斯德哥尔摩国际和平研究所-Reporting-on-Conventional-Arms-Transfers-and-Transfer-Controls_-Improving-Coordination-and-Increasing-Engagement_58页_779kb

Summary of "Reporting on Conventional Arms Transfers and Transfer Controls: Improving Coordination and Increasing Engagement"

Core Content

This report by SIPRI provides a comprehensive analysis of international and regional reporting instruments on conventional arms transfers and transfer controls, highlighting trends in state participation and offering recommendations to improve reporting rates.

Main Reporting Instruments

Arms Transfers

1. United Nations Register of Conventional Arms (UNROCA)

   • Established in 1991, it aims to prevent excessive arms accumulation and promote transparency.
   • All UN member states are required to report annually on their exports and imports of seven categories of conventional arms.
   • Since 2017, states are also requested to report on small arms and light weapons (SALW) under a 7+1 categories formula.
   • Reports are submitted to the UN Office for Disarmament Affairs (UNODA) and are publicly available.

2. Arms Trade Treaty (ATT) Annual Report

   • Established in 2013, it requires states parties to submit annual reports on arms transfers.
   • As of 2018, 105 states were parties to the ATT.
   • Reporting rates have declined over the years, but the overall willingness of states to report remains high.

3. OSCE Information Exchange on Conventional Arms Transfers

   • Launched in 2017, it is a regional reporting mechanism.
   • 56 states are part of the OSCE, and reporting rates have also declined.
   • The OSCE focuses on transparency and exchange of information among its member states.

Arms Transfer Controls

1. UN Programme of Action (POA)

   • Aimed at preventing the illicit trade in SALW, it has seen an increase in participation, reaching 120 states in 2018.
   • Reporting is mandatory for all UN member states.
   • The rate of reporting increased from 30% to 53% for low-income states between 2014 and 2018.

2. UN Exchange of National Legislation (UNEXLEG)

   • Requires states to report on their national legislation related to arms, military equipment, and dual-use goods.
   • All UN member states are involved, and the reporting is ongoing.

3. ATT Initial Report

   • States must submit an initial report on the implementation of the ATT.
   • As of 2015, 105 states had submitted these reports.

4. OSCE Questionnaire on Arms Export Controls

   • A regional instrument focusing on export policies and practices.
   • 56 states are involved, and the reporting is ongoing.

5. OSCE Document on Small Arms and Light Weapons

   • A regional reporting mechanism.
   • 56 states are involved, and the reporting is ongoing.

Key Trends and Observations

• Decline in Reporting Rates: Reporting rates for all three main arms transfer instruments have declined, especially among states in Africa and low-income states.
• Stable Participation Numbers: Despite the decline, the number of states that submitted reports to at least one of the three instruments remained stable at 74–75 from 2016 to 2018.
• Regional Mechanisms: Some regional mechanisms, such as the OAS and ECOWAS, have failed to sustain reporting levels or are not yet formally established.
• Increase in POA Participation: The POA has seen a notable increase in participation, reaching an all-time high of 120 states in 2018.
• Variation by Region and Income Group: Reporting rates vary significantly across regions and income groups, with low-income states and African states showing the most decline.

Key Challenges

• Resource Constraints: Many states, especially those with limited resources, struggle with fulfilling multiple reporting obligations.
• National Security Concerns: Some states with strong participation records have become less willing to report, citing national security or other sensitivities.
• Inconsistent Reporting Practices: Few states report to all instruments to which they are required, indicating a lack of consistency.
• Burden on States: The lack of harmonization in reporting formats and requirements increases the administrative burden on states.

Available Assistance

• Guidance Documents: The UN, ATT Secretariat, OSCE, and Wassenaar Arrangement have produced guidance documents to help states fulfill their reporting obligations.
• Outreach Activities: Various outreach efforts have been made to build national capacity in reporting.
• Software Tools: Improved software tools are available to help states manage and submit reports more efficiently.

Key Recommendations

1. Develop National Procedures: States should develop improved procedures for collecting and reporting data on arms transfers and controls.
2. Harmonize Reporting Requirements: Harmonizing reporting requirements across instruments can reduce the burden on states and increase reporting levels.
3. Improve Use of Information: Stakeholders, including NGOs and research institutes, should make better use of the information submitted by states for assessments and policy development.
4. Enhance Coordination: Secretariats should build stronger links between each other to identify and share good practices.
5. Create Automatic Linkages: Where possible, mechanisms should be created to treat submissions to one instrument as valid for another, reducing duplication and administrative effort.

Conclusion

While participation in some reporting instruments has declined, the overall willingness of states to share information on arms transfers and controls remains high. The report underscores the need for better coordination, harmonization, and support to improve reporting rates and ensure transparency in the global arms trade.

Appendix A: Geographical Regions and Income Groups

• Geographical Regions: Includes regions such as Africa, Asia, Europe, Latin America, and the Middle East.
• Income Groups: Categorizes states into high, middle, and low-income groups based on economic indicators.
• The report does not cover national reports on arms exports but focuses on international and regional reporting mechanisms.

Key Figures and Tables

• Table 1.1: Lists international and regional reporting instruments with the number of states and the first year of public reporting.
• Table 2.1, 2.2, 2.3: Provides data on participation and non-participation in arms transfer reporting instruments.
• Table 3.1, 3.2, 3.3, 3.4: Offers insights into participation and non-participation in arms transfer control reporting instruments.

Abbreviations

• AAERG: Annual Arms Exports Report Generator
• ATT: Arms Trade Treaty
• BMS: Biennial meeting of states
• CSP: Conference of states parties
• ECOWAS: Economic Community of West African States
• EU: European Union
• FAQ: Frequently asked question
• GGE: Group of governmental experts
• NGO: Non-governmental organization
• OSCE: Organization for Security and Co-operation in Europe
• POA: United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons
• SALW: Small arms and light weapons
• SEESAC: South Eastern and Eastern Europe Clearinghouse for the Control of Small Arms and Light Weapons
• UN: United Nations
• UNODA: United Nations Office for Disarmament Affairs
• UNSCAR: United Nations Trust Facility Supporting Cooperation on Arms Regulation
• WGTR: Working Group on Transparency and Reporting
• WMD: Weapons of mass destruction