Arms Trade Treaty Implementation Toolkit · PDF fileArms Trade Treaty Implementation Toolkit...

ATTImplementationToolkit|Module2|OverviewofObligations

1

Arms Trade Treaty Implementation Toolkit

Module 2 Overview of Obligations

Available on: www.un.org/disarmament/ATT


2

I.Introduction

AnycountryjoiningtheArmsTradeTreaty(ATT),commitstoputtinginplaceeffectivemeasurestoimplementtheTreaty.

StateswilldecidewhichmeasurestheyneedtocarryouttheirobligationsundertheATT.Thesemeasuresmayvaryfromcountrytocountry.

Thissecondmodule,OverviewofObligations,willassistgovernmentsbyprovidinganoverviewoftheobligationsundertheATT.

Inparticular,Module2willdiscusswhatitemsarecoveredbytheTreaty.Anditwillclarifythenecessarynationalimplementationactions.Also,thismodulewilladdressopportunitiesforcooperationandhowtofostertransparencyandaccountabilityintheregulationoftheinternationaltradeofconventionalarms.

II.UnderstandingtheTreaty’sscope

ItemscoveredbytheATTareidentifiedinitsArticles2,3and4.

ThescopeoftheATTisdefinedbyArticle2.ItlistseightcategoriesofweaponsthatarecoveredbytheATT1aswellastheactivitiesoftheinternationaltradethatareconsideredtoconstitute“transfers”undertheTreaty.2

ConsequentlyaStatePartytotheATTwillhavetoapply,ataminimum,therelevantprovisionsoftheTreatytotheexport,import,transit,trans‐shipmentandbrokeringtransactionsoractivitiesinvolvingtheconventionalarmslistedinArticle2(1).

Articles3and4oftheATTcoverammunitionandpartsandcomponentsforconventionalarms.

Internationalorcross‐bordermovementsofconventionalarmsbyoronbehalfofaStatePartyforitsownuse(e.g.forexercisesoutsideofitsbordersorpeacekeepingmissions)arenotconsideredtoconstitutetransfersundertheTreatyand,therefore,arenotsubjecttotheprovisionsoftheATT.3

1.Nationaldefinitions

TheATTrequiresStatesPartiestodevelopanationalcontrollistcontainingnationaldefinitionsoftheeightcategoriesofweaponslistedinitsArticle2.

ForallthecategorieslistedinArticle2(1),exceptforsmallarmsandlightweapons(SALW),nationaldefinitionsshallnotcoverlessthanthedescriptionusedintheUNRegisterofConventionalArms(UNRegister)4atthetimeofentryintoforceoftheATT,524December2014.

1 Article 2 (1). 2 Article 2 (2). 3 Article 2 (3). 4 Available at www.un.org/disarmament/convarms/Register/. 5 See Article 5 (3).


3

ForSALW(Article2(1)(h)),nationaldefinitionsshallnotcoverlessthanthedescriptionsusedinrelevantUNinstruments,namelytheInternationalTracingInstrument(ITI)6andtheFirearmsProtocol.7

1.1 SevencategoriescontainedinUNRegisterofConventionalArms

TheUNRegister’sdefinitionsforitssevencategoriesofweaponsconstituteminimumdefinitionsfortheATT’sfirstsevencategoriesofweapons‐categoriesa)throughg)‐inArticle2(1)[refertotheAnnextothismodulefordefinitions]:

a. Battletanks;

b. Armouredcombatvehicles;

c. Large‐calibreartillerysystems;

d. Combataircraft;

e. Attackhelicopters;

f. Warships;

g. Missilesandmissilelaunchers.

AllStatesPartiesshallapplytheprovisionsoftheATTtothosecategoriesofweapons.

Importantly,theATTencouragesStatesPartiestogobeyondthisrequirementandincludethebroadestrangeofconventionalarmsintheirnationallists.

1.2 SALW

TheFirearmsProtocolandtheITIarethetwoUNinstrumentsthatcontaindefinitionsofsmallarmsand/orlightweapons.8

ThementionedProtocoldefines“firearm”asfollows:

“’Firearm’shallmeananyportablebarrelledweaponthatexpels,isdesignedtoexpelormaybereadilyconvertedtoexpelashot,bulletorprojectilebytheactionofanexplosive,excludingantiquefirearmsortheirreplicas.Antiquefirearmsandtheirreplicasshallbedefinedinaccordancewithdomesticlaw.Innocase,however,shallantiquefirearmsincludefirearmsmanufacturedafter1899.”

6 International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons. The definition contained in the ITI is largely based on the definition of firearms contained in the Firearms Protocol. 7 Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the UN Convention against Transnational Organized Crime. The Protocol defines firearms, a term that is often used interchangeably with small arms. Available at www.unodc.org/unodc/en/firearms-protocol/firearmsprotocol.html. 8 There are also several regional and subregional instruments dealing with SALW regulations and control. such as the ECOWAS Convention on Small Arms and Light Weapons, their Ammunition and other Related Materials, the Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region, the Horn of Africa and Bordering States, the Andean Plan to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All its Aspects, the SADC Protocol on the Control of Firearms, Ammunition and other Related Materials.


4

TheITIprovidesadefinitionofSALWthatiscomposedoftwoparts:thefirstpartcontainingageneraldefinition,whichislargelyderivedfromtheabove‐mentionedFirearmsProtocol’sdefinitionoffirearms;thesecondpartspecifyingwhata“smallarm”isandwhata“lightweapon”is,giventhegeneraldefinition.Bothpartsshouldbereadtogether.Thus,forthepurposesoftheITI,SALWare:

“…anyman‐portablelethalweaponthatexpelsorlaunches,isdesignedtoexpelorlaunch,ormaybereadilyconvertedtoexpelorlaunchashot,bulletorprojectilebytheactionofanexplosive,excludingantiquesmallarmsandlightweaponsortheirreplicas.Antiquesmallarmsandlightweaponsandtheirreplicaswillbedefinedinaccordancewithdomesticlaw.Innocasewillantiquesmallarmsandlightweaponsincludethosemanufacturedafter1899:

(a)‘Smallarms’are,broadlyspeaking,weaponsdesignedforindividualuse.Theyinclude,interalia,revolversandself‐loadingpistols,riflesandcarbines,sub‐machineguns,assaultriflesandlightmachineguns;

(b)‘Lightweapons’are,broadlyspeaking,weaponsdesignedforusebytwoorthreepersonsservingasacrew,althoughsomemaybecarriedandusedbyasingleperson.Theyinclude,interalia,heavymachineguns,hand‐heldunder‐barrelandmountedgrenadelaunchers,portableanti‐aircraftguns,portableanti‐tankguns,recoillessrifles,portablelaunchersofanti‐tankmissileandrocketsystems,portablelaunchersofanti‐aircraftmissilesystems,andmortarsofacalibreoflessthan100millimetres.”

1.3 Ammunition/Munitions

InadditiontotheeightcategoriesofconventionalarmscoveredinArticle2,ammunition/munitionsaresubjecttotheprohibitionsandexportassessmentprovisionsthatapplytotheweaponsdescribedinArticle2.Consequently,StatesPartiesarerequiredtoregulatetheexportofammunition/munitionsthatcanbefired,launchedordeliveredbyanyoftheconventionalarmsasdefinedaboveundersection1.1and1.2.

TheATTdoesnotprovideadefinitionofammunition.Also,thereisnointernationallyagreeddefinitionofammunition/munitionsfortheconventionalarmscoveredundertheATT,exceptforfirearmammunition.TheFirearmsProtocolinitsArticle3definesthe[firearm]ammunitionasfollows:

“Ammunition”shallmeanthecompleteroundoritscomponents,includingcartridgecases,primers,propellantpowder,bulletsorprojectiles,thatareusedinafirearm,providedthatthosecomponentsarethemselvessubjecttoauthorizationintherespectiveStateParty;”

Furthermore,itindicatesthattheabovedefinitionisforthepurposesofthatinstrumentonly.AStatemayadoptthisdefinitionordrawfromit,whenadoptingrelevantnationallawsandpoliciestoimplementtheATT.

AmoregeneraldefinitionofammunitionandmunitionisprovidedbytheInternationalAmmunitionTechnicalGuidelines(IATG):9

“[Ammunition]isacompletedevice,(e.g.missile,shell,mine,demolitionstoreetc.)chargedwithexplosives,propellants,pyrotechnicsorinitiatingcompositionforusein

9 For the International Ammunition Technical Guidelines (IATG), see www.un.org/disarmament/convarms/ammunition.


5

connectionwithoffence,ordefence,ortraining,ornon‐operationalpurposes,includingthosepartsofweaponssystemscontainingexplosives.(c.f.munition).

“[Munition]isacompletedevicechargedwithexplosives,propellants,pyrotechnics,initiatingcomposition,ornuclear,biologicalorchemicalmaterialforuseinmilitaryoperations,includingdemolitions.”

ThedefinitioncontainedintheIATGreachesbeyondtheammunition/munitionscontemplatedintheATT,as(i)itmayalsoapplytoweaponsofmassdestruction(e.g.,nuclear,biologicalandchemical)and(ii)itincludesweapons,suchasmines,whicharenotcoveredinthescopeoftheATT.

1.4 Partsandcomponents

UnderArticle4oftheATT,StatesPartiesmustregulatetheexportofpartsandcomponentsthatcanprovidethecapabilitytoassembletheconventionalarmsincludedinthescopeoftheATT.

TheATTdoesnotprovideadefinitionofpartsandcomponents.However,Article3oftheFirearmsProtocoldoes:

“’Partsandcomponents’shallmeananyelementorreplacementelementspecificallydesignedforafirearmandessentialtoitsoperation,includingabarrel,frameorreceiver,slideorcylinder,boltorbreechblock,andanydevicedesignedoradaptedtodiminishthesoundcausedbyfiringafirearm.”

2.ATTcomparedtootherrelevantglobalinstruments10

Thefollowingglobalinstruments–adoptedundertheauspicesoftheUN–addressthetradeinconventionalarms:

a. UNProgrammeofActiontoPrevent,CombatandEradicatetheIllicitTradeinSmallArmsandLightWeaponsinAllItsAspects11(PoA);

b. ITI;

c. FirearmsProtocol;

d. UNRegister.12

SomeATTStatesPartieshaveadoptedregional,sub‐regionalandothergovernmentalinstrumentsthatregulatearmsexports.TheseStatesareencouragedtoconsulttheseinstrumentsandtoidentifyareaswheretheirATTcommitmentswouldoverlapwiththeircommitmentsunderotherrelevantnon‐UNinstrumentsinordertofindsynergiesforaneffectiveimplementationoftheATT.

10 There are also regional, sub-regional and other inter-governmental instruments (e.g. the Nairobi Protocol, the ECOWAS Convention, the Wassenaar Arrangement) that deal with arms export regulations. 11 The PoA was adopted by Member States of the UN by consensus in 2001 and all States are politically committed to implementing the measures recommended in it. Available at www.poa-iss.org/poa/poahtml.aspx. 12 www.un.org/disarmament/convarms/Register/.


6

Figure1and2provideanoverviewofpossibleoverlapsbetweentheATTandtheseotherinternationalinstruments.

Figure1–Exportofconventionalarmsandrelateditems

Figure2–Import,transitandtranshipment,andbrokeringofconventionalarmsandrelateditems


7

III.NationalimplementationofATTrequirements

1.Requirementsrelatedtoarmsexports

1.1 Establishandmaintainanationalexportcontrolsystem

TheATTrequiresStatesPartiestoestablishandmaintainanationalexportcontrolsystemthatensureseffectivecompliancewiththeexportprovisionsoftheATT,includingapplicationoftheexportassessmentprovisionsoftheATTandenforcementofrelevantexportprohibitionsandnationallawsandpolicies.13

StatesPartiesmusthaveinplacelaws,regulationsandadministrativeprocedurestocontrolandregulatetheexportofconventionalarmsunderthescopeoftheATT,aswellasrelatedammunition,14partsandcomponents.15

Theselaws,regulationsandproceduresshallenabletheStatePartytoexerciseeffectivecontroloverconventionalarms,ammunitionandpartsandcomponentsleavingaState’sjurisdiction.

Thenationallegislationshouldclearlystate:

a) Whichweaponsanditemsaresubjecttoexportcontrol(nationalcontrollist);

b) Whichgovernmentministries,departmentsandagenciesareresponsibleforcontrollingconventionalarmsexports(nationalauthorities);

c) Thecriteriaforgrantingorrefusingexportauthorizations(regulatoryprocedures);

d) Thelegaland/oradministrativeactionsthatmustbeappliedincaseofexportoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).

1.1.1.Nationalcontrollist

Article5(2)oftheATTrequiresStatesPartiestoestablishandmaintainanationalcontrollist.

Thislistshallcontaindefinitionsoftheconventionalarms,ammunitionandmunitions,andpartsandcomponentsthetransferofwhicharetoberegulated.

Thenationalcontrollistmaybeasinglelistcoveringallitemssubjecttoexportcontrol,oracollectionoflistseachcoveringdifferentcategories/typesofitemssubjecttoexportcontrol.

StatesParties,pursuanttotheirnationallaws,mustprovidetheirnationalcontrolliststotheATTSecretariat,whichshallmakethemavailabletootherStatesParties.

13 Article 5 (2). 14 Article 3. 15 Article 4.


8

StatesPartiesarealsoencouragedtomaketheircontrollistspubliclyavailable.

1.1.2.Nationalauthorities

StatesPartieshavetodesignatecompetentnationalauthoritiestoensuretheeffectiveandtransparentnationalcontrolandregulationovertheexportofitemscoveredundertheATT.16

Thedesignatedauthoritycouldbeanewentityestablishedforthispurposeoranalreadyestablishedentity.

Thedesignatedauthorityshalladministertheregulatoryregimeandimplementcontrolsthroughanarmsexportauthorizationprocess.17

Box1–Designatingnationalauthorities

Althoughspecificapproacheddifferfromcountrytocountry,mostgovernmentsdesignateonestateagencyasthemainentityresponsibleforexaminingexportauthorizationapplicationandgranting(orrefusing)therelatedauthorizations.18Itiscommonforsuchanagencytoconsultwithothergovernmentministriesordepartmentsbeforeadecisionistakenonanauthorizationapplication.Insomecases,theauthorizationauthorityissubjecttoanoversightmechanism(e.g.bythelegislativebodyorparliament).

Taskstobeundertakenbytheauthorizationagencymayinclude:

a. Receiveandreviewexportapplications;

b. Issueexportauthorizations;

c. Ensurethatalldocumentationandapprovalsfortheexportofitemsaredetailedandissuedpriortotheexport;19

d. Keeprecordsofexportauthorizationsforaminimumoftenyears;20

e. MakeavailableappropriateinformationaboutanauthorizationtotheimportingStateandtransitortranshipmentState,ifapplicableandsubjecttoitsnationallaws,policiesandpractices;21

f. Coordinatewithotherministriesanddepartmentinvolvedintheexportauthorizationprocess;

g. Reporttotheoversightbody,whereapplicableandinaccordancewithnationallaws.

Inmanycountriesnationallawsrequirethattheexportofcertainweaponsofstrategicimportancebeapprovedatalevelhigherthannationalauthority,suchashigh‐levelofficials,thecabinetorCouncilofMinistersor,insomecases,thelegislativebody.

16 Article 5 (5). 17 C.f. Article 5 (5). 18 For the purposes of these guidelines, an export authorization will be often referred to as an “export licence”. However, some countries use other terminology, e.g. “export permit”. 19 Article 7 (5). 20 Article 12 (1). 21 Article 7 (6).


9

1.1.3.Regulatoryproceduresonconventionalarmsexports

Theexportofconventionalarms,relatedammunition/munition,partsandcomponents(or“covereditems”)shallbesubject,onacase‐by‐casebasis,topriorwrittenauthorization(‘exportauthorization’)bythecompetentauthoritiesoftheexportingState.

a.Transferprohibition22

ExportauthorizationsofitemsshallnotbegrantediftheexportwouldcontraveneanyofthecriteriaoutlinedinArticle6oftheATT.

Box2–Prohibitionsoftransfers(Article6)

Atransferofitemsshouldbedeniedif:

a) ItwouldviolatetheStateParty’sobligationsundermeasuresadoptedbytheUNSecurityCouncilactingunderChapterVIIoftheCharter,inparticulararmsembargoes;

b) ItwouldviolateaStateParty’srelevantinternationalobligationsunderinternationalagreements;

c) AStatePartyhasknowledgeatthetimeofauthorizationthatthearmsoritemswouldbeusedinthecommissionof:‐Genocide;‐Crimeagainsthumanity;‐GravebreachesoftheGenevaConventionsof1949;‐Attacksdirectedagainstcivilianobjectsorciviliansprotectedassuch;‐OtherwarcrimesasdefinedbyinternationalagreementstowhichitisaParty.

b.Exportassessment23

StatesPartiesarerequiredtoconductanassessmentofrisksassociatedwiththeexportofitemscoveredundertheATT.

TheassessmentbytheexportingStatePartyshouldbedoneinacoherent,objectiveandnon‐discriminatorymanner,takingintoaccountrelevantfactors,includinginformationprovidedbytheimportingState.ThecriteriafortheexportassessmentareoutlinedinArticle7oftheATT.

IfanexportisnotprohibitedunderArticle6oftheATT,thenationalauthoritiesoftheexportingStatePartyshallassessthepotentialthatanexportofcovereditems:

Wouldcontributetoorunderminepeaceandsecurity;24

Inmakingthisassessment,thenationalauthoritiesmayidentifypositiveandnegativefactorsaffectingdecisionsregardingexportofcovereditems.Ifthoseauthoritiesdeterminethatanexportislikelytocontributetopeaceandsecurity(apositiveoutcome),thentheyshouldaddthisfindingtothelistoffactorsfavouringtheauthorisationoftheexports.Ontheotherhand,ifthenationalauthoritiesfindthatanexportislikelytounderminepeaceandsecurity(anegative

22 Article 6. 23 Article 7. 24 Article 7.


10

outcome),thentheyshouldassessthisriskandaddittothelistoffactorsjustifyingtheadoption/negotiationofmitigatingmeasuresoradenialofsuchexport.

Couldbeusedtocommitorfacilitateaseriousviolationofinternationalhumanitarianorinternationalhumanrightslaw;

CouldbeusedtocommitoffensesunderinternationalconventionsorprotocolsrelatingtoterrorismorinternationalorganizedcrimetowhichtheexportingStateisaparty.25

TheexportingStatehastotakeintoaccounttheriskoftheitemsbeingusedtocommitorfacilitateseriousactsofgender‐basedviolenceorseriousactsofviolenceagainstwomenandchildren.26

Box3–Criteriaforexportassessment

Article7(1):IftheexportisnotprohibitedunderArticle6,eachexportingStateParty,priortoauthorisationoftheexportofconventionalarmscoveredunderArticle2(1)orofitemscoveredunderArticle3orArticle4,underitsjurisdictionandpursuanttoitsnationalcontrolsystem,shall,inanobjectiveandnon‐discriminatorymanner,takingintoaccountrelevantfactors,includinginformationprovidedbytheimportingStateinaccordancewithArticle8(1),assessthepotentialthattheconventionalarmsoritems:

a) wouldcontributetoorunderminepeaceandsecurity;

b) couldbeusedto:

(i) commitorfacilitateaseriousviolationofinternationalhumanitarianlaw;

(ii) commitorfacilitateaseriousviolationofinternationalhumanrightslaw;

(iii)commitorfacilitateanactconstitutinganoffenceunderinternationalconventionsorprotocolsrelatingtoterrorismtowhichtheexportingStateisaParty;

(iv)commitorfacilitateanactconstitutinganoffenceunderinternationalconventionsorprotocolsrelatingtotransnationalorganizedcrimetowhichtheexportingStateisaParty.

Article7(4):TheexportingStateParty,inmakingthisassessment,shalltakeintoaccounttheriskofthecovereditemsbeingusedtocommitorfacilitateseriousactsofgender‐basedviolenceorseriousactsofviolenceagainstwomenandchildren.

c.Mitigationmeasures27

Ifthereisariskoftheweaponsanditemsbeingusedtounderminepeaceandsecurityortocommitorfacilitateaseriousviolationofinternationalhumanitarianorhumanrightslaworoffensesunderinternationalconventionsorprotocolsrelatingtoterrorismorinternationalorganizedcrime,exportingStatesPartiesshallconsiderwhethertherearemitigationmeasuresthatcouldbeundertakensuchas:

- Confidence‐buildingmeasures;

- JointlydevelopedandagreedprogrammesbytheexportingandimportingStates.

25 Article 7 (1). 26 Article 7.4. 27 Article 7 (2).


11

d.Exportdenials

IftheexportingState–afterhavingconductedtheexportassessmentaswellasconsideredmitigationmeasures–determinesthatthereisanoverridingriskofanyofthenegativeconsequencesinArticle7(1),theexportshallnotbeauthorised.

Consequently,thenationalauthoritiesinvolvedintheexportauthorisationprocessmustconsideriftheprobablenegativeconsequencesofarmsexportswouldoutweighthepositiveaspectsoftheexports(providedtheexportisnottheonethatisalreadyprohibitedunderArticle6).

e.Assessingtheriskofdiversion28

Duringtheexportassessment,theexportingStatesPartiesshallalsoassess:

Theriskthatsomeoralloftheweaponscouldbedivertedbeforereachingtheauthorizedend‐user;

Theriskthatsomeoralloftheweaponscouldbedivertedafterreachingtheauthorisedend‐user,includingthrough:

Asubsequenttransferbytheauthorizedend‐userinawaythatwouldviolatetheprovisionsoftheATT,contravenetheexportingState’snationalexportpoliciesorwouldotherwiseconstituteadiversion;

Leakagesduetopilferingandotheroccurrencesgenerallyassociatedwithinadequateandinsecurestockpilemanagementorcorruption;

Stockpilescapturedbyarmednon‐stateactors.

f.Reassessmentofauthorizations29

TheexportingStatePartyisencouragedtoreassessanauthorizationofaspecifictransferofconventionalarmsoritemsthathasalreadybeengranted,shouldnewrelevantinformationcomestolight.

Ifpossibleandappropriate,suchareassessmentshouldbeundertakenafterconsultationswiththeimportingState.

1.1.4.Enforcementmeasures

Mechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtoconventionalarmsexportsshallbeinplaceatnationallevel.30

EachStatePartywilldecideontheextentofitsnationalenforcementmeasuresastheATTdoesnotprovideanyguidance.

28 Article 11 (2). 29 Article 7 (7). 30 Article 14.


12

1.2Maintainnationalrecordsofexportauthorizationsandactualexports

TheexportingStatePartyshallkeeprecordsofallexportauthorizationsissuedoroftheactualexportsofconventionalarmsunderArticle2(1).31

ItisuptotheStatePartytodecideitspreference:recordsofauthorizationsorofactualexportsorboth.Therecordsshouldbekeptbythecompetentnationalauthorities.

TheATTdoesnotrequireStatesPartiestokeeprecordsofauthorizationsoractualexportsofammunitionorpartsandcomponents,butStatesPartiescankeepsuchrecordsiftheysochoose.

Recordsshallbemaintainedforaminimumoftenyears.32

Box4–Record‐keepingofexports

Statesareencouragedtoincludeintheirrecords:33

1.Quantity;2.Value;3.Model/type/serialnumber;4.Authorizedconventionalarmstobetransferred;5.Conventionalarmsactuallytransferred;6.DetailsofimportingState(s),transitandtrans‐shipmentState(s);7.End‐users.

1.3 RoleofimportingStateinexportauthorizationprocess

TheimportingStateshallensurethatappropriateandrelevantinformationisprovided,uponrequest,toassisttheexportingStateinconductingitsnationalexportassessment.34Suchdocumentsmayinclude:

a.End‐useorend‐userdocumentation;35

b.Importauthorization;

c.DocumentsthatindicatethattheimportingStatehasanadequatesystemandthecapacitytocontroltheimportedweapons.

1.4 Export‐relatedrequirementsundertheATTcomparedwiththoseunderotherrelevantUNinstruments

InadditiontotheATT,thereareotherinternationalinstrumentsthathaveprovisionsorrecommendmeasuresregardingthecontrolofexport,importandtransit/trans‐shipmentofconventionalweapons,suchasthePoAandtheFirearmsProtocol.SomeStatesmayhavealreadytakenimplementation

31 Article 12 (1). 32 Article 12 (4) 33 Article 12 (3). 34 Article 8 (1). 35 ibidem


13

measuresundertheseinstruments.Inordertoavoidduplicationofefforts,thefollowingtableliststhedifferentrequirementsrelatedtoexportofconventionalweaponscontainedinthethreeinstruments.

Table1–Overviewofexport‐relatedrequirementsofUNinstruments

ATT Firearms Protocol PoA

Export controls

-Establish and maintain a national control system, including a national control list. See Art. 5 (2). -Establish and maintain national control systems to regulate export of ammunition / munitions and parts and components. See Art. 3 and 4.

-Each State Party shall establish or maintain an effective system of export licensing or authorization. See Art. 10 (1).

-Put in place adequate laws, regulations, and administrative procedures to exercise effective control over export. See Para. II.2 and II.12. -Establish an effective system of export licensing or authorization. See Para. II.11.

Export prohibitions

-Exports shall be prohibited if they violate Security Council and UN Charter obligations, violate obligations under international agreements the exporting State is party to; or be used in the commission of genocide, crime against humanity, grave breaches of the Geneva Conventions, attacks directed against civilians, or other war crimes. See Art. 6.

- No provisions that explicitly prohibit the export of firearms -

- States must take appropriate measures including all legal or administrative means, against any activity that violates a Security Council arms embargo in accordance with the UN Charter. See Para. II.15.

Export assessment

-Assess the potential that weapons would contribute to or undermine peace and security; could be used to violate international humanitarian and human rights law, international conventions, or protocols relating to terrorism or transnational organized crime. See Art. 7 (1).

- No provisions that require States Parties to undertake an export assessment -

-Assess export applications according to strict national regulations and procedures that are consistent with international law and that take into account the risk of diversion. See Para. II.11.

Documentation

- Ensure all authorizations for export are detailed and issued prior to export. See Art. 7 (5).

-Verify that importing States have issued import licences and authorizations; and written notice that transit States do not object. See Art. 10 (2). - Documentation must include: place and date of issuance, date of expiration, country of export, country of import, final recipient, description and quantity of the items, and transit countries (if relevant). See Art. 10 (3). - Ensure (with available means) that the authenticity of documents can be verified or validated. See Art. 10 (5).

- Ensure the use of authenticated end-user certificates and effective legal and enforcement measures. See Para. II.12.


14

2 Requirementsrelatedtoarmsimport

2.1 Regulateimports

Ingeneral,StatesPartiesmustputinplacelaws,regulationsandadministrativeprocedurestoregulatetheimportofconventionalarmsunderthescopeoftheATT.ThisisconsistentwithArticle8(2)andwithArticle5(4),bywhichStatesPartiesareexpectedtohaveinordertohaveaneffectiveandtransparentnationalcontrolsystemregulatingthetransferofconventionalofcovereditems.

Thenationallegislation,regulationsoradministrativeproceduresshouldclearlystate:

Whichitemsaresubjecttoimportcontrol(nationalcontrollist);

Whichgovernmentministriesordepartmentsareresponsibleforregulatingconventionalarmsimports(nationalauthorities);

Thecriteriaforgrantingorrefusingimportauthorizations(regulatoryprocedures),ifapplicable;

Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofimportoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).

2.1.1.Nationalcontrollist

Thenationalcontrollistisanessentialtoolforregulatingimportsofconventionalarms.StatesPartiesarefreetoestablishasinglenationalcontrollistforbothexportandimportcontrol.


StatesPartieshavetodesignatecompetentnationalauthoritiestoensuretheeffectiveandtransparentnationalregulationovertheimportofconventionalweaponscoveredundertheATT.36

IncasetheStatePartyoptsforanimportcontrolsystem–meaningthateveryimportofconventionalweaponslistedinthenationalcontrollistissubjecttoanimportauthorization–thedesignatedauthoritiesshalladministertheregulatoryregimeandimplementcontrolsthroughanarmsimportauthorizationprocess.

2.1.3.Regulatoryprocedures

Theregulatoryprocedurestocontrolimportsofconventionalarmsestablishthecriteriaforgrantingorrefusingtheimportofconventionalweaponsincludedinthenationalcontrollist.

36 Article 5 (5).


15

IncasetheimportingStatePartyregulatestheimportsthroughalicensingsystem,theregulatoryproceduresshoulddetailhowandunderwhatcircumstancesimportauthorizationscanbeobtained.


StatesPartiesmustputinplacemeasuresandmechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtotransitandtrans‐shipmentofconventionalarms.37

EachStatePartywilldecideonthespecificenforcementmeasurestobeadopted,astheATTdoesnotprovidefurtherdetailsonthismatter.

2.2 Maintainrecordsofimports

TheimportingStateisencouragedtomaintainrecordsofconventionalarmscoveredbytheATTthataretransferredtoitsterritoryasthefinaldestination.38

Box5–Record‐keepingofimports

Therecordsshouldinclude:39

1.Quantity;2.Value;3.Model/type/serialnumber;4.AuthorizedinternationaltransfersofconventionalarmscoveredunderthescopeoftheATT;5.Conventionalarmsactuallytransferred;6.DetailsofexportingState(s),transitandtrans‐shipmentState(s);7.End‐users.

2.3 Import‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments

Thereareotherinternationalinstrumentsthathaverequirementsorrecommendmeasuresrelatedtoimportcontrolofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferentinscope,itisimportanttobeawareofthepossibleoverlaps,complementarityorsynergiesbetweenthesethreeinstruments.

37 Article 14. 38 Article 12 (2). 39 Article 12 (3).


16

Table2–Overviewofimport‐relatedrequirementsofUNinstruments

ATT FirearmsProtocol PoA

Importcontrols

-TheimportingStateshalltakemeasurestoregulate,wherenecessary,importsunderitsjurisdiction,suchasthroughimportsystems.SeeArt.8(2).

-EachStatePartyshallestablishormaintainaneffectivesystemofimportlicensingorauthorization.SeeArt.10(1).

-Putinplaceadequatelaws,regulations,andadministrativeprocedurestoexerciseeffectivecontroloverimport.SeePara.II.2.-Establishaneffectivesystemofimportlicensingorauthorization.SeePara.II.11.

Documentation

‐TheimportingStateshallensurethatrelevantinformation–suchasend‐useorend‐userdocumentation–isprovided,uponrequest,pursuanttoitsnationallaw,toassisttheexportingStateParty.SeeArt.8(1).‐TheimportingStatemayrequestinformationfromtheexportingStateregardingexportauthorizations.SeeArt.8(3).

‐TheimportingStatePartyshall,uponrequest,informtheexportingStatePartyofthereceiptofthedispatchedshipment.SeeArt.10(4).

‐ ThePoAonlyreferstothefactthatimportlicensingorauthorizationisrequired.SeeParaII.11).

3 Requirementsrelatedtotransit/trans‐shipmentStates

3.1 Regulatetransitortrans‐shipment

Bothtransitandtrans‐shipmentconstitutea“transfer”underArticle2(2)oftheATT.Therefore,StatesPartiesarerequiredtocomplywithalltheprohibitionsontransfersofitemsunderArticle6aswellastotakeappropriatemeasurestoenforcetheimplementationoftheTreaty.

Inaddition,StatesPartiesshalltakemeasurestoregulatetransitortrans‐shipmentundertheirjurisdiction,wherenecessaryandfeasible.40

Inordertoregulatetransitandtrans‐shipmentofconventionalarms,StatesPartieswillhavetoputinplacelaws,regulationsandadministrativeproceduresinamannerthatisconsistentwithinternationallaw.

Thenationallegislationshouldstate:

Whatconstitutestransitortrans‐shipment(nationaldefinition);

40 Article 9.


17

Whichgovernmentministriesordepartmentsareresponsibleforregulatingtransitandtranshipmentofconventionalarms(nationalauthorities);

Thecriteriaforgrantingorrefusingtransit/trans‐shipmentauthorizations(regulatoryprocedures),ifapplicable;

ThecriteriashallincludetheprohibitionsunderArticle6oftheATT.

Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).


Wherenecessaryandfeasible,StatesPartieswillhavetodesignatenationalauthoritiesregulatingconventionalarmstransitandtrans‐shipment.41

ItisuptoeachStatePartytodecideonhowtoestablishitsnationalauthorities.


EachStatePartyhasdiscretiontoregulatetransitandtrans‐shipmentofitemsbeyonditsobligationunderArticle6.TheStatePartycanestablishhowitwishestoregulatethoseactivities.Therearethreemainapproachestoregulatetransit/trans‐shipment:

Licensingsystem:Underthissystem,anexporterneedstoapplyandobtainatransit/trans‐shipmentauthorizationfromthenationalauthorityinthetransit/trans‐shipmentStatepriortothetransitofweaponsthroughterritoryunderthejurisdictionofthisState.

Priornotification:Notificationproceduresthatrequirethenationalauthorityinthetransit/trans‐shipmentStatetobeprovidedinadvancewithinformationanddocumentationonthemovementofweaponstransiting/trans‐shippingthroughterritoryunderitsjurisdiction.

Transit/trans‐shipmentcontrolonlybycustomsauthorities:Thisrequiresanotificationtocustomsauthoritiesaboutarmsshipmentsatthepointofentry,uponwhichtechnicalanddocumentarycheckscouldbeconducted.


StatesPartiesmustputinplacemeasuresandmechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtotransitandtrans‐shipmentofconventionalarms.42

41 Article 5 (5). 42 Article 14.


18

EachStatePartywilldecidewhichspecificenforcementmeasurestoadopt,astheATTdoesnotprovideguidanceonthismatter.

3.2 Maintainrecords

Transitortrans‐shipmentStatesPartiesareencouragedtomaintainaccuraterecordsofconventionalarmsthatareauthorisedtotransitorbetrans‐shippedinterritoryundertheirjurisdiction.

Theserecordsshouldbekeptforaminimumoftenyears.43

Box6–Record‐keepingoftransitsandtrans‐shipments

Therecordsshouldinclude:44

a. Quantity;

b. Value;

c. Model/type/serialnumber;

d. AuthorizedinternationaltransfersofconventionalarmscoveredunderthescopeoftheATT;

e. Conventionalarmsactuallytransferred;

f. DetailsofexportingState(s),importingState(s),andothertransitandtrans‐shipmentState(s)ifapplicable;

g. End‐user.

3.3Transit/trans‐shipment‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments

Thereareotherinternationalinstrumentsthathaverequirementsorrecommendmeasuresrelatedtotransit/trans‐shipmentofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferentinscope,itisimportanttobeawareofthepossibleoverlaps,complementarityorsynergiesbetweenthesethreeinstruments.

43 Article 12 (4). 44 Article 12 (3).


19

Table6–Overviewoftransit/trans‐shipment‐relatedrequirementsofUNinstruments


Transit/transhipmentcontrols

-—Shallnotauthorise-anytransit/trans‐

shipment-ofcovered-itemsinviolationof-Article6.

—Takeappropriate-measurestoenforce-nationalmeasures-takentoimplement-theATT.SeeArt.14.-Takeappropriatemeasures

toregulate,wherenecessaryandfeasible,thetransitortrans‐shipmentthroughitsterritory.SeeArt.9.

-Establishor-maintaineffective-measureson-internationaltransit-offirearms,theirparts-andcomponentsand-ammunition.SeeArt.-10(1).

-—Putinplace-adequatelaws,-regulations,and-administrative-procedurestoexercise-effectivecontrolover-transitofsmallarms-andlightweapons.See-Para.II.2.-—Establishor-maintainmeasureson-internationaltransitof-smallarmsandlight-weaponswithaview-tocombatingitsillicit

-trade.SeePara.II.11.

Documentation

‐Noreferencetodocumentationinthecontextofregulatingthetransit/trans‐shipmentofconventionalarms‐

‐TheinformationintheimportlicencemustbeprovidedtothetransitStatesinadvance.SeeArt.10(3).

—Putinplaceadequatelaws,regulations,andadministrativeprocedurestoensureeffectivecontrolovertransitofsmallarmsandlightweapons,includingtheuseofauthenticatedend‐usercertificatesandeffectivelegalandenforcementmeasures.SeePara.II.12.

4 Requirementsrelatedtobrokering

4.1 Regulatebrokering

StatesPartiesshalltakemeasurestoregulatearmsbrokeringtakingplaceundertheirjurisdiction.45StateshavediscretiontodeterminehowtodesignsuchregulationprovidedthatitcomplieswiththeirobligationonprohibitionsoftransfersunderArticle6oftheATT.

45 See Article 10.


20

Thenationallegislation,regulationoradministrativeproceduresregardingbrokeringcouldinclude:

Whatconstitutesbrokering(nationaldefinition);

Whichgovernmentministriesordepartmentsareresponsibleforregulatingconventionalarmsbrokering(nationalauthorities);

Thecriteriaforgrantingorrefusingbrokeringauthorizations(regulatoryprocedures),ifapplicable;

ThecriteriashallincludetheprohibitionsunderArticle6oftheATT.

Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).

4.1.1.Nationaldefinition

SincetheATTdoesnotdefinethetermbrokering,andgiventhemultitudeofactivitiesthatcouldbeassociatedwithbrokering,itisimportantthatthenationallegislationdelineateswhatconstitutesbrokeringandwhatdoesnot.AccordingtothereportoftheUNGroupofGovernmentalExpertsonBrokeringinSALW46(GGEreport)andtheInternationalSmallArmsControlStandards(ISACS),brokeringmeans:47

GGEreport“8.AbrokerinSALWcanbedescribedasapersonorentityactingasanintermediarythatbringstogetherrelevantpartiesandarrangesorfacilitatesapotentialtransactionofSALWinreturnforsomeformofbenefit,whetherfinancialorotherwise”.ISACS01.20Broker:“Apersonorentityactingasanintermediarythatbringstogetherrelevantpartiesandarrangesorfacilitatesapotentialtransaction[…]inreturnforsomeformofbenefit,whetherfinancialorotherwise”Brokering:”Activitiescarriedoutbyabrokerinthecontextofarrangingorfacilitatinganinternationaltransferofsmallarmsorlightweapons.Note1.Brokeringactivitiesinclude,butarenotlimitedto:‐servingasafinderofbusinessopportunitiestooneormoreparties;‐puttingrelevantpartiesincontact;‐assistingpartiesinproposing,arrangingorfacilitatingagreementsorpossiblecontractsbetweenthem;‐assistingpartiesinobtainingthenecessarydocumentation;

46 A/62/163 of 30 August 2007. 47 Available at www.smallarmsstandards.org.


21

‐assistingpartiesinarrangingthenecessarypayments”.

Note2.Someactivitiescloselyassociatedwithbrokeringinsmallarmsandlightweapons,thatdonotnecessarilyinthemselvesconstitutebrokeringactivities,mightbeundertakenbybrokersaspartoftheprocessofputtingadealtogethertogainbenefit.Theseactivitiesmayinclude,forexample,actingasdealersoragentsinsmallarmsandlightweapons,providingtechnicalassistance,training,transport,freightforwarding,storage,finance,insurance,maintenance,securityandotherservices.

Note3.Brokeringactivitiescantakeplaceinthebroker’scountryofnationality,residenceorregistration;theycanalsotakeplaceinanothercountry.Thesmallarmsandlightweaponsdonotnecessarilypassthroughtheterritoryofthecountrywherethebrokeringactivitytakesplace,nordoesthebrokernecessarilytakeownershipofthesmallarmsandlightweapons”.


StatesPartiesshalldesignatenationalauthoritiestoregulatebrokeringinconventionalarms.48Brokeringconstitutesa“transfer”underArticle2(2)oftheATT.

Ideally,thecompetentnationalauthoritiestoregulatebrokeringofconventionalarmsshouldbeclearlyidentifiedinthenationallegislationandshouldbepartofthenationalimport/exportcontrolsystems.

AlthoughitistheprerogativeofeachStatePartytodecidewhichauthoritiesshouldbeentrustedwiththeresponsibilityofregulatingbrokering,itwouldbeconsistentwithATTimplementationrequirementsandobligations,toconsiderplacingthatresponsibilitywiththesameauthoritiesentrustedwiththeregulationofexports.


ItisuptoStatesPartiestodecidehowtoregulatebrokeringinconventionalarmstakingplaceunderitsjurisdiction,providedthattheStatePartycomplieswithitsobligationsunderArticle6oftheATT(prohibitionsontransfers).Measurescouldincluderegistrationofbrokersandissuingwrittenauthorizationsbeforeengaginginbrokeringtransactions.


Mechanismsthatensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtobrokeringofconventionalarmsshallbeinplaceatthenationallevel.49

Stateswillwhichenforcementmeasurestoadopt,astheATTdoesnotprovidefurtherdetails.

48 Article 5 (5). 49 Article 14.


22

4.2 Brokering‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments

Thereareotherinternationalinstrumentsthathaverequirementsrelatedtobrokeringofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferent in scope, it is importanttobeawareofthepossibleoverlaps,complementarityorsynergiesamongthesethreeinstruments.

Table4–Overviewofbrokering‐relatedrequirementsofUNinstruments


Brokeringcontrols

-EachStatePartyshalltakemeasures,pursuanttoitsnationallaws,toregulatebrokeringtakingplacewithinitsjurisdiction,suchasregistrationorbrokeringauthorizations.SeeArt.10.

‐Considerregulatingbrokersbyestablishingasystemthatrequires:registrationofbrokersoperatingwithinStateParty’sterritory;licensingorauthorizationofbrokering;and/ordisclosureofnamesandlocationsofbrokersonimportandexportlicencesandauthorizations.SeeArt.15.

‐Developadequatelegislationandadministrativeproceduresonregulatingtheactivitiesofthosewhoengageinbrokeringofsmallarmsandlightweapons,including:registration,licensingorauthorizationofbrokeringtransactions,andappropriatepenaltiesforillicitbrokeringactivitiesperformedwithintheState’sjurisdictionandcontrol.SeePara.II.14.

5 Requirementsrelatedtothepreventionofdiversionofconventionalarms

5.1 Legalbasis

StatesPartiesinvolvedinthetransferofconventionalarmsshalltakemeasurestopreventtheirdiversion.50

Theresponsibilitytotakemeasurestopreventdiversionneedstobesharedamongallthoseinvolvedintransfers,includingexporting,importingandtransit/trans‐shipmentStates.

Tothateffect,Statespartiesshallcooperateandexchangeinformationinordertomitigatetheriskofdiversionofthetransferofconventionalarms.51

50 Article 11 (1).


23

ItisuptoeachStatePartytodefineinitsnationallegislationand/orproceduresthemodalitiesofsuchinformationexchange,includingthescopeandextentofinformationtobeexchangedaswellastheentityresponsibleforinformationexchange.Moreover,StatesPartiesmayconsideradoptingbilateral,multilateralorregionalagreementstoestablishinformationexchangemechanismstothisend.

Exporting,importingandtransit/trans‐shipmentStatesshouldundertakemeasurestopreventdiversionattheirrespectivestagesofatransfer.

5.2 Sharingofinformation

StatesPartiesareencouragedtosharerelevantinformationwithoneanotheroneffectivemeasurestoaddressdiversion.Thisinformationcouldinclude:52

a. Illicitactivities,includingcorruption;

b. Internationaltraffickingroutes;

c. Illicitbrokers;

d. Sourcesofillicitsupply;

e. Methodsofconcealment;

f. Commonpointsofdispatch;

g. Destinationsusedbyorganizedgroupsengagedindiversion;

h. Weaponsmarkingpractices.

5.3 RoleofexportingStatesinpreventingdiversion

TheexportingStateshallseektopreventthediversionofconventionalarmsthroughitsnationalcontrolsystemby:

a. Assessingtheriskofdiversionoftheexport;

b. ConsideringtheestablishmentofmitigationmeasuresorjointlydevelopedoragreedprogrammeswiththeimportingState.

TheexportingStatemayalso,whenappropriate:

a. Examinepartiesinvolvedintheexport;

b. Requireadditionaldocumentation,certificates,assurances;

51 Article 11 (3). 52 Article 11 (5).


24

c. Notauthorisetheexport(thisshouldbeusedifitconsidersthatmitigationmeasuresareinsufficient);

d. TakeothermeasuresdeemedappropriatebytheexportingStateParty.

5.4Measurestobetakenifdiversionisdetected

Ifadiversionisdetected,appropriateactionshallbetakenbytheStatePartytoaddresssuchdiversion.

ItisuptoeachStatePartytodeterminewhichmeasurestotake,providedthattheyareinaccordancewithinternationallaw.

TheATTprovidessomeexamplesofpossiblemeasures,suchas:53

a. AlertingpotentiallyaffectedStatesParties;

b. Examiningdivertedshipmentsofconventionalarms;

c. Takingfollow‐upmeasuresthroughinvestigationandlawenforcement.

IV.Promotecooperation,transparencyandaccountability

1. Promotecooperation

Theinternationalconventionalarmstradeisahighlyglobalizedactivity.ImplementingtheATTeffectivelyrequirescloseandextensiveinternationalcooperation.StatesPartiesareencouragedtofacilitateinternationalcooperation,toconsultonmattersofmutualinterestandtoshareinformation.54

Suchcooperationcouldtakeplaceintheareasof:

a. Preventinganderadicatingdiversionofconventionalarms,includinginformationonillicitactivitiesandactors;55

b. Investigations,prosecutionsandjudicialproceedingsinrelationtoviolationsofnationalmeasuresestablishedpursuanttotheATT;56

c. Preventingthatthetransferofconventionalarmsbecomesubjecttocorruptpractices;

d. Exchangingexperienceandinformationonlessonslearnt.

53 Article 11 (4). 54 Article 15. 55 Article 15 (4). 56 Article 15 (5).


25

2. Promotetransparencyandaccountability

StatesPartiesarerequiredtosubmittwotypesofreportsontheimplementationoftheATTtotheSecretariat.

Inaddition,theyareencouragedtoprovideinformationorreportsonmeasurestakentopreventdiversion.

ThesereportsshallbesubmittedtotheSecretariat,whichisinturnentrustedwithmakingthemavailableandwithdistributingthemtoStatesParties.

Mandatoryreports:

a. InitialreportonmeasuresundertakeninordertoimplementtheATT.ThisreportmustbesubmittedbyaStatePartywithinayearoftheentry‐into‐forceforthisStateParty.57Thisinitialreportshouldcontainanationalcontrollist.

Annualreportfortheprecedingyearonauthorizedoractualexportsandimportsmustbesubmittedby31Mayeveryyear.58

57 Article 13 (1). 58 Article 13 (3).


26

Annex:DescriptionsofthesevencategoriesoftheUNRegisterofConventionalArms

Updatedin2013asperrecommendationscontainedinthefinalreportofthe2013GroupofGovernmentalExpertsonthecontinuingoperationandfurtherdevelopmentoftheUNRegisterofConventionalArms(A/68/140),andendorsedbyGeneralAssemblyresolution(A/RES/68/43).

Categoriesofequipmentandtheirdefinitions59

I. Battletanks

Trackedorwheeledself‐propelledarmouredfightingvehicleswithhighcross‐countrymobilityandahigh‐levelofself‐protection,weighingatleast16.5metrictonsunladenweight,withahighmuzzlevelocitydirectfiremaingunofatleast75millimetrescalibre.

II. Armouredcombatvehicles

Tracked,semi‐trackedorwheeledself‐propelledvehicles,witharmouredprotectionandcross‐countrycapability,either:(a)designedandequippedtotransportasquadoffourormoreinfantrymen,or(b)armedwithanintegralororganicweaponofatleast12.5millimetrescalibreoramissilelauncher.

III.Large‐calibreartillerysystems

Guns,howitzers,artillerypieces,combiningthecharacteristicsofagunorahowitzer,mortarsormultiple‐launchrocketsystems,capableofengagingsurfacetargetsbydeliveringprimarilyindirectfire,withacalibreof75millimetresandabove.

IV. Combataircraft

(a)Mannedfixed‐wingorvariable‐geometrywingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedmissiles,unguidedrockets,bombs,guns,cannonsorotherweaponsofdestruction,includingversionsoftheseaircraftwhichperformspecializedelectronicwarfare,suppressionofairdefenceorreconnaissancemissions;

(b)Unmannedfixed‐wingorvariable‐geometrywingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedmissiles,unguidedrockets,bombs,guns,cannonsorotherweaponsofdestruction.

59 Available at www.un-register.org/Background/Index.aspx.


27

Theterm“combataircraft”doesnotincludeprimarytraineraircraft,unlessdesigned,equippedormodifiedasdescribedabove.

V. Attackhelicopters

(a)Mannedrotary‐wingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedorunguidedanti‐armour,air‐to‐surface,air‐to‐subsurface,orair‐to‐airweaponsandequippedwithanintegratedfirecontrolandaimingsystemfortheseweapons,includingversionsoftheseaircraftwhichperformspecializedreconnaissanceorelectronicwarfaremissions;

(b)Unmannedrotary‐wingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedorunguidedanti‐armour,air‐to‐surface,air‐to‐subsurface,orair‐to‐airweaponsandequippedwithanintegratedfirecontrolandaimingsystemfortheseweapons.

VI.Warships

Vesselsorsubmarinesarmedandequippedformilitaryusewithastandarddisplacementof500metrictonsorabove,andthosewithastandarddisplacementoflessthan500metrictons,equippedforlaunchingmissileswitharangeofatleast25kilometresortorpedoeswithsimilarrange.

VII.Missilesandmissilelaunchers

(a)Guidedorunguidedrockets,ballisticorcruisemissilescapableofdeliveringawarheadorweaponofdestructiontoarangeofatleast25kilometres,andmeansdesignedormodifiedspecificallyforlaunchingsuchmissilesorrockets,ifnotcoveredbycategoriesIthroughVI.ForthepurposeoftheRegister,thissub‐categoryincludesremotelypilotedvehicleswiththecharacteristicsformissilesasdefinedabovebutdoesnotincludeground‐to‐airmissiles.

(b)Man‐PortableAir‐DefenceSystems(MANPADS).

Arms Trade Treaty Implementation Toolkit · PDF fileArms Trade Treaty Implementation Toolkit...

Documents

Transcript of Arms Trade Treaty Implementation Toolkit · PDF fileArms Trade Treaty Implementation Toolkit...