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 No
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 Yes
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 Yes
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
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 Yes
Ministry of Interior / Police No
Transfer control agency No
Other No
3a. National control list of conventional arms subject to transfer controls.
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
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
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
There are three types of export licenses granted by ANCEX, as follows: Individual license – granted to a registered Romanian legal person, in order to carry out an operation involving one or several military goods, to or from a single foreign partner; Global license – granted to a registered Romanian legal person, in order to carry out repetitive operations involving one or several military goods, to or from several foreign partners; General license - is granted to a registered Romanian legal person in order to carry out repetitive operation involving one or several military goods to or from several importers, exporters or suppliers. To apply for an individual export license, legal persons have to fulfill a specific form which contains information related to the exporter/supplier, importer/consignee, broker/agent, end-user, end-use, description of goods, categories within National Control List, quantity, value and currency, contact details of the exporter/supplier, country of origin, exporting country, country of final destination, payment terms, delivery terms, contract/agreement, customs regime and the customs code within the Harmonized System or Combined Nomenclature (HSCN). To apply for a global export license, legal persons have to fulfill a specific form which contains information related to the exporter/ supplier, foreign partner, broker/ agent, end-use, description of goods, categories within National Control List, contact details of the exporter/ supplier, customs regime, payment terms, value and currency. Additionally, when applying for an individual or global export license, legal persons shall present the following documents: end-use/r assurances (such as international import certificate, end-user certificate, end-user statement or non-transfer and use certificate), a copy of the contract/agreement/order, a copy of the invoice, contact details of all partners involved in the transaction and any other relevant information requested by ANCEX. General licenses are granted under certain terms and conditions [see 3(H) above]. To apply for an export authorization for firearms and ammunition for civilian use, the applicant shall present to the Ministry of Interior the following documents: an application form, an authorization issued by the importing state’s authorities (which shall clearly stipulate the brand, type, caliber and quantity of the products that are subject to transaction), authorizations issued by the third states of transit, the pro-forma invoice, a certificate issued by the manufacturer or by an international body attesting that the weapons and ammunition meet the safety conditions of use, documents attesting that the foreign partner is authorized as an armorer (this only applies to partners from states that are not members of the European Union), documents attesting that measures to guard and secure the consignment have been taken and other relevant documents.
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) 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
There are three types of import licenses granted by ANCEX, as follows: Individual license – granted to a registered Romanian legal person, in order to carry out an operation involving one or several military goods, to or from a single foreign partner; Global license – granted to a registered Romanian legal person, in order to carry out repetitive operations involving one or several military goods, to or from several foreign partners.; General license - is granted to a registered Romanian legal person in order to carry out repetitive operation involving one or several military goods to or from several importers, exporters or suppliers. To apply for an individual import license, legal persons have to fulfill a specific form which contains information related to the importer/ consignee, exporter/ supplier, broker/ agent, end-user, end-use, description of goods, categories within National Control List, quantity, value and currency, contact details of the importer, country of origin, exporting country, country of final destination, payment terms, delivery terms, contract/agreement, customs regime and the customs code within the HSCN. To apply for a global import license, legal persons have to fulfill a specific form which contains information related to the importer/ consignee, foreign partner, broker/ agent, end-use, description of goods, categories within National Control List, contact details of the importer/ consignee, customs regime, payment terms, value and currency. Additionally, when applying for an individual or global import license, the legal person shall present the following documents: end-use/r assurances (end-user statement), a copy of the contract/agreement/order, a copy of the invoice, contact details of all partners involved in the transaction, a request for an international import certificate or an equivalent document certified by ANCEX (if necessary) and any other relevant information requested by ANCEX. General licenses are granted under certain terms and conditions [see 4(D) above]. To apply for an import authorization for firearms and ammunition for civilian use, the applicant shall present to the Ministry of Interior the following documents: an application form, the pro-forma invoice, a certificate issued by the manufacturer or by an international body attesting that the weapons and ammunition meet the safety conditions of use, documents attesting that the foreign partner is authorized as an armorer (this only applies to partners from states that are not members of the European Union), documents attesting that measures to guard and secure the consignment have been taken and other relevant documents.
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
20 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) Yes
1. Definition of transit and/or transshipment in national legislation and/or regulations
If yes, please specify Yes
transit – the transport of military products through Romanian territory, which come from other countries and are intended to other countriestrans-shipment – the operation of changing the means of transport during transit operations or during insertion or removal operations in or from the territory of Romania
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
To apply for a transit or trans-shipment license, legal persons have to fulfill a specific form which contains information related to the applicant, exporter/ supplier, importer/consignee, end-user, transporter, third parties involved in the transaction, transport means, description of goods, categories within National Control List, quantity, value and currency, contact details of the applicant, exporter’s country, shipping country, country of final destination, the customs code within the HSCN, point of entrance, point of exit, contract no. for the Romanian Gendarmerie escort services (if necessary). Additionally, when applying for a transit or trans-shipment license, the legal person shall present the following documents: agreement/ contract between the applicant and the beneficiary of the international transit/ trans-shipment services, a copy of the export license or an equivalent document issued by the national authorities within the exporter’s country, the import license or an equivalent document issued by the national authorities within the importer’s country, a copy of the invoice, contact details of foreign partners, packing list, details about the means of transportation and the person accompanying the consignment, transit or trans-shipment license or an equivalent document issued by the national authorities within the neighbouring country where the goods will enter after leaving Romania, documents attesting that measures to guard and secure the consignment have been taken and any other relevant information requested by ANCEX.
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
5. State maintains records of transit/transshipment authorizations
If yes, please specify Yes
5a. Records of transit/transshipment authorizations are kept for … years
20 years
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) Yes
1. Definition of broker and/or brokering in national legislation and/or regulations
If yes, please specify Yes
According to Art. 5 (j) of the Government’s Emergency Ordinance no. 158/1999 on the control regime ofexports, imports and other operations with military goods, the definition of brokering includes activitiescarried out by a person regarding:(i) the negotiation or organization of transactions involving the export, import or transfer ofmilitary goods from a third country to another third country;(ii) the purchase, sale, export or transfer of military goods which are in that person’s ownershipfrom a third country to another third country;(iii) the negotiation or organization of transactions involving the exit from or the entrance intoRomanian territory of military goods;In the primary legislation of export controls, the definition of the broker is made with reference to theRomanian residence and the control of the brokering activities is not limited geographically.The primary legislation defines persons that could carry out brokering activities as:- Any natural (Romanian or foreign citizens) or legal entity residing in Romania, including publicauthorities.- Romanian natural entities outside the Romanian territory, in compliance with the international law.
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 N/A
3a. Information and/or documentation provided to the competent national authority in an application to register as a broker
To apply for a brokering license, legal persons have to fulfill a specific form which contains information related to the applicant, importer/consignee, exporter/ supplier, agent, end-user, end-use, description of the goods, categories within National Control List, quantity, value and currency, origin of the goods, country of final destination, payment terms, delivery terms, contract/agreement, customs regime and the customs code within HSCN. Additionally, when applying for a brokering license, legal persons shall present the following documents: end-use/r assurances, documents proving the brokering relationship, invoice, contact details of all partners involved in the transaction and any other relevant information requested by ANCEX.
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
To apply for a brokering license, legal persons have to fulfill a specific form which contains information related to the applicant, importer/consignee, exporter/ supplier, agent, end-user, end-use, description of the goods, categories within National Control List, quantity, value and currency, origin of the goods, country of final destination, payment terms, delivery terms, contract/agreement, customs regime and the customs code within HSCN. Additionally, when applying for a brokering license, legal persons shall present the following documents: end-use/r assurances, documents proving the brokering relationship, invoice, contact details of all partners involved in the transaction and any other relevant information requested by ANCEX.
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 Yes
5a. Records of registered brokers are kept for … years
20 years
6. State maintains records of brokering licences or authorizations
If yes, please specify No information provided
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
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 information provided
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 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 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 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