About the author ISS Pretoria Ben Coetzee is the Programme Manager of the Arms Block C, Brooklyn Court Management Programme and a senior researcher at the 361 Veale Street ISS in Pretoria. He has worked with governments across New Muckleneuk Africa on matters relating to arms control. His efforts Pretoria, South Africa are dedicated to improve arms control measures and to Tel: +27 12 346 9500 reduce the flow of illicit arms to and across Africa. Fax: +27 12 460 0998 [email protected] ISS Addis Ababa 5th Floor, Get House Building About the ISS Africa Avenue Addis Ababa ARM The Institute for Security Studies is an African organisation Ethiopia that aims to enhance human security on the continent. Tel: +251 11 515 6320 It does independent and authoritative research, provides Fax: +251 11 515 6449 S TR expert policy analysis and advice, and delivers practical [email protected] training and technical assistance. A ISS Dakar DE TRE 4th Floor, Immeuble Atryum Route de Ouakam Dakar, Senegal Acknowledgements Tel: +221 33 860 3304/42 at This guide was made possible with support from the Fax: +221 33 860 3343 British High Commission. The ISS is also grateful for [email protected] Y support from the members of the ISS Partnership Forum: • the governments of Australia, Canada, Denmark, Finland, ISS Nairobi Japan, Netherlands, Norway, Sweden and the USA. Braeside Gardens off Muthangari Road Ben Coetzee Lavington, Nairobi, Kenya Arms Trade Treaty Cell: +254 72 860 7642 Cell: +254 73 565 0300 [email protected] Ratification and implementation www.issafrica.org guide for African States Ben Coetzee © 2014, Institute for Security Studies Copyright in the volume as a whole is vested in the author and in ISS Guide the Institute for Security Studies, and no part may be reproduced in whole or in part without the express permission, in writing, of both the authors and the publishers. The opinions expressed do not necessarily reflect those of the ISS, its trustees, members of the Advisory Council or donors. Authors contribute to ISS publications in their personal capacity. ISS GUIDE Contents 1 Foreword ........................................................................................................ 1 Preamble ................................................................................................................ 2 Principles ................................................................................................................ 3 2 The scope of the ATT ..................................................................................... 4 3 About the Institute for Security Studies ......................................................... 5 4 Acknowledgements ........................................................................................ 6 5 About this guide ............................................................................................. 6 6 List of abbreviations ..................................................................................... 8 7 Glossary of terms ........................................................................................... 8 7.1 Vienna Convention on the Law of Treaties 1969 ............................................. 9 7.2 Arms Trade Treaty, United Nations, 2013 ....................................................... 9 7.3 SARPCCO Standard Operating Procedures ................................................. 10 7.4 Categories of conventional arms .................................................................. 12 7.5 Conventional arms included in the ATT ........................................................ 13 7.5.1 Battle tanks .................................................................................... 13 7.5.2 Armoured combat vehicles ............................................................. 13 7.5.3 Large-calibre artillery systems ......................................................... 13 7.5.4 Combat aircraft ............................................................................... 13 7.5.5 Attack helicopters ........................................................................... 14 7.5.6 Warships ........................................................................................ 14 7.5.7 Missiles and missile launchers ........................................................ 14 7.5.8 Small arms and light weapons ........................................................ 14 7.5.8.1 Small arms ....................................................................... 15 7.5.8.2 Light weapons ................................................................. 15 7.6 Ammunition ................................................................................................. 15 ATT – Article 3: Ammunition/Munitions ......................................................... 15 ISS GUIDE i 7.6.1 Understanding ammunition .............................................................. 15 7.6.2 Ammunition-marking ........................................................................ 16 7.6.3 Markings on ammunition .................................................................. 16 7.7 Parts, components, technology and equipment ........................................... 17 ATT – Article 4: Parts and Components ....................................................... 17 8 Exclusions from the ATT ............................................................................... 18 8.1 Less lethal arms and ammunition ................................................................. 19 8.1.1 Electric shock equipment ................................................................. 19 8.1.2 Kinetic impact weapons ................................................................... 19 8.2 Launchers for chemical irritants, kinetic impact and other munitions ............ 19 9 Becoming a state party to the ATT ............................................................... 20 10 ATT: its importance to Africa ......................................................................... 20 11 Lack of control mechanisms to regulating the arms trade ........................... 21 12 The ATT’s benefit for Africa........................................................................... 22 13 ATT enforcement .......................................................................................... 23 14 Government control ...................................................................................... 23 15 Policy framework .......................................................................................... 24 16 International commitments to other instruments ......................................... 24 17 Signing the ATT ............................................................................................ 25 18 Entry into force ............................................................................................. 26 ATT – Article 22: Entry into Force ........................................................................... 26 ATT – Article 23: Provisional Application ................................................................ 27 19 Consent to be bound ................................................................................... 27 19.1 National action ............................................................................................. 27 19.2 Notification to the depository ....................................................................... 27 20 Treaty documentation ................................................................................... 28 20.1 Full powers .................................................................................................. 28 Example of a full-power document ............................................................... 29 20.2 Ratification ................................................................................................... 29 Example of a ratification document .............................................................. 29 20.3 Accession .................................................................................................... 30 Example of an accession document ............................................................ 30 20.4 Provisional application of the ATT ................................................................. 30 ATT – Article 23: Provisional Application ....................................................... 30 Example of the provisional application of the ATT document ........................ 31 20.5 Reservations ................................................................................................ 31 ii ARMS TRADE TReaty – RatifiCatiON AND IMPLEMENtatiON GUIDE FOR AFRICAN States ATT – Article 25: Reservations ..................................................................... 31 21 Duration and withdrawal ............................................................................... 32 ATT – Article 24: Duration and Withdrawal ............................................................. 32 22 Burden of armed violence ............................................................................ 32 23 Arms transfers .............................................................................................. 32 23.1 Transfer assessment guidelines .................................................................... 33 23.2 Export and export assessment .................................................................... 34 ATT – Article 7: Export and Export Assessment ..........................................