additional comments
The United States is not yet a State Party to the Treaty. However, conventional arms transfers are a crucial national security concern for the United States, and it has long supported effective action to control the international transfer of arms, including through assistance to help other states raise their export control standards. The United States currently provides significant international assistance through the Export Control and Related Border Security program (EXBS), which assists countries meeting our engagement criteria in improving their strategic trade control systems. EXBS assesses partner countries’ laws and capabilities and provides tailored assistance on trade control legislation, licensing procedures, enforcement, and government-industry outreach to parliamentarians, senior government officials, the judiciary, and front-line licensing and enforcement personnel. In addition, the United States has assisted more than 60 countries with stockpile management training, which helps prevent domestic diversion of weapons and ammunition.
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 United States engages in these activities as part of its long-standing efforts to promote transparency in military matters and greater national controls on arms transfers.
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
The United States engages in these activities as part of its long-standing efforts to promote transparency in military matters and greater national controls on arms transfers.
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
Legislative assistance, including model legislation
Assistance for institution building
Technical assistance
Financial assistance
Material assistance
Stockpile management assistance
Disarmament, demobilization, or reintegration assistance
Assistance with effective practices for implementation
Other (please specify below)
3. Is your State in a position to provide assistance to other States to enable implementation of the provisions of the Arms Trade Treaty?

[ Articles 16.1, 16.2, and 16.3 ]

If yes, please answer question 4. If no, please go straight to question 5. No
3a. Details / reference / web link / additional comments
The United States will not be in a position to provide assistance to implement the provisions of the Treaty until the United States becomes a State Party. However, the United States will continue its considerable bilateral efforts to promote national control systems.
4. Is your State in a position to provide:

[ Article 16.1 ]

Legal assistance
Legislative assistance, including model legislation
Assistance for institution building
Technical assistance
Financial assistance
Material assistance
Stockpile management assistance
Disarmament, demobilization, or reintegration assistance
Assistance with effective practices for implementation
Other (please specify below)
5. Please provide information on any additional needs required to implement the ATT, particularly with regard to legal, licensing, customs, awareness raising and enforcement of sanctions, reporting, and transparency

[ Articles 16.1 and 16/2 ]

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

[ Articles 16.1 and 16.2 ]

7. Please provide information on specific assistance your State has received through the United Nations, international, regional, subregional or national organizations, non-governmental organizations, or on a bilateral basis that could be considered relevant for ATT implementation

[ Article 16.2 ]

1. Has your State already signed the Arms Trade Treaty?
Yes
2. Has your State already ratified the Arms Trade Treaty?
No
3. Is your State preparing to sign the Arms Trade Treaty in the next two years?
4. Is your State preparing to ratify the Arms Trade Treaty in the next two years?
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).
6. Please provide any other information you would like to share.
The United States is continuing its preparations for ratifying the Treaty, and has no specific timeline for when that process will be completed.