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ATTImplementationToolkit|Module2|OverviewofObligations
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Arms Trade Treaty Implementation Toolkit
Module 2 Overview of Obligations
Available on: www.un.org/disarmament/ATT
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I.Introduction
AnycountryjoiningtheArmsTradeTreaty(ATT),commitstoputtinginplaceeffectivemeasurestoimplementtheTreaty.
StateswilldecidewhichmeasurestheyneedtocarryouttheirobligationsundertheATT.Thesemeasuresmayvaryfromcountrytocountry.
Thissecondmodule,OverviewofObligations,willassistgovernmentsbyprovidinganoverviewoftheobligationsundertheATT.
Inparticular,Module2willdiscusswhatitemsarecoveredbytheTreaty.Anditwillclarifythenecessarynationalimplementationactions.Also,thismodulewilladdressopportunitiesforcooperationandhowtofostertransparencyandaccountabilityintheregulationoftheinternationaltradeofconventionalarms.
II.UnderstandingtheTreaty’sscope
ItemscoveredbytheATTareidentifiedinitsArticles2,3and4.
ThescopeoftheATTisdefinedbyArticle2.ItlistseightcategoriesofweaponsthatarecoveredbytheATT1aswellastheactivitiesoftheinternationaltradethatareconsideredtoconstitute“transfers”undertheTreaty.2
ConsequentlyaStatePartytotheATTwillhavetoapply,ataminimum,therelevantprovisionsoftheTreatytotheexport,import,transit,trans‐shipmentandbrokeringtransactionsoractivitiesinvolvingtheconventionalarmslistedinArticle2(1).
Articles3and4oftheATTcoverammunitionandpartsandcomponentsforconventionalarms.
Internationalorcross‐bordermovementsofconventionalarmsbyoronbehalfofaStatePartyforitsownuse(e.g.forexercisesoutsideofitsbordersorpeacekeepingmissions)arenotconsideredtoconstitutetransfersundertheTreatyand,therefore,arenotsubjecttotheprovisionsoftheATT.3
1.Nationaldefinitions
TheATTrequiresStatesPartiestodevelopanationalcontrollistcontainingnationaldefinitionsoftheeightcategoriesofweaponslistedinitsArticle2.
ForallthecategorieslistedinArticle2(1),exceptforsmallarmsandlightweapons(SALW),nationaldefinitionsshallnotcoverlessthanthedescriptionusedintheUNRegisterofConventionalArms(UNRegister)4atthetimeofentryintoforceoftheATT,524December2014.
1 Article 2 (1). 2 Article 2 (2). 3 Article 2 (3). 4 Available at www.un.org/disarmament/convarms/Register/. 5 See Article 5 (3).
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ForSALW(Article2(1)(h)),nationaldefinitionsshallnotcoverlessthanthedescriptionsusedinrelevantUNinstruments,namelytheInternationalTracingInstrument(ITI)6andtheFirearmsProtocol.7
1.1 SevencategoriescontainedinUNRegisterofConventionalArms
TheUNRegister’sdefinitionsforitssevencategoriesofweaponsconstituteminimumdefinitionsfortheATT’sfirstsevencategoriesofweapons‐categoriesa)throughg)‐inArticle2(1)[refertotheAnnextothismodulefordefinitions]:
a. Battletanks;
b. Armouredcombatvehicles;
c. Large‐calibreartillerysystems;
d. Combataircraft;
e. Attackhelicopters;
f. Warships;
g. Missilesandmissilelaunchers.
AllStatesPartiesshallapplytheprovisionsoftheATTtothosecategoriesofweapons.
Importantly,theATTencouragesStatesPartiestogobeyondthisrequirementandincludethebroadestrangeofconventionalarmsintheirnationallists.
1.2 SALW
TheFirearmsProtocolandtheITIarethetwoUNinstrumentsthatcontaindefinitionsofsmallarmsand/orlightweapons.8
ThementionedProtocoldefines“firearm”asfollows:
“’Firearm’shallmeananyportablebarrelledweaponthatexpels,isdesignedtoexpelormaybereadilyconvertedtoexpelashot,bulletorprojectilebytheactionofanexplosive,excludingantiquefirearmsortheirreplicas.Antiquefirearmsandtheirreplicasshallbedefinedinaccordancewithdomesticlaw.Innocase,however,shallantiquefirearmsincludefirearmsmanufacturedafter1899.”
6 International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons. The definition contained in the ITI is largely based on the definition of firearms contained in the Firearms Protocol. 7 Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the UN Convention against Transnational Organized Crime. The Protocol defines firearms, a term that is often used interchangeably with small arms. Available at www.unodc.org/unodc/en/firearms-protocol/firearmsprotocol.html. 8 There are also several regional and subregional instruments dealing with SALW regulations and control. such as the ECOWAS Convention on Small Arms and Light Weapons, their Ammunition and other Related Materials, the Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region, the Horn of Africa and Bordering States, the Andean Plan to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All its Aspects, the SADC Protocol on the Control of Firearms, Ammunition and other Related Materials.
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TheITIprovidesadefinitionofSALWthatiscomposedoftwoparts:thefirstpartcontainingageneraldefinition,whichislargelyderivedfromtheabove‐mentionedFirearmsProtocol’sdefinitionoffirearms;thesecondpartspecifyingwhata“smallarm”isandwhata“lightweapon”is,giventhegeneraldefinition.Bothpartsshouldbereadtogether.Thus,forthepurposesoftheITI,SALWare:
“…anyman‐portablelethalweaponthatexpelsorlaunches,isdesignedtoexpelorlaunch,ormaybereadilyconvertedtoexpelorlaunchashot,bulletorprojectilebytheactionofanexplosive,excludingantiquesmallarmsandlightweaponsortheirreplicas.Antiquesmallarmsandlightweaponsandtheirreplicaswillbedefinedinaccordancewithdomesticlaw.Innocasewillantiquesmallarmsandlightweaponsincludethosemanufacturedafter1899:
(a)‘Smallarms’are,broadlyspeaking,weaponsdesignedforindividualuse.Theyinclude,interalia,revolversandself‐loadingpistols,riflesandcarbines,sub‐machineguns,assaultriflesandlightmachineguns;
(b)‘Lightweapons’are,broadlyspeaking,weaponsdesignedforusebytwoorthreepersonsservingasacrew,althoughsomemaybecarriedandusedbyasingleperson.Theyinclude,interalia,heavymachineguns,hand‐heldunder‐barrelandmountedgrenadelaunchers,portableanti‐aircraftguns,portableanti‐tankguns,recoillessrifles,portablelaunchersofanti‐tankmissileandrocketsystems,portablelaunchersofanti‐aircraftmissilesystems,andmortarsofacalibreoflessthan100millimetres.”
1.3 Ammunition/Munitions
InadditiontotheeightcategoriesofconventionalarmscoveredinArticle2,ammunition/munitionsaresubjecttotheprohibitionsandexportassessmentprovisionsthatapplytotheweaponsdescribedinArticle2.Consequently,StatesPartiesarerequiredtoregulatetheexportofammunition/munitionsthatcanbefired,launchedordeliveredbyanyoftheconventionalarmsasdefinedaboveundersection1.1and1.2.
TheATTdoesnotprovideadefinitionofammunition.Also,thereisnointernationallyagreeddefinitionofammunition/munitionsfortheconventionalarmscoveredundertheATT,exceptforfirearmammunition.TheFirearmsProtocolinitsArticle3definesthe[firearm]ammunitionasfollows:
“Ammunition”shallmeanthecompleteroundoritscomponents,includingcartridgecases,primers,propellantpowder,bulletsorprojectiles,thatareusedinafirearm,providedthatthosecomponentsarethemselvessubjecttoauthorizationintherespectiveStateParty;”
Furthermore,itindicatesthattheabovedefinitionisforthepurposesofthatinstrumentonly.AStatemayadoptthisdefinitionordrawfromit,whenadoptingrelevantnationallawsandpoliciestoimplementtheATT.
AmoregeneraldefinitionofammunitionandmunitionisprovidedbytheInternationalAmmunitionTechnicalGuidelines(IATG):9
“[Ammunition]isacompletedevice,(e.g.missile,shell,mine,demolitionstoreetc.)chargedwithexplosives,propellants,pyrotechnicsorinitiatingcompositionforusein
9 For the International Ammunition Technical Guidelines (IATG), see www.un.org/disarmament/convarms/ammunition.
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connectionwithoffence,ordefence,ortraining,ornon‐operationalpurposes,includingthosepartsofweaponssystemscontainingexplosives.(c.f.munition).
“[Munition]isacompletedevicechargedwithexplosives,propellants,pyrotechnics,initiatingcomposition,ornuclear,biologicalorchemicalmaterialforuseinmilitaryoperations,includingdemolitions.”
ThedefinitioncontainedintheIATGreachesbeyondtheammunition/munitionscontemplatedintheATT,as(i)itmayalsoapplytoweaponsofmassdestruction(e.g.,nuclear,biologicalandchemical)and(ii)itincludesweapons,suchasmines,whicharenotcoveredinthescopeoftheATT.
1.4 Partsandcomponents
UnderArticle4oftheATT,StatesPartiesmustregulatetheexportofpartsandcomponentsthatcanprovidethecapabilitytoassembletheconventionalarmsincludedinthescopeoftheATT.
TheATTdoesnotprovideadefinitionofpartsandcomponents.However,Article3oftheFirearmsProtocoldoes:
“’Partsandcomponents’shallmeananyelementorreplacementelementspecificallydesignedforafirearmandessentialtoitsoperation,includingabarrel,frameorreceiver,slideorcylinder,boltorbreechblock,andanydevicedesignedoradaptedtodiminishthesoundcausedbyfiringafirearm.”
2.ATTcomparedtootherrelevantglobalinstruments10
Thefollowingglobalinstruments–adoptedundertheauspicesoftheUN–addressthetradeinconventionalarms:
a. UNProgrammeofActiontoPrevent,CombatandEradicatetheIllicitTradeinSmallArmsandLightWeaponsinAllItsAspects11(PoA);
b. ITI;
c. FirearmsProtocol;
d. UNRegister.12
SomeATTStatesPartieshaveadoptedregional,sub‐regionalandothergovernmentalinstrumentsthatregulatearmsexports.TheseStatesareencouragedtoconsulttheseinstrumentsandtoidentifyareaswheretheirATTcommitmentswouldoverlapwiththeircommitmentsunderotherrelevantnon‐UNinstrumentsinordertofindsynergiesforaneffectiveimplementationoftheATT.
10 There are also regional, sub-regional and other inter-governmental instruments (e.g. the Nairobi Protocol, the ECOWAS Convention, the Wassenaar Arrangement) that deal with arms export regulations. 11 The PoA was adopted by Member States of the UN by consensus in 2001 and all States are politically committed to implementing the measures recommended in it. Available at www.poa-iss.org/poa/poahtml.aspx. 12 www.un.org/disarmament/convarms/Register/.
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Figure1and2provideanoverviewofpossibleoverlapsbetweentheATTandtheseotherinternationalinstruments.
Figure1–Exportofconventionalarmsandrelateditems
Figure2–Import,transitandtranshipment,andbrokeringofconventionalarmsandrelateditems
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III.NationalimplementationofATTrequirements
1.Requirementsrelatedtoarmsexports
1.1 Establishandmaintainanationalexportcontrolsystem
TheATTrequiresStatesPartiestoestablishandmaintainanationalexportcontrolsystemthatensureseffectivecompliancewiththeexportprovisionsoftheATT,includingapplicationoftheexportassessmentprovisionsoftheATTandenforcementofrelevantexportprohibitionsandnationallawsandpolicies.13
StatesPartiesmusthaveinplacelaws,regulationsandadministrativeprocedurestocontrolandregulatetheexportofconventionalarmsunderthescopeoftheATT,aswellasrelatedammunition,14partsandcomponents.15
Theselaws,regulationsandproceduresshallenabletheStatePartytoexerciseeffectivecontroloverconventionalarms,ammunitionandpartsandcomponentsleavingaState’sjurisdiction.
Thenationallegislationshouldclearlystate:
a) Whichweaponsanditemsaresubjecttoexportcontrol(nationalcontrollist);
b) Whichgovernmentministries,departmentsandagenciesareresponsibleforcontrollingconventionalarmsexports(nationalauthorities);
c) Thecriteriaforgrantingorrefusingexportauthorizations(regulatoryprocedures);
d) Thelegaland/oradministrativeactionsthatmustbeappliedincaseofexportoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).
1.1.1.Nationalcontrollist
Article5(2)oftheATTrequiresStatesPartiestoestablishandmaintainanationalcontrollist.
Thislistshallcontaindefinitionsoftheconventionalarms,ammunitionandmunitions,andpartsandcomponentsthetransferofwhicharetoberegulated.
Thenationalcontrollistmaybeasinglelistcoveringallitemssubjecttoexportcontrol,oracollectionoflistseachcoveringdifferentcategories/typesofitemssubjecttoexportcontrol.
StatesParties,pursuanttotheirnationallaws,mustprovidetheirnationalcontrolliststotheATTSecretariat,whichshallmakethemavailabletootherStatesParties.
13 Article 5 (2). 14 Article 3. 15 Article 4.
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StatesPartiesarealsoencouragedtomaketheircontrollistspubliclyavailable.
1.1.2.Nationalauthorities
StatesPartieshavetodesignatecompetentnationalauthoritiestoensuretheeffectiveandtransparentnationalcontrolandregulationovertheexportofitemscoveredundertheATT.16
Thedesignatedauthoritycouldbeanewentityestablishedforthispurposeoranalreadyestablishedentity.
Thedesignatedauthorityshalladministertheregulatoryregimeandimplementcontrolsthroughanarmsexportauthorizationprocess.17
Box1–Designatingnationalauthorities
Althoughspecificapproacheddifferfromcountrytocountry,mostgovernmentsdesignateonestateagencyasthemainentityresponsibleforexaminingexportauthorizationapplicationandgranting(orrefusing)therelatedauthorizations.18Itiscommonforsuchanagencytoconsultwithothergovernmentministriesordepartmentsbeforeadecisionistakenonanauthorizationapplication.Insomecases,theauthorizationauthorityissubjecttoanoversightmechanism(e.g.bythelegislativebodyorparliament).
Taskstobeundertakenbytheauthorizationagencymayinclude:
a. Receiveandreviewexportapplications;
b. Issueexportauthorizations;
c. Ensurethatalldocumentationandapprovalsfortheexportofitemsaredetailedandissuedpriortotheexport;19
d. Keeprecordsofexportauthorizationsforaminimumoftenyears;20
e. MakeavailableappropriateinformationaboutanauthorizationtotheimportingStateandtransitortranshipmentState,ifapplicableandsubjecttoitsnationallaws,policiesandpractices;21
f. Coordinatewithotherministriesanddepartmentinvolvedintheexportauthorizationprocess;
g. Reporttotheoversightbody,whereapplicableandinaccordancewithnationallaws.
Inmanycountriesnationallawsrequirethattheexportofcertainweaponsofstrategicimportancebeapprovedatalevelhigherthannationalauthority,suchashigh‐levelofficials,thecabinetorCouncilofMinistersor,insomecases,thelegislativebody.
16 Article 5 (5). 17 C.f. Article 5 (5). 18 For the purposes of these guidelines, an export authorization will be often referred to as an “export licence”. However, some countries use other terminology, e.g. “export permit”. 19 Article 7 (5). 20 Article 12 (1). 21 Article 7 (6).
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1.1.3.Regulatoryproceduresonconventionalarmsexports
Theexportofconventionalarms,relatedammunition/munition,partsandcomponents(or“covereditems”)shallbesubject,onacase‐by‐casebasis,topriorwrittenauthorization(‘exportauthorization’)bythecompetentauthoritiesoftheexportingState.
a.Transferprohibition22
ExportauthorizationsofitemsshallnotbegrantediftheexportwouldcontraveneanyofthecriteriaoutlinedinArticle6oftheATT.
Box2–Prohibitionsoftransfers(Article6)
Atransferofitemsshouldbedeniedif:
a) ItwouldviolatetheStateParty’sobligationsundermeasuresadoptedbytheUNSecurityCouncilactingunderChapterVIIoftheCharter,inparticulararmsembargoes;
b) ItwouldviolateaStateParty’srelevantinternationalobligationsunderinternationalagreements;
c) AStatePartyhasknowledgeatthetimeofauthorizationthatthearmsoritemswouldbeusedinthecommissionof:‐Genocide;‐Crimeagainsthumanity;‐GravebreachesoftheGenevaConventionsof1949;‐Attacksdirectedagainstcivilianobjectsorciviliansprotectedassuch;‐OtherwarcrimesasdefinedbyinternationalagreementstowhichitisaParty.
b.Exportassessment23
StatesPartiesarerequiredtoconductanassessmentofrisksassociatedwiththeexportofitemscoveredundertheATT.
TheassessmentbytheexportingStatePartyshouldbedoneinacoherent,objectiveandnon‐discriminatorymanner,takingintoaccountrelevantfactors,includinginformationprovidedbytheimportingState.ThecriteriafortheexportassessmentareoutlinedinArticle7oftheATT.
IfanexportisnotprohibitedunderArticle6oftheATT,thenationalauthoritiesoftheexportingStatePartyshallassessthepotentialthatanexportofcovereditems:
Wouldcontributetoorunderminepeaceandsecurity;24
Inmakingthisassessment,thenationalauthoritiesmayidentifypositiveandnegativefactorsaffectingdecisionsregardingexportofcovereditems.Ifthoseauthoritiesdeterminethatanexportislikelytocontributetopeaceandsecurity(apositiveoutcome),thentheyshouldaddthisfindingtothelistoffactorsfavouringtheauthorisationoftheexports.Ontheotherhand,ifthenationalauthoritiesfindthatanexportislikelytounderminepeaceandsecurity(anegative
22 Article 6. 23 Article 7. 24 Article 7.
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outcome),thentheyshouldassessthisriskandaddittothelistoffactorsjustifyingtheadoption/negotiationofmitigatingmeasuresoradenialofsuchexport.
Couldbeusedtocommitorfacilitateaseriousviolationofinternationalhumanitarianorinternationalhumanrightslaw;
CouldbeusedtocommitoffensesunderinternationalconventionsorprotocolsrelatingtoterrorismorinternationalorganizedcrimetowhichtheexportingStateisaparty.25
TheexportingStatehastotakeintoaccounttheriskoftheitemsbeingusedtocommitorfacilitateseriousactsofgender‐basedviolenceorseriousactsofviolenceagainstwomenandchildren.26
Box3–Criteriaforexportassessment
Article7(1):IftheexportisnotprohibitedunderArticle6,eachexportingStateParty,priortoauthorisationoftheexportofconventionalarmscoveredunderArticle2(1)orofitemscoveredunderArticle3orArticle4,underitsjurisdictionandpursuanttoitsnationalcontrolsystem,shall,inanobjectiveandnon‐discriminatorymanner,takingintoaccountrelevantfactors,includinginformationprovidedbytheimportingStateinaccordancewithArticle8(1),assessthepotentialthattheconventionalarmsoritems:
a) wouldcontributetoorunderminepeaceandsecurity;
b) couldbeusedto:
(i) commitorfacilitateaseriousviolationofinternationalhumanitarianlaw;
(ii) commitorfacilitateaseriousviolationofinternationalhumanrightslaw;
(iii)commitorfacilitateanactconstitutinganoffenceunderinternationalconventionsorprotocolsrelatingtoterrorismtowhichtheexportingStateisaParty;
(iv)commitorfacilitateanactconstitutinganoffenceunderinternationalconventionsorprotocolsrelatingtotransnationalorganizedcrimetowhichtheexportingStateisaParty.
Article7(4):TheexportingStateParty,inmakingthisassessment,shalltakeintoaccounttheriskofthecovereditemsbeingusedtocommitorfacilitateseriousactsofgender‐basedviolenceorseriousactsofviolenceagainstwomenandchildren.
c.Mitigationmeasures27
Ifthereisariskoftheweaponsanditemsbeingusedtounderminepeaceandsecurityortocommitorfacilitateaseriousviolationofinternationalhumanitarianorhumanrightslaworoffensesunderinternationalconventionsorprotocolsrelatingtoterrorismorinternationalorganizedcrime,exportingStatesPartiesshallconsiderwhethertherearemitigationmeasuresthatcouldbeundertakensuchas:
- Confidence‐buildingmeasures;
- JointlydevelopedandagreedprogrammesbytheexportingandimportingStates.
25 Article 7 (1). 26 Article 7.4. 27 Article 7 (2).
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d.Exportdenials
IftheexportingState–afterhavingconductedtheexportassessmentaswellasconsideredmitigationmeasures–determinesthatthereisanoverridingriskofanyofthenegativeconsequencesinArticle7(1),theexportshallnotbeauthorised.
Consequently,thenationalauthoritiesinvolvedintheexportauthorisationprocessmustconsideriftheprobablenegativeconsequencesofarmsexportswouldoutweighthepositiveaspectsoftheexports(providedtheexportisnottheonethatisalreadyprohibitedunderArticle6).
e.Assessingtheriskofdiversion28
Duringtheexportassessment,theexportingStatesPartiesshallalsoassess:
Theriskthatsomeoralloftheweaponscouldbedivertedbeforereachingtheauthorizedend‐user;
Theriskthatsomeoralloftheweaponscouldbedivertedafterreachingtheauthorisedend‐user,includingthrough:
Asubsequenttransferbytheauthorizedend‐userinawaythatwouldviolatetheprovisionsoftheATT,contravenetheexportingState’snationalexportpoliciesorwouldotherwiseconstituteadiversion;
Leakagesduetopilferingandotheroccurrencesgenerallyassociatedwithinadequateandinsecurestockpilemanagementorcorruption;
Stockpilescapturedbyarmednon‐stateactors.
f.Reassessmentofauthorizations29
TheexportingStatePartyisencouragedtoreassessanauthorizationofaspecifictransferofconventionalarmsoritemsthathasalreadybeengranted,shouldnewrelevantinformationcomestolight.
Ifpossibleandappropriate,suchareassessmentshouldbeundertakenafterconsultationswiththeimportingState.
1.1.4.Enforcementmeasures
Mechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtoconventionalarmsexportsshallbeinplaceatnationallevel.30
EachStatePartywilldecideontheextentofitsnationalenforcementmeasuresastheATTdoesnotprovideanyguidance.
28 Article 11 (2). 29 Article 7 (7). 30 Article 14.
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1.2Maintainnationalrecordsofexportauthorizationsandactualexports
TheexportingStatePartyshallkeeprecordsofallexportauthorizationsissuedoroftheactualexportsofconventionalarmsunderArticle2(1).31
ItisuptotheStatePartytodecideitspreference:recordsofauthorizationsorofactualexportsorboth.Therecordsshouldbekeptbythecompetentnationalauthorities.
TheATTdoesnotrequireStatesPartiestokeeprecordsofauthorizationsoractualexportsofammunitionorpartsandcomponents,butStatesPartiescankeepsuchrecordsiftheysochoose.
Recordsshallbemaintainedforaminimumoftenyears.32
Box4–Record‐keepingofexports
Statesareencouragedtoincludeintheirrecords:33
1.Quantity;2.Value;3.Model/type/serialnumber;4.Authorizedconventionalarmstobetransferred;5.Conventionalarmsactuallytransferred;6.DetailsofimportingState(s),transitandtrans‐shipmentState(s);7.End‐users.
1.3 RoleofimportingStateinexportauthorizationprocess
TheimportingStateshallensurethatappropriateandrelevantinformationisprovided,uponrequest,toassisttheexportingStateinconductingitsnationalexportassessment.34Suchdocumentsmayinclude:
a.End‐useorend‐userdocumentation;35
b.Importauthorization;
c.DocumentsthatindicatethattheimportingStatehasanadequatesystemandthecapacitytocontroltheimportedweapons.
1.4 Export‐relatedrequirementsundertheATTcomparedwiththoseunderotherrelevantUNinstruments
InadditiontotheATT,thereareotherinternationalinstrumentsthathaveprovisionsorrecommendmeasuresregardingthecontrolofexport,importandtransit/trans‐shipmentofconventionalweapons,suchasthePoAandtheFirearmsProtocol.SomeStatesmayhavealreadytakenimplementation
31 Article 12 (1). 32 Article 12 (4) 33 Article 12 (3). 34 Article 8 (1). 35 ibidem
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measuresundertheseinstruments.Inordertoavoidduplicationofefforts,thefollowingtableliststhedifferentrequirementsrelatedtoexportofconventionalweaponscontainedinthethreeinstruments.
Table1–Overviewofexport‐relatedrequirementsofUNinstruments
ATT Firearms Protocol PoA
Export controls
-Establish and maintain a national control system, including a national control list. See Art. 5 (2). -Establish and maintain national control systems to regulate export of ammunition / munitions and parts and components. See Art. 3 and 4.
-Each State Party shall establish or maintain an effective system of export licensing or authorization. See Art. 10 (1).
-Put in place adequate laws, regulations, and administrative procedures to exercise effective control over export. See Para. II.2 and II.12. -Establish an effective system of export licensing or authorization. See Para. II.11.
Export prohibitions
-Exports shall be prohibited if they violate Security Council and UN Charter obligations, violate obligations under international agreements the exporting State is party to; or be used in the commission of genocide, crime against humanity, grave breaches of the Geneva Conventions, attacks directed against civilians, or other war crimes. See Art. 6.
- No provisions that explicitly prohibit the export of firearms -
- States must take appropriate measures including all legal or administrative means, against any activity that violates a Security Council arms embargo in accordance with the UN Charter. See Para. II.15.
Export assessment
-Assess the potential that weapons would contribute to or undermine peace and security; could be used to violate international humanitarian and human rights law, international conventions, or protocols relating to terrorism or transnational organized crime. See Art. 7 (1).
- No provisions that require States Parties to undertake an export assessment -
-Assess export applications according to strict national regulations and procedures that are consistent with international law and that take into account the risk of diversion. See Para. II.11.
Documentation
- Ensure all authorizations for export are detailed and issued prior to export. See Art. 7 (5).
-Verify that importing States have issued import licences and authorizations; and written notice that transit States do not object. See Art. 10 (2). - Documentation must include: place and date of issuance, date of expiration, country of export, country of import, final recipient, description and quantity of the items, and transit countries (if relevant). See Art. 10 (3). - Ensure (with available means) that the authenticity of documents can be verified or validated. See Art. 10 (5).
- Ensure the use of authenticated end-user certificates and effective legal and enforcement measures. See Para. II.12.
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2 Requirementsrelatedtoarmsimport
2.1 Regulateimports
Ingeneral,StatesPartiesmustputinplacelaws,regulationsandadministrativeprocedurestoregulatetheimportofconventionalarmsunderthescopeoftheATT.ThisisconsistentwithArticle8(2)andwithArticle5(4),bywhichStatesPartiesareexpectedtohaveinordertohaveaneffectiveandtransparentnationalcontrolsystemregulatingthetransferofconventionalofcovereditems.
Thenationallegislation,regulationsoradministrativeproceduresshouldclearlystate:
Whichitemsaresubjecttoimportcontrol(nationalcontrollist);
Whichgovernmentministriesordepartmentsareresponsibleforregulatingconventionalarmsimports(nationalauthorities);
Thecriteriaforgrantingorrefusingimportauthorizations(regulatoryprocedures),ifapplicable;
Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofimportoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).
2.1.1.Nationalcontrollist
Thenationalcontrollistisanessentialtoolforregulatingimportsofconventionalarms.StatesPartiesarefreetoestablishasinglenationalcontrollistforbothexportandimportcontrol.
2.1.2.Nationalauthorities
StatesPartieshavetodesignatecompetentnationalauthoritiestoensuretheeffectiveandtransparentnationalregulationovertheimportofconventionalweaponscoveredundertheATT.36
IncasetheStatePartyoptsforanimportcontrolsystem–meaningthateveryimportofconventionalweaponslistedinthenationalcontrollistissubjecttoanimportauthorization–thedesignatedauthoritiesshalladministertheregulatoryregimeandimplementcontrolsthroughanarmsimportauthorizationprocess.
2.1.3.Regulatoryprocedures
Theregulatoryprocedurestocontrolimportsofconventionalarmsestablishthecriteriaforgrantingorrefusingtheimportofconventionalweaponsincludedinthenationalcontrollist.
36 Article 5 (5).
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IncasetheimportingStatePartyregulatestheimportsthroughalicensingsystem,theregulatoryproceduresshoulddetailhowandunderwhatcircumstancesimportauthorizationscanbeobtained.
2.1.4.Enforcementmeasures
StatesPartiesmustputinplacemeasuresandmechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtotransitandtrans‐shipmentofconventionalarms.37
EachStatePartywilldecideonthespecificenforcementmeasurestobeadopted,astheATTdoesnotprovidefurtherdetailsonthismatter.
2.2 Maintainrecordsofimports
TheimportingStateisencouragedtomaintainrecordsofconventionalarmscoveredbytheATTthataretransferredtoitsterritoryasthefinaldestination.38
Box5–Record‐keepingofimports
Therecordsshouldinclude:39
1.Quantity;2.Value;3.Model/type/serialnumber;4.AuthorizedinternationaltransfersofconventionalarmscoveredunderthescopeoftheATT;5.Conventionalarmsactuallytransferred;6.DetailsofexportingState(s),transitandtrans‐shipmentState(s);7.End‐users.
2.3 Import‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments
Thereareotherinternationalinstrumentsthathaverequirementsorrecommendmeasuresrelatedtoimportcontrolofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferentinscope,itisimportanttobeawareofthepossibleoverlaps,complementarityorsynergiesbetweenthesethreeinstruments.
37 Article 14. 38 Article 12 (2). 39 Article 12 (3).
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Table2–Overviewofimport‐relatedrequirementsofUNinstruments
ATT FirearmsProtocol PoA
Importcontrols
-TheimportingStateshalltakemeasurestoregulate,wherenecessary,importsunderitsjurisdiction,suchasthroughimportsystems.SeeArt.8(2).
-EachStatePartyshallestablishormaintainaneffectivesystemofimportlicensingorauthorization.SeeArt.10(1).
-Putinplaceadequatelaws,regulations,andadministrativeprocedurestoexerciseeffectivecontroloverimport.SeePara.II.2.-Establishaneffectivesystemofimportlicensingorauthorization.SeePara.II.11.
Documentation
‐TheimportingStateshallensurethatrelevantinformation–suchasend‐useorend‐userdocumentation–isprovided,uponrequest,pursuanttoitsnationallaw,toassisttheexportingStateParty.SeeArt.8(1).‐TheimportingStatemayrequestinformationfromtheexportingStateregardingexportauthorizations.SeeArt.8(3).
‐TheimportingStatePartyshall,uponrequest,informtheexportingStatePartyofthereceiptofthedispatchedshipment.SeeArt.10(4).
‐ ThePoAonlyreferstothefactthatimportlicensingorauthorizationisrequired.SeeParaII.11).
3 Requirementsrelatedtotransit/trans‐shipmentStates
3.1 Regulatetransitortrans‐shipment
Bothtransitandtrans‐shipmentconstitutea“transfer”underArticle2(2)oftheATT.Therefore,StatesPartiesarerequiredtocomplywithalltheprohibitionsontransfersofitemsunderArticle6aswellastotakeappropriatemeasurestoenforcetheimplementationoftheTreaty.
Inaddition,StatesPartiesshalltakemeasurestoregulatetransitortrans‐shipmentundertheirjurisdiction,wherenecessaryandfeasible.40
Inordertoregulatetransitandtrans‐shipmentofconventionalarms,StatesPartieswillhavetoputinplacelaws,regulationsandadministrativeproceduresinamannerthatisconsistentwithinternationallaw.
Thenationallegislationshouldstate:
Whatconstitutestransitortrans‐shipment(nationaldefinition);
40 Article 9.
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Whichgovernmentministriesordepartmentsareresponsibleforregulatingtransitandtranshipmentofconventionalarms(nationalauthorities);
Thecriteriaforgrantingorrefusingtransit/trans‐shipmentauthorizations(regulatoryprocedures),ifapplicable;
ThecriteriashallincludetheprohibitionsunderArticle6oftheATT.
Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).
3.1.1.Nationalauthorities
Wherenecessaryandfeasible,StatesPartieswillhavetodesignatenationalauthoritiesregulatingconventionalarmstransitandtrans‐shipment.41
ItisuptoeachStatePartytodecideonhowtoestablishitsnationalauthorities.
3.1.2.Regulatoryprocedures
EachStatePartyhasdiscretiontoregulatetransitandtrans‐shipmentofitemsbeyonditsobligationunderArticle6.TheStatePartycanestablishhowitwishestoregulatethoseactivities.Therearethreemainapproachestoregulatetransit/trans‐shipment:
Licensingsystem:Underthissystem,anexporterneedstoapplyandobtainatransit/trans‐shipmentauthorizationfromthenationalauthorityinthetransit/trans‐shipmentStatepriortothetransitofweaponsthroughterritoryunderthejurisdictionofthisState.
Priornotification:Notificationproceduresthatrequirethenationalauthorityinthetransit/trans‐shipmentStatetobeprovidedinadvancewithinformationanddocumentationonthemovementofweaponstransiting/trans‐shippingthroughterritoryunderitsjurisdiction.
Transit/trans‐shipmentcontrolonlybycustomsauthorities:Thisrequiresanotificationtocustomsauthoritiesaboutarmsshipmentsatthepointofentry,uponwhichtechnicalanddocumentarycheckscouldbeconducted.
3.1.3.Enforcementmeasures
StatesPartiesmustputinplacemeasuresandmechanismstoensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtotransitandtrans‐shipmentofconventionalarms.42
41 Article 5 (5). 42 Article 14.
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EachStatePartywilldecidewhichspecificenforcementmeasurestoadopt,astheATTdoesnotprovideguidanceonthismatter.
3.2 Maintainrecords
Transitortrans‐shipmentStatesPartiesareencouragedtomaintainaccuraterecordsofconventionalarmsthatareauthorisedtotransitorbetrans‐shippedinterritoryundertheirjurisdiction.
Theserecordsshouldbekeptforaminimumoftenyears.43
Box6–Record‐keepingoftransitsandtrans‐shipments
Therecordsshouldinclude:44
a. Quantity;
b. Value;
c. Model/type/serialnumber;
d. AuthorizedinternationaltransfersofconventionalarmscoveredunderthescopeoftheATT;
e. Conventionalarmsactuallytransferred;
f. DetailsofexportingState(s),importingState(s),andothertransitandtrans‐shipmentState(s)ifapplicable;
g. End‐user.
3.3Transit/trans‐shipment‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments
Thereareotherinternationalinstrumentsthathaverequirementsorrecommendmeasuresrelatedtotransit/trans‐shipmentofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferentinscope,itisimportanttobeawareofthepossibleoverlaps,complementarityorsynergiesbetweenthesethreeinstruments.
43 Article 12 (4). 44 Article 12 (3).
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Table6–Overviewoftransit/trans‐shipment‐relatedrequirementsofUNinstruments
ATT FirearmsProtocol PoA
Transit/transhipmentcontrols
-—Shallnotauthorise-anytransit/trans‐
shipment-ofcovered-itemsinviolationof-Article6.
—Takeappropriate-measurestoenforce-nationalmeasures-takentoimplement-theATT.SeeArt.14.-Takeappropriatemeasures
toregulate,wherenecessaryandfeasible,thetransitortrans‐shipmentthroughitsterritory.SeeArt.9.
-Establishor-maintaineffective-measureson-internationaltransit-offirearms,theirparts-andcomponentsand-ammunition.SeeArt.-10(1).
-—Putinplace-adequatelaws,-regulations,and-administrative-procedurestoexercise-effectivecontrolover-transitofsmallarms-andlightweapons.See-Para.II.2.-—Establishor-maintainmeasureson-internationaltransitof-smallarmsandlight-weaponswithaview-tocombatingitsillicit
-trade.SeePara.II.11.
Documentation
‐Noreferencetodocumentationinthecontextofregulatingthetransit/trans‐shipmentofconventionalarms‐
‐TheinformationintheimportlicencemustbeprovidedtothetransitStatesinadvance.SeeArt.10(3).
—Putinplaceadequatelaws,regulations,andadministrativeprocedurestoensureeffectivecontrolovertransitofsmallarmsandlightweapons,includingtheuseofauthenticatedend‐usercertificatesandeffectivelegalandenforcementmeasures.SeePara.II.12.
4 Requirementsrelatedtobrokering
4.1 Regulatebrokering
StatesPartiesshalltakemeasurestoregulatearmsbrokeringtakingplaceundertheirjurisdiction.45StateshavediscretiontodeterminehowtodesignsuchregulationprovidedthatitcomplieswiththeirobligationonprohibitionsoftransfersunderArticle6oftheATT.
45 See Article 10.
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Thenationallegislation,regulationoradministrativeproceduresregardingbrokeringcouldinclude:
Whatconstitutesbrokering(nationaldefinition);
Whichgovernmentministriesordepartmentsareresponsibleforregulatingconventionalarmsbrokering(nationalauthorities);
Thecriteriaforgrantingorrefusingbrokeringauthorizations(regulatoryprocedures),ifapplicable;
ThecriteriashallincludetheprohibitionsunderArticle6oftheATT.
Thelegaland/oradministrativeactionsthatwouldbeappliedincaseofoffences(enforcementmeasuresandmechanisms,prosecutionandpunishment).
4.1.1.Nationaldefinition
SincetheATTdoesnotdefinethetermbrokering,andgiventhemultitudeofactivitiesthatcouldbeassociatedwithbrokering,itisimportantthatthenationallegislationdelineateswhatconstitutesbrokeringandwhatdoesnot.AccordingtothereportoftheUNGroupofGovernmentalExpertsonBrokeringinSALW46(GGEreport)andtheInternationalSmallArmsControlStandards(ISACS),brokeringmeans:47
GGEreport“8.AbrokerinSALWcanbedescribedasapersonorentityactingasanintermediarythatbringstogetherrelevantpartiesandarrangesorfacilitatesapotentialtransactionofSALWinreturnforsomeformofbenefit,whetherfinancialorotherwise”.ISACS01.20Broker:“Apersonorentityactingasanintermediarythatbringstogetherrelevantpartiesandarrangesorfacilitatesapotentialtransaction[…]inreturnforsomeformofbenefit,whetherfinancialorotherwise”Brokering:”Activitiescarriedoutbyabrokerinthecontextofarrangingorfacilitatinganinternationaltransferofsmallarmsorlightweapons.Note1.Brokeringactivitiesinclude,butarenotlimitedto:‐servingasafinderofbusinessopportunitiestooneormoreparties;‐puttingrelevantpartiesincontact;‐assistingpartiesinproposing,arrangingorfacilitatingagreementsorpossiblecontractsbetweenthem;‐assistingpartiesinobtainingthenecessarydocumentation;
46 A/62/163 of 30 August 2007. 47 Available at www.smallarmsstandards.org.
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‐assistingpartiesinarrangingthenecessarypayments”.
Note2.Someactivitiescloselyassociatedwithbrokeringinsmallarmsandlightweapons,thatdonotnecessarilyinthemselvesconstitutebrokeringactivities,mightbeundertakenbybrokersaspartoftheprocessofputtingadealtogethertogainbenefit.Theseactivitiesmayinclude,forexample,actingasdealersoragentsinsmallarmsandlightweapons,providingtechnicalassistance,training,transport,freightforwarding,storage,finance,insurance,maintenance,securityandotherservices.
Note3.Brokeringactivitiescantakeplaceinthebroker’scountryofnationality,residenceorregistration;theycanalsotakeplaceinanothercountry.Thesmallarmsandlightweaponsdonotnecessarilypassthroughtheterritoryofthecountrywherethebrokeringactivitytakesplace,nordoesthebrokernecessarilytakeownershipofthesmallarmsandlightweapons”.
4.1.2.Nationalauthorities
StatesPartiesshalldesignatenationalauthoritiestoregulatebrokeringinconventionalarms.48Brokeringconstitutesa“transfer”underArticle2(2)oftheATT.
Ideally,thecompetentnationalauthoritiestoregulatebrokeringofconventionalarmsshouldbeclearlyidentifiedinthenationallegislationandshouldbepartofthenationalimport/exportcontrolsystems.
AlthoughitistheprerogativeofeachStatePartytodecidewhichauthoritiesshouldbeentrustedwiththeresponsibilityofregulatingbrokering,itwouldbeconsistentwithATTimplementationrequirementsandobligations,toconsiderplacingthatresponsibilitywiththesameauthoritiesentrustedwiththeregulationofexports.
4.1.3.Regulatoryprocedures
ItisuptoStatesPartiestodecidehowtoregulatebrokeringinconventionalarmstakingplaceunderitsjurisdiction,providedthattheStatePartycomplieswithitsobligationsunderArticle6oftheATT(prohibitionsontransfers).Measurescouldincluderegistrationofbrokersandissuingwrittenauthorizationsbeforeengaginginbrokeringtransactions.
4.1.4.Enforcementmeasures
Mechanismsthatensurecompliancewithlaws,regulationsandadministrativeproceduresrelatedtobrokeringofconventionalarmsshallbeinplaceatthenationallevel.49
Stateswillwhichenforcementmeasurestoadopt,astheATTdoesnotprovidefurtherdetails.
48 Article 5 (5). 49 Article 14.
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4.2 Brokering‐relatedrequirementsundertheATTcomparedwiththoseunderotherUNinstruments
Thereareotherinternationalinstrumentsthathaverequirementsrelatedtobrokeringofconventionalweapons,suchasthePoAaswellastheFirearmsProtocol.Whiletheyaredifferent in scope, it is importanttobeawareofthepossibleoverlaps,complementarityorsynergiesamongthesethreeinstruments.
Table4–Overviewofbrokering‐relatedrequirementsofUNinstruments
ATT FirearmsProtocol PoA
Brokeringcontrols
-EachStatePartyshalltakemeasures,pursuanttoitsnationallaws,toregulatebrokeringtakingplacewithinitsjurisdiction,suchasregistrationorbrokeringauthorizations.SeeArt.10.
‐Considerregulatingbrokersbyestablishingasystemthatrequires:registrationofbrokersoperatingwithinStateParty’sterritory;licensingorauthorizationofbrokering;and/ordisclosureofnamesandlocationsofbrokersonimportandexportlicencesandauthorizations.SeeArt.15.
‐Developadequatelegislationandadministrativeproceduresonregulatingtheactivitiesofthosewhoengageinbrokeringofsmallarmsandlightweapons,including:registration,licensingorauthorizationofbrokeringtransactions,andappropriatepenaltiesforillicitbrokeringactivitiesperformedwithintheState’sjurisdictionandcontrol.SeePara.II.14.
5 Requirementsrelatedtothepreventionofdiversionofconventionalarms
5.1 Legalbasis
StatesPartiesinvolvedinthetransferofconventionalarmsshalltakemeasurestopreventtheirdiversion.50
Theresponsibilitytotakemeasurestopreventdiversionneedstobesharedamongallthoseinvolvedintransfers,includingexporting,importingandtransit/trans‐shipmentStates.
Tothateffect,Statespartiesshallcooperateandexchangeinformationinordertomitigatetheriskofdiversionofthetransferofconventionalarms.51
50 Article 11 (1).
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ItisuptoeachStatePartytodefineinitsnationallegislationand/orproceduresthemodalitiesofsuchinformationexchange,includingthescopeandextentofinformationtobeexchangedaswellastheentityresponsibleforinformationexchange.Moreover,StatesPartiesmayconsideradoptingbilateral,multilateralorregionalagreementstoestablishinformationexchangemechanismstothisend.
Exporting,importingandtransit/trans‐shipmentStatesshouldundertakemeasurestopreventdiversionattheirrespectivestagesofatransfer.
5.2 Sharingofinformation
StatesPartiesareencouragedtosharerelevantinformationwithoneanotheroneffectivemeasurestoaddressdiversion.Thisinformationcouldinclude:52
a. Illicitactivities,includingcorruption;
b. Internationaltraffickingroutes;
c. Illicitbrokers;
d. Sourcesofillicitsupply;
e. Methodsofconcealment;
f. Commonpointsofdispatch;
g. Destinationsusedbyorganizedgroupsengagedindiversion;
h. Weaponsmarkingpractices.
5.3 RoleofexportingStatesinpreventingdiversion
TheexportingStateshallseektopreventthediversionofconventionalarmsthroughitsnationalcontrolsystemby:
a. Assessingtheriskofdiversionoftheexport;
b. ConsideringtheestablishmentofmitigationmeasuresorjointlydevelopedoragreedprogrammeswiththeimportingState.
TheexportingStatemayalso,whenappropriate:
a. Examinepartiesinvolvedintheexport;
b. Requireadditionaldocumentation,certificates,assurances;
51 Article 11 (3). 52 Article 11 (5).
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c. Notauthorisetheexport(thisshouldbeusedifitconsidersthatmitigationmeasuresareinsufficient);
d. TakeothermeasuresdeemedappropriatebytheexportingStateParty.
5.4Measurestobetakenifdiversionisdetected
Ifadiversionisdetected,appropriateactionshallbetakenbytheStatePartytoaddresssuchdiversion.
ItisuptoeachStatePartytodeterminewhichmeasurestotake,providedthattheyareinaccordancewithinternationallaw.
TheATTprovidessomeexamplesofpossiblemeasures,suchas:53
a. AlertingpotentiallyaffectedStatesParties;
b. Examiningdivertedshipmentsofconventionalarms;
c. Takingfollow‐upmeasuresthroughinvestigationandlawenforcement.
IV.Promotecooperation,transparencyandaccountability
1. Promotecooperation
Theinternationalconventionalarmstradeisahighlyglobalizedactivity.ImplementingtheATTeffectivelyrequirescloseandextensiveinternationalcooperation.StatesPartiesareencouragedtofacilitateinternationalcooperation,toconsultonmattersofmutualinterestandtoshareinformation.54
Suchcooperationcouldtakeplaceintheareasof:
a. Preventinganderadicatingdiversionofconventionalarms,includinginformationonillicitactivitiesandactors;55
b. Investigations,prosecutionsandjudicialproceedingsinrelationtoviolationsofnationalmeasuresestablishedpursuanttotheATT;56
c. Preventingthatthetransferofconventionalarmsbecomesubjecttocorruptpractices;
d. Exchangingexperienceandinformationonlessonslearnt.
53 Article 11 (4). 54 Article 15. 55 Article 15 (4). 56 Article 15 (5).
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2. Promotetransparencyandaccountability
StatesPartiesarerequiredtosubmittwotypesofreportsontheimplementationoftheATTtotheSecretariat.
Inaddition,theyareencouragedtoprovideinformationorreportsonmeasurestakentopreventdiversion.
ThesereportsshallbesubmittedtotheSecretariat,whichisinturnentrustedwithmakingthemavailableandwithdistributingthemtoStatesParties.
Mandatoryreports:
a. InitialreportonmeasuresundertakeninordertoimplementtheATT.ThisreportmustbesubmittedbyaStatePartywithinayearoftheentry‐into‐forceforthisStateParty.57Thisinitialreportshouldcontainanationalcontrollist.
Annualreportfortheprecedingyearonauthorizedoractualexportsandimportsmustbesubmittedby31Mayeveryyear.58
57 Article 13 (1). 58 Article 13 (3).
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Annex:DescriptionsofthesevencategoriesoftheUNRegisterofConventionalArms
Updatedin2013asperrecommendationscontainedinthefinalreportofthe2013GroupofGovernmentalExpertsonthecontinuingoperationandfurtherdevelopmentoftheUNRegisterofConventionalArms(A/68/140),andendorsedbyGeneralAssemblyresolution(A/RES/68/43).
Categoriesofequipmentandtheirdefinitions59
I. Battletanks
Trackedorwheeledself‐propelledarmouredfightingvehicleswithhighcross‐countrymobilityandahigh‐levelofself‐protection,weighingatleast16.5metrictonsunladenweight,withahighmuzzlevelocitydirectfiremaingunofatleast75millimetrescalibre.
II. Armouredcombatvehicles
Tracked,semi‐trackedorwheeledself‐propelledvehicles,witharmouredprotectionandcross‐countrycapability,either:(a)designedandequippedtotransportasquadoffourormoreinfantrymen,or(b)armedwithanintegralororganicweaponofatleast12.5millimetrescalibreoramissilelauncher.
III.Large‐calibreartillerysystems
Guns,howitzers,artillerypieces,combiningthecharacteristicsofagunorahowitzer,mortarsormultiple‐launchrocketsystems,capableofengagingsurfacetargetsbydeliveringprimarilyindirectfire,withacalibreof75millimetresandabove.
IV. Combataircraft
(a)Mannedfixed‐wingorvariable‐geometrywingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedmissiles,unguidedrockets,bombs,guns,cannonsorotherweaponsofdestruction,includingversionsoftheseaircraftwhichperformspecializedelectronicwarfare,suppressionofairdefenceorreconnaissancemissions;
(b)Unmannedfixed‐wingorvariable‐geometrywingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedmissiles,unguidedrockets,bombs,guns,cannonsorotherweaponsofdestruction.
59 Available at www.un-register.org/Background/Index.aspx.
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Theterm“combataircraft”doesnotincludeprimarytraineraircraft,unlessdesigned,equippedormodifiedasdescribedabove.
V. Attackhelicopters
(a)Mannedrotary‐wingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedorunguidedanti‐armour,air‐to‐surface,air‐to‐subsurface,orair‐to‐airweaponsandequippedwithanintegratedfirecontrolandaimingsystemfortheseweapons,includingversionsoftheseaircraftwhichperformspecializedreconnaissanceorelectronicwarfaremissions;
(b)Unmannedrotary‐wingaircraft,designed,equippedormodifiedtoengagetargetsbyemployingguidedorunguidedanti‐armour,air‐to‐surface,air‐to‐subsurface,orair‐to‐airweaponsandequippedwithanintegratedfirecontrolandaimingsystemfortheseweapons.
VI.Warships
Vesselsorsubmarinesarmedandequippedformilitaryusewithastandarddisplacementof500metrictonsorabove,andthosewithastandarddisplacementoflessthan500metrictons,equippedforlaunchingmissileswitharangeofatleast25kilometresortorpedoeswithsimilarrange.
VII.Missilesandmissilelaunchers
(a)Guidedorunguidedrockets,ballisticorcruisemissilescapableofdeliveringawarheadorweaponofdestructiontoarangeofatleast25kilometres,andmeansdesignedormodifiedspecificallyforlaunchingsuchmissilesorrockets,ifnotcoveredbycategoriesIthroughVI.ForthepurposeoftheRegister,thissub‐categoryincludesremotelypilotedvehicleswiththecharacteristicsformissilesasdefinedabovebutdoesnotincludeground‐to‐airmissiles.
(b)Man‐PortableAir‐DefenceSystems(MANPADS).
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