1a. Legislation, regulations, or administrative procedures provide for control over exports of conventional arms, including SALW and ammunition? | ||
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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? | ||
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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? | ||
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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? | ||
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If yes, List laws, regulations, or administrative procedures | Yes |
2a. The competent national authority/ies for the control of exports is/are: | ||
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Customs / Ministry of Finance | No | |
Ministry of Defence | No | |
Ministry of Economy / Ministry of Business / Ministry of Trade | Yes | |
Ministry of Foreign Affairs | Yes | |
Ministry of Interior / Police | No | |
Transfer Control Agency | Yes | |
Other | No |
2b. The competent national authority/ies for the regulation of imports is/are: | ||
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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 | Yes | |
Transfer control agency | Yes | |
Other | No |
2c. The competent national authority/ies for the regulation of transit/transshipment is/are: | ||
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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 |
2d. The competent national authority/ies for the regulation of brokers and/or brokering activities is/are: | ||
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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. | ||
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If yes, please specify | Yes |
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 | ||
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If yes, please specify | Yes |
2. A risk assessment is conducted before issuing an export authorization | ||
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If yes, please specify | Yes |
3. National legislation, regulations or policy guidelines include the following] risk assessment criteria | ||
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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 |
4. Risk mitigation measures that could be undertaken to mitigate identified risks | ||
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If yes, use free text box for types of risk mitigation measures utilized | Yes | |
Article 9 of the Public Notice of Strategic Items stipulates that the authority issuing the export license shall have prior consultation with the Minister of Foreign Affairs in the case where it is deemed that the issuance of certain export license may have significant impact on national security or diplomacy. |
1. There is an authorization or licensing system to control the export of conventional arms | ||
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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 | ||
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Ministerial decree to the Defense Acquisition Program Act stipulates that the following documents shall be submitted to the licensing authority for export of defense materials and defense science and technology :
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3. The national control system permits exports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
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If yes, please specify | Yes | |
Article 26 of the Public Notice of Strategic Items stipulates that the exporter may be exempt from the obligation to obtain export license for strategic items limited to goods in such cases as return for repair, exhibition , etc. with the condition that the exporter submits a report of the transaction to the licensing authority within 7 days after the actual export. |
4. State maintains records of export authorizations | ||
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State maintains records of export authorizations? | Yes |
4a. Records of export authorizations are kept for … years | ||
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10 years |
4b. Information contained in records of export authorizations includes: | ||
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Quantity | No information provided | |
Value | No information provided | |
Model / type | No information provided | |
Importing state | No information provided | |
End-User | No information provided | |
Other (please specify) | No information provided |
5. State maintains records of actual exports | ||
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If yes, please specify | Yes |
5a. Records of actual exports are kept for … years | ||
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10 years |
5b. Information contained in records of actual exports includes: | ||
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Quantity | No information provided | |
Value | No information provided | |
Model / type | No information provided | |
Importing state | No information provided | |
End-User | No information provided | |
Other (please specify) | No information provided |
1. There is an authorization or licensing system to regulate the import of conventional arms | ||
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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 | ||
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Article 41 (Permission of Construction and Modification of Manufacturing Facilities, etc. of Military Firearms and others ) under Enforcement Rules on the Defense Acquisition Program Act
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3. The national control system permits imports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
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If yes, please specify | No |
4. State maintains records of actual imports | ||
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If yes, please specify | Yes |
4a. Records of actual imports are kept for … years | ||
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10 years |
4b. Information contained in records of actual imports includes: | ||
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Quantity | No information provided | |
Value | No information provided | |
Model / type | No information provided | |
Exporting state | No information provided | |
End-User | No information provided | |
Other (please specify) | No information provided |
1. Definition of transit and/or transshipment in national legislation and/or regulations | ||
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If yes, please specify | Yes |
2. The national system regulates the transit/transshipment of conventional arms | ||
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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 | ||
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Article 56 of the Public Notice of Strategic Items (License for transit/transhipment of strategic items) (2) Anyone who intends to receive license for transit/transshipment according to article 40.2 of the Enforcement Decree shall submit application for the transit/transshipment license to the licensing authority along with the following documents.
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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 | ||
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If yes, please specify | Yes | |
Article 26 of the Public Notice of Strategic Items stipulates that the exporter may be exempt from the obligation to obtain export license for strategic items limited to goods in such cases as return for repair, exhibition , etc. with the condition that the exporter submits a report of the transaction to the licensing authority within 7 days after the actual export. This article applies to the license for transit/trans-shipment mutatis mutandis. |
5. State maintains records of transit/transshipment authorizations | ||
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If yes, please specify | Yes |
5a. Records of transit/transshipment authorizations are kept for … years | ||
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No information provided |
5b. Information contained in records of transit/transshipment authorizations includes: | ||
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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 |
1. Definition of broker and/or brokering in national legislation and/or regulations | ||
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If yes, please specify | Yes | |
Article 24 of the Foreign Trade Act (1) Any person who intends to engage in brokering transfer or sale of strategic items, etc. from a foreign country to another foreign country shall obtain permission therefor from the Minister of Trade, Industry and Energy or the head of the relevant administrative agency, as prescribed by Enforcement Decree: Provided, That the same shall not apply to cases determined by Enforcement Decree, including cases for which export permission for the transfer or sale of strategic items, etc. has been obtained from the exporting country in accordance with the principles of the international export control system. (2) The Minister of Trade, Industry and Energy or the head of the relevant administrative agency may, upon receiving an application for brokerage permission pursuant to the main body of paragraph (1), grant the brokerage permission in accordance with the guidelines prescribed by Enforcement Decree for maintaining international peace and security as well as national security, etc. Enforcement Decree of the Foreign Trade Act Article 41 (Application, etc. for Brokerage Permission for Strategic Items, etc.) Subparagraph 5, Article 2(Definitions) of the Public Notice of the Strategic Items stipulates as follows: "Brokering" means an activity of arranging transfer goods from foreign to foreign countries in exchange for fees and other charges (paid or unpaid) Paragraph 2, Article 57 of Defense Acquisition Program Act (2) A person who intends to export or intermediate the trade of defense materials and defense technology, shall obtain permission therefor from the Administrator of the Defense Acquisition Program Administration, as prescribed by Enforcement Decree. (4) The Administrator of the Defense Acquisition Program Administration may place limitations on, or order an adjustment of, the exportation of defense materials and defense technology after consultation with the head of the relevant administrative agency, as prescribed by Enforcement Decree. The national export control list is regulated as per the international export control standard(WA, MTCR, NSG, and AG) by reflecting the export control systems in the Public Notice of Strategic Items and Table 4 of the said Public Notice. ? The obligation to obtain license for brokering falls on natural persons or legal persons that are nationals of Korea as well as on the foreign natural persons or legal persons presiding in Korea. |
2. The national system regulates brokers and/or brokering activities | ||
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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 | ||
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Article 54 of the Public Notice of Strategic Items (Application for Permission of Brokerage) copy of brokering contract or transaction relevant to the brokering Statement on the personnels involved with the brokering(exporter, importer, broker) Statement of the final consignee of the brokered items Other document acknowledged by the head of licensing authority as necessary |
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 | ||
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Article 54 of the Public Notice of Strategic Items (Application for Permission of Brokerage) copy of brokering contract or transaction relevant to the brokering Statement on the personnels involved with the brokering(exporter, importer, broker) Statement of the final consignee of the brokered items Other document acknowledged by the head of licensing authority as necessary |
4. The national control system permits brokering of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
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If yes, please specify | Yes |
5. State maintains a register of brokers | ||
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If yes, please specify | No information provided |
5a. Records of registered brokers are kept for … years | ||
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No information provided |
6. State maintains records of brokering licences or authorizations | ||
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If yes, please specify | Yes |
6a. Records of brokering authorizations are kept for … years | ||
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No information provided |
6b. Information contained in records of brokering authorizations includes: | ||
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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 | ||
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If yes, please specify | Yes | |
Acting as dealers or agents, providing technical assistance, transport, freight forwarding, storage, insurance, maintenance, security |
1. Measures to mitigate the risk of diversion | ||
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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] | No | |
Other measures | No |
2. Information contained in end user documentation (e.g. EUC) | ||
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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: | ||
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Re-export of SALW only permitted when there is prior notification | Yes | |
Re-export of SALW is permitted only when there is prior approval | Yes |
4. State takes appropriate measures when a diversion has been identified | ||
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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 | No |
1. State takes measures to enforce national laws and regulations | ||
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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 | ||
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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) | ||
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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 | ||
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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 | ||
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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 | ||
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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 | N/A | |
ATT-BAP survey | No |
2. The state makes information publicly available on arms imports and exports | ||
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UN Register of Conventional Arms | Yes | |
UN Register of Conventional Arms - SALW | Yes | |
ATT annual report | Yes | |
Arms transfers reported to Comtrade | N/A | |
Regional instrument | N/A | |
National report on arms transfers | N/A |
3. Website for more information on national system | ||
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