斯德哥尔摩国际和平研究所-Taking-Stock-of-the-Arms-Trade-Treaty--Scope_12页_162kb

Summary of the Arms Trade Treaty (ATT) Scope Analysis

I. Introduction

The 2013 Arms Trade Treaty (ATT) aims to set 'highest possible common international standards' for the international trade in conventional arms. The scope of the treaty is defined in Articles 2(1), 3, and 4, which cover conventional arms, ammunition/munitions, and parts and components. The treaty does not include a specific mechanism for reviewing its scope, but Article 17(4) allows the Conference of States Parties (CSP) to review the treaty's implementation, including developments in the field of conventional arms.

This paper is part of a series analyzing the ATT, focusing on the scope, implementation, and potential for review. It outlines the current state of scope implementation and discusses the implications of changes in the United Nations Register of Conventional Arms (UNROCA) on the ATT's scope.

II. Implementation of the ATT's Scope

ATT Provisions on Scope

• Article 2(1): Defines seven categories of conventional arms.
• Article 3: Covers ammunition/munitions.
• Article 4: Includes parts and components.
• Article 5(3): Requires states parties to define categories a-g of Article 2(1) not to cover less than the descriptions in UNROCA at the time of the ATT's entry into force.
• Article 5(2): Mandates the establishment and maintenance of a national control list.

National Control Lists

• Of the 63 publicly available initial reports, 53 states have national control lists.
• 51 of these cover all eight categories of conventional arms in Article 2(1).
• 53 cover ammunition, and 52 cover parts and components.
• Most states use the EU Common Military List or the Wassenaar Arrangement Munitions List as a reference.
• 38 states are assumed to use at least one of these multilateral lists.

Annual Reports

• Annual reports on exports and imports help assess the implementation of the ATT's scope.
• Five states without a national control list submitted annual reports in 2020.
• The WGTR FAQ and the reporting template provide guidance on what to include in annual reports.
• Some states have included voluntary national categories and provided definitions for them, such as Sweden using the EU Military List and the Dominican Republic reporting on other national controls.

III. Considerations for Updating the ATT Scope

Changes to UNROCA

• UNROCA has a review mechanism every three years through the Group of Governmental Experts (GGE).
• Prior to the ATT's entry into force, UNROCA amendments were minor, such as adjusting reporting thresholds.
• In 2003 and 2006, the GGE recommended significant changes, including the inclusion of MANPADS in category VII.
• The 2016 GGE updated the heading of category IV to include unmanned aerial combat vehicles, but did not expand category V to include unmanned attack helicopters.
• The 2019 GGE continued the 7 + 1 formula, encouraging states to include SALW reporting in parallel with the seven categories of UNROCA.

Definition of Small Arms and Light Weapons (SALW)

• The 2019 GGE provided a potential description for an eighth UNROCA category for SALW:
  • Small arms: Weapons designed for individual use, including revolvers, rifles, sub-machine guns, etc.
  • Light weapons: Weapons designed for use by two or three persons, including heavy machine guns, grenade launchers, mortars, etc.
  • Excludes antique weapons or their replicas manufactured after 1899.

ATT's Broader Objectives

• The ATT's purpose is to reduce human suffering, which may require a broader scope than UNROCA.

• Some experts proposed expanding the ATT's scope to include:

  • Mortars and artillery systems below 75 mm
  • Missiles below 25 km range
  • Logistic vehicles and some armored fighting vehicles
  • Military aircraft and helicopters used for reconnaissance or command and control
  • Warships and submarines below 500 tons
  • Ammunition and parts relevant to these systems

• The ATT was linked to the scope of UNROCA at the time of entry into force, but some states and experts suggest it should be as broad as the Wassenaar Arrangement or the EU Common Military List.

IV. Conclusions and Recommendations

Guidance and Assistance for States Parties

• The WGETI Voluntary Basic Guide and the WGTR FAQ are key tools to assist states parties in implementing the ATT's scope provisions.
• The CSP should review national control lists submitted under Article 5(4) before the next update of the guide.
• The ATT Secretariat could make available copies of submitted national control lists on its website, following the example of the Wassenaar Arrangement.

Review Mechanism for ATT Scope

• While the ATT does not have a formal mechanism to review its scope, Article 17(4) allows the CSP to do so.

• A review mechanism should consider:

  • Harmonizing definitions across states parties
  • Developing proposals for new categories in Article 2(1)
  • Understanding the implications for other treaty provisions, such as reporting and enforcement

• The WGETI could serve as a platform for the Wassenaar Arrangement to provide updates on changes to its Munitions List.

• The CSP could also invite chairs of GGEs on UNROCA, ammunition, and lethal autonomous weapons systems (LAWS) to share findings and recommendations.

• The ATT Voluntary Trust Fund (VTF) and the EU ATT Outreach Project (EU ATT OP) provide support for states in establishing and maintaining national control lists.

Key Information

• UNROCA is a key reference for the ATT's scope, but its scope has evolved since the ATT entered into force.
• The WGETI and WGTR have played a significant role in guiding states on scope implementation.
• Article 17(4) allows for the review of the ATT's scope, including changes in the field of conventional arms.
• There is a need for a systematic review of national control lists to ensure compliance with ATT provisions and to identify differences in definitions.
• SALW remains a central issue, with the potential for a new category in UNROCA.
• The 7 + 1 formula is a practical step toward including SALW in the ATT's scope.

Main Points

• The ATT's scope is based on UNROCA at the time of entry into force.
• There is no formal mechanism for updating the ATT's scope, but the CSP is encouraged to do so.
• Most states use multilateral lists as a reference for their national control lists.
• Annual reports and national control lists are essential tools for assessing implementation.
• The GGE process for UNROCA provides a model for future scope reviews.
• The ATT should consider aligning its scope with broader international standards and evolving technologies.