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
Introduction
The Arms Trade Treaty (ATT) is the first global, legally binding instrument to regulate the trade in conventional arms. The treaty, which entered into force in 2014, aims to mitigate the harm caused by irresponsible and illicit arms transfers by establishing common standards for international transfers of conventional arms. The ATT also seeks to enhance transparency and build confidence between States engaging in the international arms trade by establishing mandatory reporting mechanisms.
The ATT requires States Parties to submit two reports to the treaty Secretariat in order to increase responsibility, accountability, and transparency in the arms trade.
- First, States Parties are required to submit an initial report on treaty implementation that provides details on national laws and measures regulating arms transfers. States Parties are required to update this report when they make changes to their national arms transfer control systems. This report is due within the first year of the entry into force for that State Party.
- Second, States Parties are obliged to submit annual reports on authorized or actual arms exports and imports that occurred during the previous calendar year. These reports are due by 31 May each year. In practice, however, the ATT Secretariat extends a seven-day grace period for the submission of annual reports, creating a de facto annual reporting deadline of 7 June each year.
Reporting is a critical element of the ATT and is essential to meeting the treaty’s core purpose of contributing to international and regional peace, security, and stability; reducing human suffering; and promoting cooperation, transparency, and responsibility in the global arms trade and building confidence among States Parties. Moreover, comprehensive and consistent reporting can serve a number of important functions for States, the ATT Secretariat, and non-governmental experts and stakeholders. Some of the specific benefits of ATT reporting include:
- Indicating how States Parties interpret and implement the treaty’s obligations;
- Providing an opportunity for reporting States Parties to assess their national control systems, identify gaps, and make adjustments as needed;
- Helping to identify good practices and offering insights into common definitions and patterns in control measures;
- Shining a light on assistance needs to advance treaty implementation and States Parties that might be in a position to provide such assistance;
- Capturing treaty compliance and helping to determine the extent to which the treaty is meeting its potential in strengthening arms transfer regulations, improving transparency, and ultimately mitigating harm;
- Enhancing awareness of regional and global arms flows;
- Facilitating assessments of treaty compliance, particularly related to export and import decisions;
- Supporting efforts to monitor whether weapons use complies with international human rights and humanitarian law;
- Providing a baseline of legally transferred arms that can be used to identify illicit arms and their potential sources;
- Contributing towards the detection of early warning signs of potential conflict, such as potentially destabilizing weapons accumulations;
- Providing a basis for bilateral or multilateral consultations on transfers that may not align with ATT obligations; and
- Promoting transparency and building confidence among States involved in the global arms trade.
Unfortunately, ATT reporting is not living up to its full potential. Over the first six years of ATT reporting the rate of initial reporting has remained relatively constant while annual reporting compliance rates have steadily decreased. Both initial and annual reporting have suffered from increasing challenges to transparency and reporting practices that limit the practical and analytical utility of the reports themselves. But why?
This report aims to assist States Parties, the ATT Secretariat, and other interested stakeholders in their efforts to enhance ATT reporting by contributing to a more specific understanding of States Parties’ reporting experiences. The report uses survey research from 35 States as well as follow-up interviews with some survey respondents. The report provides insights into existing reporting processes and practices, the challenges States Parties face in fulfilling their reporting obligations, and the good practices they have developed to overcome recurring challenges. This report is the third in a series of publications by the Stimson Center’s Arms Trade Treaty-Baseline Assessment Project that take stock of ATT reporting over the first six years of the treaty’s implementation.
This report is organized into three parts. It begins by providing an overview of the reporting processes and practices of the 35 States that participated in the study to identify trends and examples of good practice. The report then discusses the challenges these States have experienced in fulfilling their initial and annual reporting obligations. Finally, the report concludes with a discussion of recommendations that can be taken to ensure more consistent, comprehensive, and transparent reporting under the ATT.
