ADVISORY SERVICE ON INTERNATIONAL HUMANITARIAN LAW ______

2013 Arms Trade Treaty

The Arms Trade Treaty (ATT) regulates international transfers of conventional arms, as well as their ammunition, parts and components, with a view to reducing human suffering. The ATT makes arms transfer decisions subject to humanitarian concerns by forbidding transfers when there is a defined level of risk that war crimes or serious violations of international law will be committed. The ATT was adopted on 2 April 2013 and opened for signature on 3 June 2013. It will enter into force when 50 States have adhered to it.

What is the object and purpose of the treaty (Article 4). Only the core components are also prohibited if the ATT? obligations of the ATT (found in the Party has knowledge at Articles 6 and 7 on transfer the time of authorization that the prohibitions and export criteria arms or items would be used in the The object of the ATT is to establish respectively) apply to commission of , crimes the highest possible common ammunition/munitions and parts and against humanity, grave breaches of international standards for regulating components. the four Geneva Conventions, the international trade in attacks directed against civilian conventional arms, to prevent and objects or civilians protected as eradicate the illicit trade in To what transactions does the such, or other war crimes as defined conventional arms, and to prevent ATT apply? by international agreements to the diversion of such arms. This, in which it is a Party (Article 6(3)). turn, is for the purpose of contributing to regional and The ATT applies to the activities of For instance, if an ATT State Party international , security and the international trade comprising were also party to the Statute of the stability, reducing human suffering, export, import, transit, trans- International Criminal Court or to and promoting cooperation, shipment and brokering, which are Protocol I of 8 June 1977 additional transparency and responsible action referred to in the treaty as 'transfer' to the Geneva Conventions, it would by States Parties (Article 1). (Article 2(2)). be required to take into consideration a wider range of war crimes than an ATT State Party that To what arms does the ATT What arms transfer criteria does is not party to these instruments. apply? the ATT impose?

It applies, at a minimum, to the A. Transfer prohibitions B. Criteria for export following categories of conventional It prohibits transfers of arms, If an export has not been prohibited arms: battle tanks, armoured ammunition/munitions and parts and under Article 6, then each State combat vehicles, large-calibre components where the transfer Party must assess whether the artillery systems, combat aircraft, would violate obligations in arms, ammunition/munitions or parts attack helicopters, warships, measures adopted under Chapter and components would contribute to missiles and missile launchers and VII of the Charter of the United or undermine peace and security, small arms and light weapons Nations, "in particular arms and whether there is a “potential” (Article 2(1)). States are encouraged embargoes" (Article 6(1)). The ATT that they could be used to commit or to voluntarily apply the treaty to an also prohibits transfers of such facilitate a serious violation of even broader range of conventional weapons and items where the international humanitarian law, a arms (Article 5(3)). transfer would violate a State Party's serious violation of international The ATT also partly applies to "relevant international obligations human rights law, an act constituting ammunition/munitions that are fired, under international agreements to an offence under international launched, or delivered by the which it is a Party, in particular those instruments relating to to conventional arms covered in the relating to the transfer of, or illicit which the State is a Party, or an act treaty (Article 3), and to the parts trafficking in, conventional arms" constituting an offence under and components that are in a form (Article 6(2)). international instruments relating to transnational to that makes it possible to assemble Transfers of arms, the conventional arms covered in ammunition/munitions and parts and which the State is a Party (Article taking measures to regulate the requires that the records be kept for 7(1)). export, import, transit, trans- at least 10 years (Article 12). shipment of, and brokering activities In this assessment, each State Party States Parties must also report on related to, conventional arms, and to must also take into account the risk the implementation measures they regulate the exports of related of the conventional arms or items have undertaken. A State Party ammunition and parts and being used to commit or facilitate must submit, within a year after the components (Articles 5(2), 8, 9 and serious acts of gender-based treaty’s entry into force, an initial 10). violence or serious acts of violence report on implementation measures against women and children (Article As part of its national control (such as national laws, control lists 7(4)). system, each State Party must and administrative measures). After establish and maintain a national that, States must report on any new With regard to the consequences control list of the weapons and items implementation measures identified in Article 7(1), the State covered. This list will be made undertaken "when appropriate." Party must also consider whether available to other States Parties States Parties must also report there are risk mitigation measures (Article 5(2) and (4)). annually on authorized or actual that could be undertaken (Article exports and imports of conventional 7(2)). In addition, so as to have an arms (but not of effective and transparent control If, after conducting this assessment ammunition/munitions or parts and system, each State Party must and considering available mitigating components). All reports will be designate competent national measures, the exporting State Party shared with other States Parties authorities (Article 5(5)). States determines that there is an (Article 13). Parties must also designate one or overriding risk of any of the adverse more national points of contact to A conference of States Parties must consequences in Article 7(1), it must exchange information on matters be convened no later than one year not authorize the export (Article related to the treaty's after the ATT’s entry into force. The 7(3)). implementation (Article 5(6)). conference will, among other things, It is important to note that the treaty review the implementation of the The ATT gives each State Party the encourages a State Party to treaty, and consider amendments to discretion to determine the form, reassess its authorization if it it as well as issues related to its structure and legislative becomes aware of relevant new interpretation (Article 17). underpinning of its national control information (Article 7(7)). system. In practice, implementation As Article 7 relates only to exports, will require a series of legislative, What support is available for the activities of import, transit, trans- administrative and practical adherence and implementation? shipment and brokering are not measures, and an assessment of subject to such an assessment or to whether new measures are any of the criteria set out in this necessary to comply with ATT The status of signatures and provision. obligations. For instance, States will ratifications is available online: need to ensure that their domestic http://www.un.org/disarmament/ATT laws include ATT-compliant /. The has published What must States do to become administrative and criminal penalties a ratification guide describing the party to the ATT? as well as implementing regulations. procedures that States must follow States will need to ensure that they in order to sign, ratify, accept, To become a party to the ATT, a have an ATT-compliant licensing approve, or accede to the ATT. The State must adhere to it and the process and authorities with the guide also contains model treaty must then enter into force for required technical expertise. instruments of adherence for States that State. For the first 50 States to deposit with the Secretary- that ratify, accept or approve it, the An exporting State Party must seek General of the United Nations. The ATT will enter into force 90 days to prevent diversion of the guide is available in English, French after the deposit of the 50th conventional arms it has transferred. and Spanish on the same website. instrument of ratification, States involved in export, transit, The ICRC is ready to assist States acceptance, or approval. For any trans-shipment, and import must in implementing the Treaty, within State that submits its instrument of cooperate and exchange information the limits of its mandate and ratification, acceptance, approval or in order to mitigate the risk of expertise in international accession after this moment, the diversion of conventional arms humanitarian law. It will do so ATT will enter into force 90 days covered under the ATT. States through its Advisory Service on after the date of submission (Article Parties must take appropriate International Humanitarian Law, 22). measures to address such diversion if detected, and are encouraged to which can provide guidance to share information on effective governments on incorporating the What must States do to ATT’s requirements in domestic implement the ATT? measures taken to address diversion of transferred conventional legislation. The ICRC has also put arms (Article 11). out publications to assist States in Each State Party must implement understanding the treaty's the ATT in a consistent, objective States Parties must maintain requirements and in adopting and non-discriminatory manner, national records of export effective implementation measures. bearing in mind the principles authorizations or actual exports of referred to in the treaty (Article 5(1)). conventional arms (but not of A number of other organizations are ammunition or parts and also developing important tools to Each State Party must establish and components). The ATT provides help States implement the ATT. maintain a national control system to recommendations on the types of implement the treaty, including by information to be recorded and

12/2013