1a. Legislation, regulations, or administrative procedures provide for control over exports of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
1b. Legislation, regulations, or administrative procedures provide for measures to regulate imports of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
1c. Legislation, regulations, or administrative procedures provide for measures to regulate transit/transshipment of conventional arms including SALW and ammunition?
If yes, list laws, regulations, or administrative procedures Yes
1d. Legislation, regulations, or administrative procedures provide for measures to regulate brokers/brokering of conventional arms, including SALW and ammunition?
If yes, List laws, regulations, or administrative procedures Yes
2a. The competent national authority/ies for the control of exports is/are:
Customs / Ministry of Finance No
Ministry of Defence No
Ministry of Economy / Ministry of Business / Ministry of Trade Yes
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer Control Agency No
Other Yes
Interdepartmental Council on Defence Industry and Security; Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction (WMD)
2b. The competent national authority/ies for the regulation of imports is/are:
Customs / Ministry of Finance No
Ministry of Defence No
Ministry of Economy / Ministry of Business / Ministry of Trade Yes
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
Interdepartmental Council on Defence Industry and Security; Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction (WMD)
2c. The competent national authority/ies for the regulation of transit/transshipment is/are:
Customs / Ministry of Finance No
Ministry of Defence No
Ministry of Economy / Ministry of Business / Ministry of Trade Yes
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
Interdepartmental Council on Defence Industry and Security; Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction (WMD)
2d. The competent national authority/ies for the regulation of brokers and/or brokering activities is/are:
Customs / Ministry of Finance No
Ministry of Defence No
Ministry of Economy / Ministry of Business / Ministry of Trade Yes
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
Interdepartmental Council on Defence Industry and Security; Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction (WMD)
3a. National control list of conventional arms subject to transfer controls.
If yes, please specify Yes
List of Defense-related Products is regularly updated and published as a Council of Ministers Decree. (http://www.exportcontrol.bg/docs/Prilo_1_List_DRP_2015.pdf) (in Bulgarian)
1. A transfer is prohibited if it would violate obligations under measures adopted by the United Nations Security Council acting under Chapter VII, in particular arms embargoes
If yes, please specify Yes
Bulgaria complies with arms embargoes adopted by the United Nations Security Council, the EU and the OSCE (National Decrees 91/2001 and 272/2012 containing a list of embargoed destinations in accordance with relevant UNSCRs, EU and OSCE positions and decisions)
2. A risk assessment is conducted before issuing an export authorization
If yes, please specify Yes
3. National legislation, regulations or policy guidelines include the following] risk assessment criteria
Contribute to or undermine peace and security Yes
Commit or facilitate a serious violation of international humanitarian law to which State is a party Yes
Commit or facilitate a serious violation of international human rights law to which State is a party Yes
Commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which State is a party Yes
Commit or facilitate an act constituting an offence under international conventions or protocols relating to transnational organized crime to which State is a party Yes
Commit or facilitate serious acts of gender-based violence or serious acts of violence against women and children Yes
Risk of diversion Yes
Other Yes
Criteria set out in the EU Common Position 2008/944/CFSP
5. Risk mitigation measures that could be undertaken to mitigate identified risks
If yes, use free text box for types of risk mitigation measures utilized Yes
Existing mechanisms of conducting additional checks via diplomatic and intelligence channels (in certain cases).
1. There is an authorization or licensing system to control the export of conventional arms
If yes, please specify Yes
2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to export conventional arms
Application for an export/import activity authorization includes the following documentation: a filled-in application form; a unique identification number in accordance with the Trade Register Act; a security clearance certificate issued by the State Agency for National Security to the physical persons designated to participate in the relevant activity; a list of the physical persons designated to participate in the relevant activity accompanied by the curricula vitae of such persons, an extract from the judicial record and a notarized specimen of their signatures; an extract from the judicial record concerning the sole trader, general manager, executive director, authorized representative, the members of the managing and supervisory bodies of the legal person, and where such members are legal persons – their representatives in the relevant managing body; a notarized specimen of the signature of the sole trader, general manager, executive director or authorized representative; a certificate issued by the relevant territorial entity of the National Revenue Agency attesting the absence of any outstanding tax liabilities; a statement by the sole trader, general manager, authorized representative, the members of the managing and supervisory bodies of the business undertaking that the applicant has no outstanding liabilities to physical and legal persons, where the liability has been recognized before the relevant enforcement authority; a statement by the sole trader, general manager, authorized representative, the members of the managing and supervisory bodies of the business undertaking that they are not associated with persons and organisations which have infringed the normative acts regulating the activities involving DRP and dual-use items in the Member States and in third countries; information from the trader about the planned foreign trade activities with foreign partners involving DRP for a period of no less than one year; and a receipt for state fee paid. Application for an export license includes the following documentation: a filled-in application form; filled-in export license form in five copies; copy of the documents, certifying the eligibility of the participants in the transaction to carry out the respective activities; an original end-user certificate or international import certificate, issued by a competent authority of thecountry of the end-user; The document has to include the participants, description, quantity and end use of the defence related products; a copy of a document, certifying the foreign trade relations (contract or order), as well as a document, verifying the participation in the transaction of persons other than the foreign importer and/or end-use; a copy of the documents, certifying the origin, acquisition, technical characteristics and functional purpose of the defence related products; and a receipt for state fee paid.
3. The national control system permits exports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify Yes
4. State maintains records of export authorizations
State maintains records of export authorizations? Yes
4a. Records of export authorizations are kept for … years
10
4b. Information contained in records of export authorizations includes:
Quantity Yes
Value Yes
Model / type Yes
Importing state Yes
End-User Yes
Other (please specify) No
5. State maintains records of actual exports
If yes, please specify Yes
5a. Records of actual exports are kept for … years
10
5b. Information contained in records of actual exports includes:
Quantity Yes
Value Yes
Model / type Yes
Importing state Yes
End-User Yes
Other (please specify) No
1. There is an authorization or licensing system to regulate the import of conventional arms
If yes, please specify Yes
2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to import conventional arms
Application for an import license includes the following documentation: a filled-in application form; filled-in import license form in five copies; copy of the documents, certifying the eligibility of the participants in the transaction to carry out the respective activities; a copy of a document, certifying the foreign trade relations (contract or order), as well as a document, verifying the participation in the transaction of persons other than the foreign importer and/or end-use; a copy of the documents, certifying the origin, acquisition, technical characteristics and functional purpose of the defence related products; a written statement by the applicant/end user about the following: declared items end use; lack or availability of imposed restriction or ban by the state of original exporter for subsequent re-export; the imported products will not be re-exported without prior permission from the Interministerial Commission and will be used subject to the above restriction and ban and in compliance with the Bulgarian legislation; undertake obligation to inform in writing the Interministerial Commission before any subsequent change to the end user of the products in Bulgaria with the exception of commercial sale; to inform any subsequent end user about the restriction and ban and his obligation to provide new written statement; and a receipt for state fee paid.
3. The national control system permits imports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify Yes
(a) Exemptions: 1. The property of Bulgarian or foreign armed forces or police contingents and they are transferred through the Republic of Bulgaria's borders or during their stay on the territory of the Republic of Bulgaria in the cases of:a) fulfilment of obligations of the Republic of Bulgaria stemming from international agreements and from membership in international organisations; b) participation in peacemaking, peacekeeping and peacebuilding operations; c) participation in international exercises conducted in or outside the territory ofthe Republic of Bulgaria; d) implementing humanitarian, environment protection, sports and demonstration tasks of a peaceful nature; 2. For providing humanitarian assistance in case of a disaster or are part of a donation in case of emergency.
4. State maintains records of actual imports
If yes, please specify Yes
4a. Records of actual imports are kept for … years
10
4b. Information contained in records of actual imports includes:
Quantity Yes
Value Yes
Model / type Yes
Exporting state Yes
End-User Yes
Other (please specify) No
1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify Yes
Transit is defined as the transport of goods to and through the customs territory of the European Union to a destination in a non-member state. The transhipment is considered as part of the transit.
2. The national system regulates the transit/transshipment of conventional arms
By land Yes
By sea ?
By air ?
3. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to transit/transship conventional arms
Application for a transit / trans-shipment license includes the following documentation: a filled-in application form; filled-in transit / trans-shipment license form in five copies; a copy of the export license and a certified translation in Bulgarian; a copy of the end-user certificate and/or international import certificate, issued by a competent authority of the country of the end-user and a certified translation in Bulgarian; a copy and a certified translation in Bulgarian of the transit/transportation license or acceptance authorization on the territory of the country, following the Republic of Bulgaria along the itinerary of transit, issued by a competent authority; a copy and a certified translation in Bulgarian of the documents, certifying the origin, acquisition and functional purpose of the defence related products; and a receipt for state fee paid.
4. The national control system permits transit/transshipment of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify Yes
(a) Exemptions: 1. The property of Bulgarian or foreign armed forces or police contingents and they are transferred through the Republic of Bulgaria's borders or during their stay on the territory of the Republic of Bulgaria in the cases of:a) fulfilment of obligations of the Republic of Bulgaria Stemming from international agreements and from membership in international organisations; b) participation in peacemaking, peacekeeping and peacebuilding operations; c) participation in international exercises conducted in or outside the territory ofthe Republic of Bulgaria; d) implementing humanitarian, environment protection, sports and demonstration tasks of a peaceful nature; 2. For providing humanitarian assistance in case of a disaster or are part of a donation in case of emergency. 3. In case of a passage through the territory of Bulgaria of duly authorised export of DRP from and import to EU member state.
5. State maintains records of transit/transshipment authorizations
If yes, please specify Yes
5a. Records of transit/transshipment authorizations are kept for … years
10
5b. Information contained in records of transit/transshipment authorizations includes:
Quantity Yes
Value Yes
Model / type Yes
Exporting state Yes
Importing state Yes
End-User Yes
Other (please specify) No
1. Definition of broker and/or brokering in national legislation and/or regulations
If yes, please specify Yes
Brokering services are negotiating or arranging transactions for purchasing, selling or supplying DRP from a third state (non-EU member state) to another third state or selling/purchasing DRP located in third states and intended for delivery to another third state. For the purposes of export control the provision of only auxiliary services are excluded from this definition. Auxiliary services include transport, financial services, insurance or reinsurance services or general advertising or promotions.
2. The national system regulates brokers and/or brokering activities
Registration of brokers only N/A
Authorization to conduct brokering only N/A
Two-stage process of registration of brokering and authorization for brokering Yes
3a. Information and/or documentation provided to the competent national authority in an application to register as a broker
no information provided
3b. Information and/or documentation provided to the competent national authority in an application for a licence or another form of authorization to conduct brokering
Application for a brokering license includes the following documentation: a filled-in application form; a filled-in brokering license form in five copies; copy of the documents, certifying the eligibility of the participants in the transaction to carry out the respective activities; an original or notarised copy of the export licence; an original of end-user certificate or international import certificate, issued by a competent authority of the country of the end-user or the country of the importer, or their notarised copies; a copy of a document verifying the applicant’s participation in the transaction; and a receipt for state fee paid.
4. The national control system permits brokering of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances
If yes, please specify No
5. State maintains a register of brokers
If yes, please specify No information provided
5a. Records of registered brokers are kept for … years
no information provided
6. State maintains records of brokering licences or authorizations
If yes, please specify Yes
6a. Records of brokering authorizations are kept for … years
10
6b. Information contained in records of brokering authorizations includes:
Quantity No information provided
Value No information provided
Model / type No information provided
Exporting state No information provided
Importing state No information provided
End-User No information provided
Other (please specify) No information provided
7. Regulation of activities closely associated with brokering
If yes, please specify ?
1. Measures to mitigate the risk of diversion
Establishment of mitigation measures Yes
Provision, upon request, of end use / end user documentation to the exporting State Yes
Measures in place to verify or seek to authenticate EUCS or other types of end-user documentation [SALW] Yes
Measures in place aimed at preventing the forgery and misuse of EUCs or other types of end-user documentation [SALW] Yes
Requirement for end use / end user assurances from an importing State (or industry) Yes
Examination, where appropriate, of parties involved in a transfer Yes
Requirement, where appropriate, for additional documentation, certificates, assurances for a transfer Yes
Exchange of relevant information with other States Parties on effective measures to address diversion, as well as on illicit activities and actors Yes
Reporting to an international or regional body on measures taken to address diversion of transferred conventional arms Yes
When exporting, State requires a Delivery Verification Certificate (DV) to confirm that SALW have reached their intended end-user or intended importer in the importing State [SALW] Yes
When importing, the State grants the right to the exporting State to conduct a physical check at the point of delivery [SALW] Yes
Other measures Yes
on-spot checks during the delivery, if necessary
2. Information contained in end user documentation (e.g. EUC)
Detailed description of the SALW or technology Yes
Contract number of order reference and date Yes
Final destination country Yes
Description of the end-use of SALW Yes
Exporter's details (name, address and business name) Yes
End-user information (name, position, full address, and original signature) Yes
Information on other parties in the transaction Yes
Certification by the relevant government authorities of the authenticity of the end-user Yes
Date of issue Yes
Other No
3. Measures to Control SALW re-exports:
Re-export of SALW only permitted when there is prior notification N/A
Re-export of SALW is permitted only when there is prior approval Yes
4. State takes appropriate measures when a diversion has been identified
Alert potentially affected States Yes
Investigative and law enforcement measures at the national level Yes
Use international tracing mechanisms to identify points of diversion Yes
Other measures Yes
checks through different information sources (such as “watch-lists”); in cases when Bulgarian exporters are involved in a diversion, the Penal Code provisions are applicable.
1. State takes measures to enforce national laws and regulations
State takes measures to enforce national laws and regulations Yes
2. Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation
Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation Yes
1. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the implementation of the UN Programme of Action on Small Arms (PoA)
If yes, please specify Yes
2. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the United Nations Register of Conventional Arms
If yes, please specify No information provided
3. The national system includes one or more national points of contact to exchange information on ATT implementation
If yes, please specify Yes
1. The state makes information publicly available on the national system to control/regulate international arms transfers and address diversion
National report on implementation of the PoA Yes
ATT initial report Yes
1540 matrix Yes
National report on the national system to control/regulate international arms transfers and address diversion Yes
ATT-BAP survey Yes
2. The state makes information publicly available on arms imports and exports
UN Register of Conventional Arms Yes
UN Register of Conventional Arms - SALW Yes
ATT annual report Yes
Arms transfers reported to Comtrade No information provided
Regional instrument Yes
National report on arms transfers Yes
3. Website for more information on national system
http://www.mi.government.bg/themes-c208.html