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 No
Ministry of Foreign Affairs Yes
Ministry of Interior / Police Yes
Transfer Control Agency No
Other Yes
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 No
Ministry of Foreign Affairs No
Ministry of Interior / Police Yes
Transfer control agency No
Other Yes
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 No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
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 No
Ministry of Foreign Affairs No
Ministry of Interior / Police No
Transfer control agency No
Other Yes
3a. National control list of conventional arms subject to transfer controls.
If yes, please specify Yes
http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1449560431499&uri=CELEX:52015XG0421(05)
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 Yes
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 ?
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
From the Law of 29 November 2000: Article 9. 1. Individual or global authorisations shall be issued by the trade control authority following an application by an entity resident or established in the territory of the Republic of Poland, hereinafter “application for authorisation”. 2. The application for authorisation shall contain: 1) designation of the applicant, including its name, address of its registered office or residential address in the territory of the Republic of Poland; 2) tax identification number (NIP); 3) the type and scope of business activity carried out by the applicant, provided he/she is an entrepreneur; 4) designation of entities which are the applicant’s partners in conducting trade covered by the application, including their names, addresses of their registered offices or residential addresses, and their roles in this trade; 5) types of items of strategic significance which are subject to trade, including their value, quantity and control number as specified in the list defined in regulations issued on the basis of Article 6a (3) or in annexes to Regulation No 428/2009; 6) designation of the producer of the items of strategic significance which are to be traded, as well as end users, including their names and addresses; 7) the intended use of items of strategic significance by the end user; 8) the country of final destination; 9) in the case of entry or intra-EU transfer – a statement of the end user with a commitment to take any actions necessary to deliver items of strategic significance which are to be traded to the end user; 10) certification number of the end user’s statement issued by the trade control authority if the importer or end user undertook to obtain a prior approval of the competent foreign authority to dispose in a specific way of items of strategic importance declared in the application or being part thereof. 3. The application for authorisation of export shall also specify: 1) country of origin of items of strategic significance; 2) EU Member State where a dual-use item is or will be; 3) EU Member State where the customs-approved treatment or use will be assigned to a dual-use item. 4. The application for authorisation of brokering service shall also include: 1) designation of the brokering service 2) information about placing items of strategic significance in a third country. 5. The application for authorisation of technical assistance shall additionally specify the type of technical assistance. 6. The following documents shall be attached by the applicant to the application for the authorisation of trade in items of strategic significance: 1) statement about the holding of concessions or permits to possess items of strategic significance or to conduct activity related to the declared trade, if such concessions or permits are required by the provisions of other acts, along with precise characteristics identifying such documents; 2) draft trade agreement or trade agreement if such an agreement, letter of intent or request for quotation is required for specific type of trade; 3) copy of the certificate referred to in Article 11 (5), if required; 4) import certificate or end user’s statement in the case of export or intra-EU transfer; this shall not apply to cases where the country of final destination of goods is the Republic of Poland; 5) approval by the competent foreign authority to dispose of goods in a specific way in the event that the importer or end user undertook to obtain such an approval, or a statement that the applicant is not aware of the obligation referred to in paragraph 2(10) above. Exporters have to apply to MoE for a license for every transaction prior to export. Advisory ministries and agencies take part in licensing process. SALW EUC contains: 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); information on other parties involved in the transaction; certification by the relevant government authorities of the authenticity of the end-user; date of issue; and other - Assurences of the importer to deliver goods to the ene­user. Assurances of the end­user of use only by end­user and for the stated end­use ­ Statement confirming that items of strategic importance are not to be transferred to any other customer without prior approval of the trade control a (text cut off). In addition, an International Import Certificate and a trade agreement.
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
ORDINANCE OF THE MINISTER OF ECONOMY of 19 May 2014 on the national general authorisation
4. State maintains records of export authorizations
State maintains records of export authorizations? Yes
4a. Records of export authorizations are kept for … years
permanently
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
permanently
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) Yes
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
no information provided
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 No
4. State maintains records of actual imports
If yes, please specify Yes
4a. Records of actual imports are kept for … years
10 years
4b. Information contained in records of actual imports includes:
Quantity Yes
Value Yes
Model / type Yes
Exporting state Yes
End-User No information provided
Other (please specify) No
1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify Yes
according to EU Customs Code
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
As for the application for an export From the Law of 29 November 2000: Article 9. 1. Individual or global authorisations shall be issued by the trade control authority following an application by an entity resident or established in the territory of the Republic of Poland, hereinafter “application for authorisation”. 2. The application for authorisation shall contain: 1) designation of the applicant, including its name, address of its registered office or residential address in the territory of the Republic of Poland; 2) tax identification number (NIP); 3) the type and scope of business activity carried out by the applicant, provided he/she is an entrepreneur; 4) designation of entities which are the applicant’s partners in conducting trade covered by the application, including their names, addresses of their registered offices or residential addresses, and their roles in this trade; 5) types of items of strategic significance which are subject to trade, including their value, quantity and control number as specified in the list defined in regulations issued on the basis of Article 6a (3) or in annexes to Regulation No 428/2009; 6) designation of the producer of the items of strategic significance which are to be traded, as well as end users, including their names and addresses; 7) the intended use of items of strategic significance by the end user; 8) the country of final destination; 9) in the case of entry or intra-EU transfer – a statement of the end user with a commitment to take any actions necessary to deliver items of strategic significance which are to be traded to the end user; 10) certification number of the end user’s statement issued by the trade control authority if the importer or end user undertook to obtain a prior approval of the competent foreign authority to dispose in a specific way of items of strategic importance declared in the application or being part thereof. 3. The application for authorisation of export shall also specify: 1) country of origin of items of strategic significance; 2) EU Member State where a dual-use item is or will be; 3) EU Member State where the customs-approved treatment or use will be assigned to a dual-use item. 4. The application for authorisation of brokering service shall also include: 1) designation of the brokering service 2) information about placing items of strategic significance in a third country. 5. The application for authorisation of technical assistance shall additionally specify the type of technical assistance. 6. The following documents shall be attached by the applicant to the application for the authorisation of trade in items of strategic significance: 1) statement about the holding of concessions or permits to possess items of strategic significance or to conduct activity related to the declared trade, if such concessions or permits are required by the provisions of other acts, along with precise characteristics identifying such documents; 2) draft trade agreement or trade agreement if such an agreement, letter of intent or request for quotation is required for specific type of trade; 3) copy of the certificate referred to in Article 11 (5), if required; 4) import certificate or end user’s statement in the case of export or intra-EU transfer; this shall not apply to cases where the country of final destination of goods is the Republic of Poland; 5) approval by the competent foreign authority to dispose of goods in a specific way in the event that the importer or end user undertook to obtain such an approval, or a statement that the applicant is not aware of the obligation referred to in paragraph 2(10) above. Exporters have to apply to MoE for a license for every transaction prior to export. Advisory ministries and agencies take part in licensing process. SALW EUC contains: 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); information on other parties involved in the transaction; certification by the relevant government authorities of the authenticity of the end-user; date of issue; and other - Assurences of the importer to deliver goods to the ene­user. Assurances of the end­user of use only by end­user and for the stated end­use ­ Statement confirming that items of strategic importance are not to be transferred to any other customer without prior approval of the trade control a ...
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 No
5. State maintains records of transit/transshipment authorizations
If yes, please specify Yes
5a. Records of transit/transshipment authorizations are kept for … years
permanently
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
Activities related to the transfer of military goods between two countries, neither of which is the Republic of Poland, consisting in:a) negotiating, business consulting, and assistance in the conclusion of contracts,b) any form of participation in activities related to export, import, transit or conclusion of any lease, donation, loan, or bailment agreement, as well to any contributions in kind,c) purchase, sale or transfer
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
As for the application for an export
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
As for the application for an export
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
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
Acting as dealers or agents; providing technical assistance; training; transport; freight forwarding; storage, finance; insurance; maintenance; and security; and other -Those that result from the definition of brokering included in Law of 29 November 2000 on foreign trade in goods, technologies and services of strategic importance to the security of the State and to maintaining international peace and security that state: ­ a brokering service – activities taken.
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 No
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 Yes
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 No
Investigative and law enforcement measures at the national level Yes
Use international tracing mechanisms to identify points of diversion Yes
Other measures No
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