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
Introduction
The United Nations (UN) system has a number of conventions, resolutions, and other regimes in place that seek to prevent criminal trafficking and control cross-border movement of conventional arms and other goods, technologies and services with both legitimate and potentially illegitimate end uses. Three key instruments in these categories are:
- Firearms Protocol to the UN Convention against Transnational Organized Crime (UNTOC)
- Arms Trade Treaty
- UN Security Council Resolution (UNSCR) 1540 (2004) and associated resolutions
Important and widely subscribed to as these international legal instruments are, state-level and frontline implementation remains uneven at best. For example, the UN 1540 Committee’s 2016 Comprehensive Review of the implementation status of UNSCR 1540 found that, “Although some progress has also been made in relation to accounting, security and export control measures, it is clear that for many states significant efforts remain to be made to address gaps in those areas.” A 2017 Stimson Center report also found that the Arms Trade Treaty and UNSCR 1540 shared implementation challenges at the state level, such as limited state capacity, stove-piping of responsibilities, lack of political will, and a narrowly compliance-focused understanding of implementation.
The Stimson Center undertook a cross-disciplinary study of these three key counter-trafficking measures and trade controls for arms and “dual-use” items to identify options and approaches to facilitate and strengthen implementation of trade control obligations in practice. This study encompassed not just the three main legal instruments, but a wide range of implementing guidance and good practice documents on strategic trade controls and related topics from organizations as disparate as the World Customs Organization (WCO), the International Air Transport Association (IATA), the International Atomic Energy Agency (IAEA), and the World Health Organization (WHO).
This “Guide to Good Practices” compiles the results of this year-long study, organizing the findings into eight good practices common to effective national implementation of all three international legal instruments. In some cases, the recommended good practices were found directly within the legal instrument itself. In most cases, however, the research team found the good practices by combing through the families of supporting resolutions, guidance documents, and implementation best practices that the UN and other international and multi-lateral institutions have developed over the years. The Guide is intended as a guide for state-level policy makers on how to enable and empower frontline officers with the tools and resources they need to implement these instruments in a holistic and integrated manner, making most efficient use of limited resources while ensuring more effective implementation of international obligations and requirements.
