Study Series 36 17-18663 asdf United Nations ISBN 978‐92‐1‐142325‐9 Study Series The Global Reported36 Arms Trade Transparency in Armaments through the United Nations Register of Conventional Arms A Guide to Assist National Points of Contact in Submitting Their National Reports Special Edition for the 25th Anniversary of UNROCA OFFICE FOR DISARMAMENT AFFAIRS Disarmament Study Series, No. 36 The Global Reported Arms Trade Transparency in Armaments through the United Nations Register of Conventional Arms A Guide to Assist National Points of Contact in Submitting Their National Reports United asdf Nations New York, 2017 GUIDE TO THE USER This special edition of the Disarmament Study Series is issued in implementation of the United Nations Disarmament Information Programme. It serves as a valuable addition to the reference section of public and university libraries, permanent missions, research institutes and specialized non- governmental organizations. For the electronic version of all material contained in the Study Series, see https://www.un.org/ disarmament/publications/studyseries/. Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document. UNITED NATIONS PUBLICATION Sales No. E.18.IX.2 ISBN: 978-92-1-142325-9 eISBN: 978-92-1-362900-0 Copyright © United Nations, 2017 All rights reserved Printed at the United Nations, New York Contents Preface .................................................................iv Introduction ...............................................................v Part 1 Definitions and reporting practice How UNROCA works .......................................................1 Arms transfers: definitions ....................................................2 Categories of equipment: 7+1 .................................................4 Background information ..................................................... 10 Reporting forms: standardized, nil ............................................. 10 Submitting a report to the Register ............................................. 11 Administration of the Register ................................................ 13 National points of contact: role and responsibilities ............................... 14 Participation in UNROCA ................................................... 16 Part 2 A/71/259 Report on the continuing operation of the United Nations Register of Conventional Arms and its further development Foreword by the Secretary-General ............................................ 25 Letter of transmittal ........................................................ 26 I. Introduction .......................................................... 29 II. Review of the continuing operation of the Register ............................ 31 III. Further development of the Register ....................................... 38 IV. Conclusions and recommendations ........................................ 44 Annex I: Categories of equipment and their definitions ............................. 51 Annex II: Standardized form for reporting international transfers of conventional arms .... 53 Annex III: Form for reporting international transfers of small arms and light weapons on a trial basis............................................................. 56 Annex IV: Importance of the points of contact in enhancing the value of the United Nations Register of Conventional Arms for Member States................................. 58 Annex V: Questionnaire on the United Nations Register of Conventional Arms........... 60 Part 3 A/RES/68/43 Resolution adopted by the General Assembly on 5 December 2013 Transparency in armaments .................................................. 65 iii Preface On the occasion of the twenty-fifth anniversary of the United Nations Register of Conventional Arms (UNROCA), the United Nations Office for Disarmament Affairs is pleased to consider the Register’s implementation and continuing operation in this special edition of the Disarmament Study Series. The present text is broader in scope than past Study Series editions, which have served solely as a compilation of reports on disarmament and non-proliferations issues by Groups of Governmental Experts. This volume, by contrast, includes a newly written overview of UNROCA for reference by Governments and the interested public, as well as original material to guide national points of contact in preparing and submitting reports for the Register. This new content comprises part 1 of the publication. Part 2 contains the report of the 2016 Group of Governmental Experts on the continuing operation of UNROCA and part 3 presents the text of the General Assembly resolution that established the Group. iv Introduction Why report arms transfers to the United Nations? Governments have committed to report to the United Nations on their arms imports and exports. Sharing such information can create trust between countries, and it may help determine whether excessive or destabilizing accumulations of arms are taking place. It may also contribute to early warning and preventive diplomacy. Transparency is as important for countries that are large-scale arms traders as it is for those importing or exporting few or no weapons. In 1991, the General Assembly created the United Nations Register of Conventional Arms (UNROCA or “the Register”), an annual reporting mechanism through which Governments can share information on arms transfers they were involved in during the previous year.1 In its resolution establishing UNROCA, the General Assembly stated its determination to prevent the excessive and destabilizing accumulation of arms in order to promote stability and strengthen international peace and security, taking into account the legitimate security needs of States and the principle of undiminished security at the lowest possible level of armaments. In short, if States behave in a predictable and transparent way, including through an open approach to arms transfers, they can build mutual confidence and help prevent conflict. What do Governments report? UNROCA has a two-tier system of reporting: one tier for transfers in seven pre-defined categories of heavy weapons, as well as small arms (“7+1”), and a second tier for additional background information. Under the latter tier, States can report to UNROCA on their current holdings of weaponry, their procurement through national arms production and their relevant legislation and policies. Why these particular weapons categories? The ability of UNROCA to achieve its declared aims depends on its coverage of relevant weapons categories and the extent of participation by Governments. The Register focuses primarily on seven categories of major conventional weapons, and countries report the vast majority of transfers involving these weapons. After Member States established an option in 2003 to also report to UNROCA on transfers of small arms and light weapons, most countries that submit reports have included these additional armaments in their submissions. A triennial review process When the General Assembly created UNROCA, it called for regular reviews where participants would consider expanding the Register to include additional weapons systems. A 1 United Nations General Assembly resolution 46/36 L, 9 December 1991. v Group of Governmental Experts has therefore reviewed UNROCA every three years, resulting in a number of modest expansions to its scope. Participation In its 25 years of operation, 170 Member States have submitted a report to UNROCA at least once, and most major exporters and importers of conventional arms have reported to the Register on a fairly consistent basis. The United Nations estimates that Governments report well over 90 per cent of international transfers in the seven categories of conventional arms. UNROCA serves as a point of reference and inspiration for regional and international confidence-building mechanisms, as well as for arms control and transfer control instruments. The instrument is a central reference in the Arms Trade Treaty (ATT), as the scope of this Treaty virtually mirrors that of the Register.2 Like UNROCA, the ATT obliges its States Parties to report annually on their transfers of weapons. A tool for confidence-building In its initial resolution, the General Assembly requested the Secretary-General to make available data on arms transfers for consultation by Member States at their request. Governments are thus encouraged to make use of the wealth of data reported to UNROCA. Transparency in armaments is not a goal in itself; annual reporting should be a building block ... the General Assembly for confidence-building actions. Submissions to stated its determination UNROCA could, in particular, form the basis for regular bilateral or regional dialogue on defence plans, to prevent the excessive needs and cooperation. and destabilizing accumulation The value of UNROCA to the Security Council of arms ... and UNROCA is a tool for conflict prevention, but it is also relevant in conflict and post-conflict settings. the principle of In recent years, experts on monitoring panels of the Security Council sanctions committees have consulted undiminished security the Register for data on arms transfers with a view to at the lowest possible examining States’ compliance with arms embargoes mandated by the Council.3 level of armaments In particular, UNROCA has applications for security sector reform and peacebuilding in post- conflict situations,