December 23, 2016
The Arms Trade Treaty
On December 9, 2016, President Barack Obama transmitted
policy, regulations, or law. According to the President’s
the Arms Trade Treaty (ATT) to the Senate. The United
transmittal message, U.S. “national control systems and
States signed the ATT, which is a multilateral treaty of
practices to regulate the international transfer of
unlimited duration, on September 25, 2013. The treaty’s
conventional arms already meet or exceed” ATT
objectives are to “[e]stablish the highest possible common
requirements.
international standards for regulating or improving the
regulation of the international trade in conventional arms
Scope
...” and to “[p]revent and eradicate the illicit trade in
The ATT regulates trade in conventional weapons between
conventional arms and prevent their diversion.” (Unless
and among countries. It does not affect sales or trade in
otherwise noted, all quotes in this product are taken from
weapons among private citizens within a country. The
the treaty text or the article-by-article analysis submitted by
treaty obligates states-parties engaged in the international
Secretary of State John Kerry to the Senate).
arms trade to establish effective national control systems to
review, authorize, and document the import, export,
Background
brokering, transit, and transshipment of conventional
Although governments and non-governmental advocates
weapons, and ammunition. Such control systems are also to
has discussed concepts similar to the ATT for decades, a
cover weapons “parts and components” when transferred in
2004 speech by the UK Foreign Secretary is widely
a form that provides the capability to assemble a complete
credited with providing critical support for the treaty. In
weapon. The ATT does not cover exports of replacement
December 2006, the UN General Assembly (UNGA)
parts.
requested the UN Secretary-General to form a group of
governmental experts to
The ATT covers the following weapons:
examine ... the feasibility, scope and draft
battle tanks,
parameters for a comprehensive, legally binding
instrument establishing common international
armored combat vehicles,
standards for the import, export and transfer of
conventional arms
large-caliber artillery systems,
and provide a report to the UNGA. Citing the group’s
combat aircraft,
report, the UNGA decided in December 2009 to convene a
conference that would “elaborate a legally binding
attack helicopters,
instrument on the highest possible common international
standards for the transfer of conventional arms.”
warships,
After the first meeting of this conference, which took place
missiles and missile launchers, and
in July 2012, was unable to reach consensus on a treaty
text, the General Assembly decided in December 2012 to
small arms and light weapons.
convene another conference in March 2013. A draft
submitted to the 2012 conference by the conference
States-parties’ definitions of the first seven categories of
president served as the basis for the discussion. On March
weapons must, at a minimum, include items covered by the
28, 2013, the conference president determined that there
descriptions in the UN Register of Conventional Arms. For
was no consensus on a revised treaty text and reported this
the last category, such definitions “shall not cover less than
fact to the UNGA.
the descriptions used in relevant” UN instruments when the
ATT entered into force. These instruments, according to the
An April 2013 UNGA vote approved the treaty in its
United States, are the International Instrument to Enable
negotiated form. Only Iran, North Korea, and Syria voted
States to Identify and Trace, in a Timely and Reliable
against the treaty; notable abstentions included Russia,
Manner, Illicit Small Arms and Light Weapons, and the UN
China, and India. The ATT opened for signature on June 3,
Register of Conventional Arms.
2013, and entered into force on December 24, 2014. As of
November 28, 2016, 130 states had signed the treaty, which
Key Provisions
has 87 states-parties. The United States participated in the
drafting of the ATT and voted for it in the UNGA.
Prohibited Transfers
The ATT prohibits states-parties from approving treaty-
The United States has an extensive system for controlling
covered transfers in cases when the state “has knowledge”
the transfers of defense articles and dual-use items and the
ATT would likely require no significant changes to U.S.
https://crsreports.congress.gov
The Arms Trade Treaty
when reviewing the proposed transfer that the exported
development of implementing legislation, institutional
items would be used in the
capacity-building, and other pertinent areas.
commission of genocide, crimes against humanity,
Reporting Requirement
grave breaches of the Geneva Conventions of 1949,
The ATT also requires that states-parties submit annual
attacks directed against civilian objects or civilians
reports to a treaty-established Secretariat regarding
protected as such, or other war crimes as defined by
authorized or actual exports and imports of treaty-specified
international agreements to which it is a party.
items. States-parties may include the same information in
these reports, which may “exclude commercially sensitive
The treaty also prohibits states-parties from approving
or national security information,” that they would submit
treaty-covered transfers to any country that violates a UN
pursuant to other “relevant United Nations frameworks,”
Security Council Resolution adopted under Chapter VII of
the treaty states. The Secretariat’s role is largely confined to
the UN Charter. In addition, the ATT prohibits transfers
disseminating treaty-related reports and lists of national
which would violate the exporting state’s
points of contact, facilitating and matching offers of
assistance, and organizing Conferences of States Parties.
relevant
international
obligations
under
The second such conference took place in August 2016.
international agreements to which it is a Party, in
particular those relating to the transfer of, or illicit
Cooperation among States-Parties
trafficking in, conventional arms.
The ATT provides for various measures of cooperation
among states-parties. For example, the treaty requires
Regarding arms transfers not prohibited by the above
states-parties to “cooperate with each other...to effectively
criteria, the ATT obligates states-parties to adopt pre-export
review processes which “assess the potential” that the
implement” the ATT, as well as “afford one another the
exported items “would contribute to or undermine peace
widest measure of assistance in investigations, prosecutions
and judicial proceedings in relation to violations of national
and security” or “could be used” to “commit or facilitate”
measures established pursuant” to the treaty. The ATT also
human rights violations, international humanitarian law
provides mechanisms for states-parties to offer and request
violations, or acts of terrorism or transnational crime. The
assistance for such matters as managing weapons
treaty prohibits states-parties from authorizing such exports
stockpiles, developing legislation, and institutional
if, after conducting the aforementioned review and
“considering available mitigating measures,” the
capacity-building. Each state-party “in a position to do so
government “determines that there is an overriding risk of
shall provide such assistance, upon request.”
any” of these consequences. According to the United States,
Amendments
governments would “balance” such risks “against the
An ATT party may propose amendments to the treaty six
potential that the conventional arms or items would
years after entry into force. After that, states-parties may
contribute to peace and security.”
consider amendments every three years. Amendments will
be adopted by a three-quarters majority vote of states-
The ATT also requires the aforementioned pre-export
parties at the next appropriate states-parties’ conference
reviews to “take into account the risk” that exported items
“[i]f all efforts at consensus have been exhausted.” A party
could be “used to commit or facilitate serious acts of
may withdraw from the ATT 90 days after notifying the
gender-based violence or serious acts of violence against
women and children.” But the
depository if its withdrawal.
treaty does not appear to
prohibit the export of weapons in cases where this
U.S. “Understandings”
particular risk is present.
Secretary of State Kerry has recommended that the United
Diversion
States include several “understandings” in its instrument of
ratification stating U.S. interpretations of various treaty
The ATT also requires states-parties to “take measures to
prevent” the diversion of covered arms and ammunition, to
provisions. These understandings include providing the
definition of “diversion” described above, declaring that the
mitigate risks of diversion by cooperating and exchanging
information, and to “take appropriate measures” if the
ATT term "transfer"“ applies exclusively to the
international trade in the conventional arms and items
government detects diversion. The treaty encourages states-
parties to “share relevant information with one another on
covered by the Treaty,” and asserting that the ATT covers
effective measures to address diversion.”
“both ammunition and munitions fired, launched, or
The ATT does not
define "diversion," but, according to the United States, “is
delivered by” the weapons covered by the treaty.
understood to mean the illicit or unlawful rerouting or
redirection of a transfer of conventional arms, contrary to a
Paul K. Kerr, Specialist in Nonproliferation
State Party's own national control laws.” Finally, the ATT
IF10567
encourages cooperation between States Parties in the
https://crsreports.congress.gov
The Arms Trade Treaty
Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan shared staff to
congressional committees and Members of Congress. It operates solely at the behest of and under the direction of Congress.
Information in a CRS Report should not be relied upon for purposes other than public understanding of information that has
been provided by CRS to Members of Congress in connection with CRS’s institutional role. CRS Reports, as a work of the
United States Government, are not subject to copyright protection in the United States. Any CRS Report may be
reproduced and distributed in its entirety without permission from CRS. However, as a CRS Report may include
copyrighted images or material from a third party, you may need to obtain the permission of the copyright holder if you
wish to copy or otherwise use copyrighted material.
https://crsreports.congress.gov | IF10567 · VERSION 2 · NEW