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 No
2b. The competent national authority/ies for the regulation of imports is/are:
Customs / Ministry of Finance Yes
Ministry of Defence Yes
Ministry of Economy / Ministry of Business / Ministry of Trade Yes
Ministry of Foreign Affairs No
Ministry of Interior / Police Yes
Transfer control agency No
Other No
2c. The competent national authority/ies for the regulation of transit/transshipment is/are:
Customs / Ministry of Finance Yes
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 No
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 Yes
Other No
3a. National control list of conventional arms subject to transfer controls.
If yes, please specify Yes
http://www.ausfuhrkontrolle.info/ausfuhrkontrolle/de/gueterlisten/ausfuhrliste/al_abschnitt_a.pdf
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
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 No
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
The risk assessment procedure is guided by the “Political Principles Adopted by the Government of the Federal Republic of Germany for the Export of War Weapons and Other Military Equipment” of 19 January 2001 (“Political Principles”) and the EU Common Position 2008/944/CFSP defining common rules governing control of exports of military technology and equipment (http://eur-lex.europa.eu/legalcontent/EN/TXT/?uri=CELEX%3A32008E0944) ensuring an ex-ante assessment of licence applications.In case of export applications for small arms and light weapons, the non-EU/NATO or equivalent recipient third state’s government must commit to destroying the small arms and light weapons to be replaced by thenew consignment (“New for Old” principle). In the principle’s variant “New, destruction after decommissioning”, recipient third countries may alternatively commit to destroying the newly procured weapons as soon as they are discarded, if there are no used weapons to be destroyed at the time of a new consignment designed to cover reasonable additional needs. The commitment to this principle is now a requirement prior to granting an export licence and forms part of relevant end-use certificates. In individual cases, the “New for Old” principle is also applied to conventional weapons other than SALW on a case-bycase basis. The fulfilment of this commitment will also be monitored.In this context, the German Federal government has also decided on key points on the introduction of postshipment controls (http://www.bmwi.de/EN/Press/press-releases,did=746666.html).
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
Every application for export licences must be accompanied by an end-user certificate and other relevant documents specifying the expected end-use of the goods, and containing other declarations and assurances on a case-by-case basis. Sufficient documentation must be provided to allow thorough assessment of the case. Exporters need a license for every transaction either individual, global or general. Applications have to be addressed to the Ministry of Economic Affairs and Energy (for war weapons) or the Federal Office of Economics and Export Control (for other military goods). MFA and Ministry of Defence are consulted. MFA provides foreign policy advice such as IHL/HR issues, sanctions, internal or regional conflicts etc. Licenses specify goods, time etc, additional requirements (e.g. customs certificates of recipient etc.) may be stipulated. License denials have to give the reasons for denial, exporter can take negative decisions to court. Detailed description (type, quantity, characteristics) of the SALW or technology; Contract number or order reference and date; Final destination country; Description of the end-use of the SALW; Exporter’s details (name, address and business name); End-user information (name, position, full address and original signature); Certification by the relevant government authorities of the authenticity of the end-user; and Date of issue.
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
minimum 10 years
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) Yes
5. State maintains records of actual exports
If yes, please specify Yes
5a. Records of actual exports are kept for … years
minimum 10 years
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
Applications must contain information on types of goods, quantities, exporting state and exporting company/manufacturer.
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
4. State maintains records of actual imports
If yes, please specify Yes
4a. Records of actual imports are kept for … years
minimum 10 years
4b. Information contained in records of actual imports includes:
Quantity Yes
Value No
Model / type Yes
Exporting state Yes
End-User No information provided
Other (please specify) Yes
1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify Yes
Transit:the transportation of material goods from abroad through Germany without the goods having been released for free circulation in Germany, and the transportation of material goods in free circulation from another Member State of the European Union through GermanyThere is no definition of transshipment in the national legislation. Transshipment is treated like transitFor war weapons only (c.f. I. D. ii).). Act Implementing Article 26 (2) of the Basic Law (War Weapons Control Act) (http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_control_act.pdf )
2. The national system regulates the transit/transshipment of conventional arms
By land Yes
By sea Yes
By air Yes
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
Applications must contain information on types of goods, quantities, value, exporting state and exporting company / manufacturer, importing state and end-user including an end-use certificate. The assessment is based on the same criteria as the assessment of an export licence to the importing state.
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 transit licence is only required for war weapons contained in Part B of the War Weapons List(http://www.bafa.de/bafa/en/export_control/legislation/export_control_cwc_p_war_weapons_list.pdf).
5. State maintains records of transit/transshipment authorizations
If yes, please specify Yes
5a. Records of transit/transshipment authorizations are kept for … years
minimum 10 years
5b. Information contained in records of transit/transshipment authorizations includes:
Quantity Yes
Value No
Model / type Yes
Exporting state Yes
Importing state Yes
End-User Yes
Other (please specify) Yes
1. Definition of broker and/or brokering in national legislation and/or regulations
If yes, please specify Yes
Brokering is defined as:1. the brokering of a contract on the acquisition or release of goods,2. the documentation of an opportunity to conclude such a contract or3. the conclusion of a contract on the release of goods.
2. The national system regulates brokers and/or brokering activities
Registration of brokers only N/A
Authorization to conduct brokering only Yes
Two-stage process of registration of brokering and authorization for brokering N/A
3a. Information and/or documentation provided to the competent national authority in an application to register as a broker
n/a
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
Every application for brokering licences must be accompanied by an end-user certificate and other relevant documents specifying the expected end-use of the goods, and containing other declarations and assurances on a case-by-case basis.
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 Yes
The Federal Armed Forces, the Federal Police and the federal customs administration are generally exempt from the licence requirements of the War Weapons Control Act. The requirement of a brokering licence does additionally not apply to authorities or agencies in the exercise of their official functions.
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
no information provided
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 Yes
Associated activities regulated include: Transport and other - For embargoed countries specific measures apply.
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 No
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] No
When importing, the State grants the right to the exporting State to conduct a physical check at the point of delivery [SALW] No
Other measures Yes
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 No
Date of issue Yes
Other No
3. Measures to Control SALW re-exports:
Re-export of SALW only permitted when there is prior notification No information provided
Re-export of SALW is permitted only when there is prior approval No information provided
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
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