斯德哥尔摩国际和平研究所-Taking-Stock-of-the-Arms-Trade-Treaty--Application-of-the-Risk_20页_241kb

Summary of the Arms Trade Treaty: Application of the Risk-Assessment Criteria

Core Content

The Arms Trade Treaty (ATT), adopted in 2013 and entered into force in 2014, represents a significant milestone in the global regulation of conventional arms transfers. It is the first legally binding international instrument to establish minimum standards for the control of arms exports, imports, transit, transshipment, and brokering. The treaty's risk-assessment criteria, particularly in Articles 6 and 7, are central to its implementation and effectiveness.

Main Points

• Article 6 (Prohibitions) outlines situations in which states parties must prohibit arms transfers, including:

  • Violation of UN Security Council measures (e.g., arms embargoes).
  • Violation of relevant international obligations under treaties to which the state is a party.
  • Knowledge that the arms would be used in the commission of war crimes, crimes against humanity, or other serious violations.

• Article 7 (Export and Export Assessment) requires states parties to assess potential risks of arms exports, even if not prohibited under Article 6. The assessment must be:

  • Objective and non-discriminatory.
  • Consider the impact on peace and security.
  • Evaluate the potential to facilitate serious violations of international humanitarian and human rights law, or terrorism and transnational organized crime.
  • Include mitigation measures such as confidence-building initiatives or joint programmes.
  • Determine whether the risk is overriding, in which case the export must be denied.

• The ATT includes new and important elements, such as the inclusion of gender-based violence and violence against women and children as risk factors in Article 7(4), which is a novel addition to the field of arms transfer controls.

• The treaty's flexibility in wording has led to varying interpretations, requiring consensus-building and alignment of national practices to ensure consistent application.

• The number of states parties has grown significantly, with 110 states parties and 31 signatories as of 2021. The top 25 arms exporters are split between those that have joined the ATT and those that have not, highlighting the treaty's global reach and potential to shape customary international law.

• The risk-assessment criteria are not directly linked to the recipient country's situation, but rather to the potential impact of the arms on peace and security, and the likelihood of misuse.

Key Information

• The flexibility in Articles 6 and 7 is a result of mixed motivations among states, including a desire to protect national sovereignty and foreign policy interests.
• The CSP Working Group (WGETI) has been actively working to clarify the practical application of these articles, with a multi-year work plan adopted in 2021.
• The work plan focuses on key concepts such as:
  • Relevant international obligations.
  • Knowledge at the time of authorization.
  • Facilitation of serious violations.
  • Mitigation measures.
  • Overriding risk.
  • Gender-based violence and violence against women and children.
• Stakeholders such as civil society organizations, research institutes, and international bodies have contributed to guidelines and teaching materials aimed at supporting the interpretation and application of the ATT's criteria.
• Despite these efforts, there is no clear evidence of a unifying effect on national practices, and the impact of these materials on actual implementation remains uncertain.

Conclusion

The ATT's risk-assessment criteria are central to its effectiveness, but their interpretation and application remain flexible and variable. The growing number of states parties and the influence of the treaty on national practices suggest that it is becoming an important framework for international arms transfer regulation. However, to maximize its impact, consensus-building, aligned national practices, and transparent application of the criteria are essential. The inclusion of gender-based violence is a notable development, though its integration into the risk-assessment framework raises interpretative questions. Continued efforts to clarify and strengthen the application of the ATT's provisions will be crucial for its long-term success.