Republic of Korea

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	View Sources UN POA Report (2020) ATT INITIAL REPORT

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	View Sources UN POA Report (2020) ATT INITIAL REPORT

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	View Sources UN POA Report (2020) ATT INITIAL REPORT

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	View Sources UN POA Report (2020) ATT INITIAL REPORT

2a. The competent national authority/ies for the control of exports is/are:
Customs / Ministry of Finance	No	View Sources UN PoA REPORT (2014) ATT INITIAL REPORT
Ministry of Defence	No	View Sources ATT INITIAL REPORT
Ministry of Economy / Ministry of Business / Ministry of Trade	Yes	View Sources ATT INITIAL REPORT
Ministry of Foreign Affairs	Yes	View Sources ATT INITIAL REPORT
Ministry of Interior / Police	No	View Sources ATT INITIAL REPORT
Transfer Control Agency	Yes	View Sources ATT INITIAL REPORT
Other	No	View Sources ATT INITIAL REPORT

2b. The competent national authority/ies for the regulation of imports is/are:
Customs / Ministry of Finance	Yes	View Sources ATT INITIAL REPORT
Ministry of Defence	No	View Sources ATT INITIAL REPORT
Ministry of Economy / Ministry of Business / Ministry of Trade	No	View Sources ATT INITIAL REPORT
Ministry of Foreign Affairs	No	View Sources ATT INITIAL REPORT
Ministry of Interior / Police	Yes	View Sources ATT INITIAL REPORT
Transfer control agency	Yes	View Sources ATT INITIAL REPORT
Other	No	View Sources ATT INITIAL REPORT

2c. The competent national authority/ies for the regulation of transit/transshipment is/are:
Customs / Ministry of Finance	No	View Sources ATT INITIAL REPORT
Ministry of Defence	No	View Sources ATT INITIAL REPORT
Ministry of Economy / Ministry of Business / Ministry of Trade	Yes	View Sources ATT INITIAL REPORT
Ministry of Foreign Affairs	No	View Sources ATT INITIAL REPORT
Ministry of Interior / Police	No	View Sources ATT INITIAL REPORT
Transfer control agency	Yes	View Sources ATT INITIAL REPORT
Other	No	View Sources ATT INITIAL REPORT

2d. The competent national authority/ies for the regulation of brokers and/or brokering activities is/are:
Customs / Ministry of Finance	No	View Sources ATT INITIAL REPORT
Ministry of Defence	No	View Sources ATT INITIAL REPORT
Ministry of Economy / Ministry of Business / Ministry of Trade	Yes	View Sources ATT INITIAL REPORT
Ministry of Foreign Affairs	No	View Sources ATT INITIAL REPORT
Ministry of Interior / Police	No	View Sources ATT INITIAL REPORT
Transfer control agency	Yes	View Sources ATT INITIAL REPORT
Other	No	View Sources ATT INITIAL REPORT

3a. National control list of conventional arms subject to transfer controls.
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

PROHIBITIONS AND RISK ASSESSMENT CRITERIA FOR EXPORTS

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	View Sources ATT INITIAL REPORT

2. A risk assessment is conducted before issuing an export authorization
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

3. National legislation, regulations or policy guidelines include the following] risk assessment criteria
Contribute to or undermine peace and security	Yes	View Sources ATT INITIAL REPORT
Commit or facilitate a serious violation of international humanitarian law to which State is a party	Yes	View Sources ATT INITIAL REPORT
Commit or facilitate a serious violation of international human rights law to which State is a party	Yes	View Sources ATT INITIAL REPORT
Commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which State is a party	Yes	View Sources ATT INITIAL REPORT
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	View Sources ATT INITIAL REPORT
Commit or facilitate serious acts of gender-based violence or serious acts of violence against women and children	Yes	View Sources ATT INITIAL REPORT
Risk of diversion	Yes	View Sources ATT INITIAL REPORT
Other	No	View Sources ATT INITIAL REPORT

4. 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	View Sources ATT INITIAL REPORT
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.

EXPORT CONTROLS

1. There is an authorization or licensing system to control the export of conventional arms
If yes, please specify	Yes	View Sources UN POA Report (2020) ATT INITIAL REPORT

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
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 : A copy of L/C , export contract, bill of order or draft export contract(or letter of intent or equivalent to it) A copy of end user certificate A copy of documents explaining performance and purposes A copy of contract for technology transfer A copy of the license from a third country where necessary A copy of statement on the impact of the export of the relevant technology on Korea and overseas A statement on the delivery schedule Also, article 20 of the Public Notice of Strategic Items stipulates the document requirements for the export of strategic items. Article 17 of the Ministerial Decree to the Act on the Safety Management of Guns, Swords, Explosives, etc. stipulates document requirements for the export of guns, swords, explosives for non-military purposes.		View Sources ATT INITIAL REPORT

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	View Sources ATT INITIAL REPORT
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
State maintains records of export authorizations?	Yes	View Sources ATT INITIAL REPORT

4a. Records of export authorizations are kept for … years
10 years		View Sources ATT INITIAL REPORT

4b. Information contained in records of export authorizations includes:
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
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

5a. Records of actual exports are kept for … years
10 years		View Sources ATT INITIAL REPORT

5b. Information contained in records of actual exports includes:
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

IMPORT REGULATIONS

1. There is an authorization or licensing system to regulate the import of conventional arms
If yes, please specify	Yes	View Sources UN POA Report (2020) ATT INITIAL REPORT

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
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 Documents proving the contractual relationship between the end user and importing party. Import purchase order or purchase (import)contract Items of import and document explaining purpose of use Pledge of non-use for other than intended purposes Article 17 (Application for approval of export and import) of Ministerial Decree to the Act on the Safety Management of Guns, Swords, Explosives, etc.. Application form for export and import Specification, performance and use of guns, swords, gas sprayer, electroshock weapon, crossbow and their user manual Manual on the components and combination percentage of gunpowder, explosives and sprayer Manual on the structure and making of blasting agents Copy of import permit from the importing country or a copy of import license from the importing company Certificate from a transit country that it agreed to the transit of powder-charged gun or explosives that are used for weapons that are lethal to human life		View Sources ATT INITIAL REPORT

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

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

Documents proving the contractual relationship between the end user and importing party.
Import purchase order or purchase (import)contract
Items of import and document explaining purpose of use
Pledge of non-use for other than intended purposes

Article 17 (Application for approval of export and import) of Ministerial Decree to the Act on the Safety Management of Guns, Swords, Explosives, etc..

Application form for export and import
Specification, performance and use of guns, swords, gas sprayer, electroshock weapon, crossbow and their user manual
Manual on the components and combination percentage of gunpowder, explosives and sprayer
Manual on the structure and making of blasting agents
Copy of import permit from the importing country or a copy of import license from the importing company
Certificate from a transit country that it agreed to the transit of powder-charged gun or explosives that are used for weapons that are lethal to human life

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	View Sources ATT INITIAL REPORT

4. State maintains records of actual imports
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

4a. Records of actual imports are kept for … years
10 years		View Sources ATT INITIAL REPORT

4b. Information contained in records of actual imports includes:
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

TRANSIT / TRANSSHIPMENT REGULATIONS

1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

2. The national system regulates the transit/transshipment of conventional arms
By land	Yes	View Sources ATT INITIAL REPORT
By sea	Yes	View Sources ATT INITIAL REPORT
By air	Yes	View Sources ATT INITIAL REPORT

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
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. One copy of document relevant to a transaction such as export contract. Other document acknowledged by the head of licensing authority as necessary The procedure necessary to obtain licensing for a Transit/transshipment shall apply mutatis mutandis as per the regulation stated in section 2, chapter 3 of the Public Notice.		View Sources ATT INITIAL REPORT

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	View Sources ATT INITIAL REPORT
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
If yes, please specify	Yes	View Sources ATT INITIAL REPORT

5a. Records of transit/transshipment authorizations are kept for … years
No information provided

5b. Information contained in records of transit/transshipment 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

BROKERING REGULATIONS

1. Definition of broker and/or brokering in national legislation and/or regulations
If yes, please specify	Yes	View Sources ATT INITIAL REPORT
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
Registration of brokers only	N/A	View Sources UN POA Report (2020)
Authorization to conduct brokering only	N/A	View Sources UN POA Report (2020)
Two-stage process of registration of brokering and authorization for brokering	Yes	View Sources UN POA Report (2020)

3a. Information and/or documentation provided to the competent national authority in an application to register as a broker
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		View Sources ATT INITIAL REPORT

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
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		View Sources ATT INITIAL REPORT

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	View Sources ATT INITIAL REPORT

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	View Sources ATT INITIAL REPORT

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	View Sources UN POA Report (2020)
Acting as dealers or agents, providing technical assistance, transport, freight forwarding, storage, insurance, maintenance, security

MEASURES TO ADDRESS DIVERSION

1. Measures to mitigate the risk of diversion
Establishment of mitigation measures	Yes	View Sources ATT INITIAL REPORT
Provision, upon request, of end use / end user documentation to the exporting State	Yes	View Sources ATT INITIAL REPORT
Measures in place to verify or seek to authenticate EUCS or other types of end-user documentation [SALW]	Yes	View Sources UN POA Report (2020)
Measures in place aimed at preventing the forgery and misuse of EUCs or other types of end-user documentation [SALW]	Yes	View Sources UN POA Report (2020)
Requirement for end use / end user assurances from an importing State (or industry)	Yes	View Sources ATT INITIAL REPORT
Examination, where appropriate, of parties involved in a transfer	Yes	View Sources ATT INITIAL REPORT
Requirement, where appropriate, for additional documentation, certificates, assurances for a transfer	Yes	View Sources ATT INITIAL REPORT
Exchange of relevant information with other States Parties on effective measures to address diversion, as well as on illicit activities and actors	Yes	View Sources ATT INITIAL REPORT
Reporting to an international or regional body on measures taken to address diversion of transferred conventional arms	Yes	View Sources ATT INITIAL REPORT
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	View Sources UN POA Report (2020)
When importing, the State grants the right to the exporting State to conduct a physical check at the point of delivery [SALW]	No	View Sources UN POA Report (2020)
Other measures	No	View Sources UN POA Report (2020) ATT INITIAL REPORT

2. Information contained in end user documentation (e.g. EUC)
Detailed description of the SALW or technology	Yes	View Sources UN POA Report (2020)
Contract number of order reference and date	Yes	View Sources UN POA Report (2020)
Final destination country	Yes	View Sources UN POA Report (2020)
Description of the end-use of SALW	Yes	View Sources UN POA Report (2020)
Exporter's details (name, address and business name)	Yes	View Sources UN POA Report (2020)
End-user information (name, position, full address, and original signature)	Yes	View Sources UN POA Report (2020)
Information on other parties in the transaction	Yes	View Sources UN POA Report (2020)
Certification by the relevant government authorities of the authenticity of the end-user	Yes	View Sources UN POA Report (2020)
Date of issue	Yes	View Sources UN POA Report (2020)
Other	No	View Sources UN POA Report (2020)

3. Measures to Control SALW re-exports:
Re-export of SALW only permitted when there is prior notification	Yes	View Sources UN PoA REPORT (2014)
Re-export of SALW is permitted only when there is prior approval	Yes	View Sources UN PoA REPORT (2014)

4. State takes appropriate measures when a diversion has been identified
Alert potentially affected States	Yes	View Sources ATT INITIAL REPORT
Investigative and law enforcement measures at the national level	Yes	View Sources ATT INITIAL REPORT
Use international tracing mechanisms to identify points of diversion	Yes	View Sources UN POA Report (2020) ATT INITIAL REPORT
Other measures	No	View Sources UN POA Report (2020) ATT INITIAL REPORT

ENFORCEMENT

1. State takes measures to enforce national laws and regulations
State takes measures to enforce national laws and regulations	Yes	View Sources ATT INITIAL REPORT

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	View Sources UN POA Report (2020)

POINT OF CONTACT

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	View Sources UN POA Report (2020)

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	View Sources ATT INITIAL REPORT

TRANSPARENCY

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	N/A
ATT-BAP survey	No

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	N/A
Regional instrument	N/A
National report on arms transfers	N/A

3. Website for more information on national system