Prohibitions and Export Assessment: Tracking Implementation of the Arms Trade Treaty

Geneva Paper - Tracking Implementation of the Arms Trade Treaty

Prohibitions and Export Assessment: Tracking Implementation of the Arms Trade Treaty

Four years after the entry into force of the Arms Trade Treaty (ATT), how do states parties implement its core provisions regarding the authorization of arms transfers?

By Tobias Vestner, Director of Research and Policy Advice & Head of Security and Law at the GCSP

Rather than looking at what transfer decisions states are taking, this study examines how states implement Articles 6 and 7 of the ATT by national legislation, policies and practice.

This Geneva Paper shows that ATT states parties generally implement the ATT’s prohibitions set forth in Article 6 through national laws and policies. This paper also demonstrates that exporting states implement the ATT’s obligations regarding export assessment contained in Article 7 in many different ways. While the spectrum of how exporting states parties consider an arms exports’ potential effect on peace and security is very broad, their national frameworks contain similar or nearly identical export criteria on assessing the risk of arms being used for serious violations of international humanitarian law and international human rights law. Few states parties have national export criteria regarding terrorism, transnational organized crime and gender-based violence. States also consider national criteria other than those specified in Article 7 before authorizing arms exports, including positive consequences of arms exports. Finally, states parties’ national frameworks mostly do not define clear thresholds for denying arms exports.

Given this divergence in states party implementation, in addition to a remaining lack of clarity on how states apply the ATT provisions in practice, this paper recommends reinforcing dialogue on ATT implementation. This could lead to better understanding and implementation guidance that strengthens the emergence of common standards and improves the quality of national export assessments. To increase states parties’ knowledge on risks to be avoided, institutionalizing cooperation with human rights bodies and establishing an ATT internal information exchange mechanism is also recommended.

Tobias Vestner is Director of Research and Policy Advice Department as well as the Security and Law Programme at the GCSP. He oversees and manages GCSP’s analysis and advice activities as well as researches and teaches on the intersection between security policy and international law. Tobias Vestner regularly advises governments, international organizations, and private firms on global security and legal issues. He has published several books and papers (see below) and provided insights to various media outlets, including the U.S. National Public Radio, NBC News, Neue Zürcher Zeitung, and RTS Geopolitis.