Towards an arms trade treaty: establishing common international standards for the import, export and transfer of conventional arms
(Japan's View)

April 2007

• United Nations General Assembly Resolution A/RES/61/89, "Towards an arms trade treaty: establishing common international standards for the import, export and transfer of conventional arms ("the resolution" mentioned below"), was adopted at the General Assembly December 6, 2006, with support from 153 Member States. Japan, as one of the original sponsor countries, made efforts in its drafting in cooperation with the other 6 original sponsor countries. Japan will cooperate with the United Kingdom, which has led others on this issue, and other States, and keep up the momentum of discussions on ATT. We will also play a positive role in considering contents of an arms trade treaty (ATT).
• Japan has both addressed disarmament issues as a peaceful nation proactively since WW II, and also voluntarily applied to itself strict standards for importing, exporting and transferring conventional weapons. An arms trade treaty (ATT) is congruent with Japan's standpoint.
• The collapse of the Cold War order has triggered numerous civil conflicts, the root causes of which lie in religions, racial, and ethnic contexts, accompanied by the refugee and internally displaced persons issue, anti-personnel landmines, and small arms.
  
  In these circumstances, besides the traditional concept of "state security," the importance of "human security" has increased, and the importance of addressing the spread of conventional weapons has also grown.
• Japan shares the acknowledgement of growing support across all regions to conclude a legally binding instrument to establish common international standards for the import, export and transfer of conventional arms. Japan also recognizes that the absence of common international standards on their import, export and transfer is a contributory factor to conflict, the displacement of people, crime, and terrorism; and, to prevent, combat, and eradicate them, an arms trade treaty needs to exist, and that peace, reconciliation, safety, security, stability, and sustainable development need to be maintained and promoted.
• At the Workshop on Small Arms and Light Weapons: "SALW Issues from the Perspective of the Protection and Empowerment of the Peaceful Community," hosted by the Government of Japan March 12 and 13, 2007, discussions on an arms trade treaty (ATT) took place in the session for transfer control. Workshop participants re-confirmed that, without air-tight controls on arms trade achieved through international cooperation, consisting of humanitarian considerations of States, weapons finally and surely will continue to reach illicit end-users, through a chain of demand and supplies of various transfer-actors. Those weapons then take precious lives of many innocent people. Points discussed at the Workshop and mentioned below are worthwhile being examined when an arms trade treaty is considered;
  • Most weapons of concern transferred to conflict and affected areas are second-hand weapons, often released from stockpiles, or produced by poorly-controlled manufacturers.
  • Most exporters are not manufacturers, and most exporters are importers at the same time.
  • To address illicit export, import and transfer, it is important to take a comprehensive approach, which includes both supply and demand sides.
  • Although all States have the right to retain arms for self-defense and security needs, responsible transfers need to be achieved, and international controls for them are necessary.
  • Once weapons enter communities, they make violence more lethal and conflict more protracted.
  • An arms trade treaty (ATT) does not end arms trade, but will set clear standards and reach agreement on when transfers should not be approved.

I. Ensuring Effectiveness

1. An arms trade treaty (ATT) needs to be effective. For that, it is necessary to fully understand the present status of conventional arms transfers in establishing an ATT. An arms trade treaty, without affecting licit arms trade based on the legitimate right to self-defense of each State, is to systematically stipulate scope, international standards for transfer, and measures ensuring those standards for combating illicit arms trade.
2. To ensure the effectiveness of an arms trade treaty (ATT), it should be concluded by many States, including both exporting States and importing States. Moreover, it should clearly stipulate responsibilities of importing States, such as those following procedures for importing arms, those in controlling arms in their territories, and those in re-exporting them, as well as primary responsibilities of exporting States.
3. To include weapons to be developed in the future into the treaty, and to ensure the effectiveness of the treaty in the future as well, the treaty is to stipulate setting up a committee comprised of concluding States. It is beneficial to regularly review the management, lists and/or definitions of weapons under the scope of the treaty, if or when necessary. Whether or not to establish this committee is to be considered by a group of governmental experts in 2008.

II. Feasibility

1. In considering feasibility of an arms trade treaty (ATT), it is worthwhile referring to the United Nations Register of Conventional Arms, which was established in 1992, and has been enlarging the number of States participating. "If we are to use the statistics of the SIPRI Yearbook 2005, the world total of arms exports in the five years from 2000 to 2004 is estimated to be US$ 84.490 billion, of which the amount of exports by the top thirty nations is US$ 83.628, or about 99% of the total. Of these top thirty nations, twenty-eight are regular participants in the Register. .... Therefore, theoretically, about 97% of world's arms export has been made transparent by the Register." (UNITED NATIONS REGISTER OF CONVENTIONAL ARMS: ITS REVIEW PROCESS AND ACHIEVEMENTS SO FAR: Presentation to the UN Group of Governmental Experts by Mr. Mitsuro Donowaki, Advisor to the Japanese Governmental Expert, February 28 2006)
2. That is, if twenty eight (28) nations regularly participating in the Register and ranked among the top thirty (30) nations in SIPRI's Yearbook 2005 conclude an arms trade treaty, a considerable level of arms trade will be covered by the treaty. There are some differences between the Register and the treaty. The Register is a confidence building measure, and participation in the Register is voluntary, and registration is basically limited to trade volume of large-scale weapons for attack. Those States participating in the Register, however, show interest in the transparency and controls of arms trade, and voluntarily join the Register. That may show the promising feasibility that an effective arms trade treaty (ATT) has a good chance. Know-how of Experts sustaining the Register, which has led it to unprecedented success, is useful as a reference as an arms trade treaty is under consideration.

III. Scope

Scope of "weapons" in an arms trade treaty (ATT) is an important point of discussion, which is closely related to the effectiveness of the treaty.

1. Japan considers that overall conventional weapons, including weapons categorized in the United Nations Register of Conventional Arms and small arms and light weapons, should be included in the scope of an arms trade treaty (ATT).
   
   Furthermore, whether to include the following, related to conventional weapons, should also be considered.
   1. Parts and components exclusively designed for weapons
   2. Facilities exclusively for arms production
   3. Exclusive technologies related to arms production, etc.
2. It is natural for an arms trade treaty (ATT) to include small arms and light weapons, considering "at least 500,000 people die every year as a result of the use of small arms and light weapons." (Report of the Secretary-General to the Security Council on Small Arms, September 2002) If not, it would be difficult to achieve the purpose of the treaty.
3. Whether or not dual-use items are to be included into the scope of the treaty should be carefully considered. Dual-use items occupying an important role in the technology development of modern weapons on one hand are also closely related to the ordinary business transactions on the other, as well as the status of development in manufacturing fundamentals and the technological advancement in importing States.
4. For the scope of an arms trade treaty (ATT), clear definitions or detailed lists of weapons must be produced. If definitions remain merely ambiguous, management difficulties will create obstacles for the industries concerned, and that, in turn will cause a loss of effectiveness of the treaty.
5. Incidentally, due to characteristics of weapons and technological reasons, managements and control measures for weapons could differ according to the type of weapons. Control measures, including scope, could also differ according to import, export and transfer.

IV. Draft Parameters

1. Draft principles for an arms trade treaty (ATT) produced by NGOs have been made through discussions for the last several years, and they make a good starting point for consideration on parameters of the treaty. The following are excerpts from principles, for States to conduct responsible transfers, enumerated in the draft principles.
   
   
   1. All international transfers of arms and ammunition (hereafter referred to as "arms") shall be authorized by a recognized state (......).
   2. States shall not authorize international transfers of arms that violate their expressed obligations under international law. These obligations include: obligations under the Charter of the United Nations - including binding resolutions of the Security Council, etc., any other treaty or decision by which a state is bound, and universally accepted principles of international humanitarian law - including the prohibition on the use of arms that are of a nature to cause superfluous injury or unnecessary suffering, the prohibition on weapons that are incapable of distinguishing between combatants and civilians.
   3. States shall not authorize international transfers of arms where they will be used or are likely to be used for violations of international law, including breaches of the UN Charter and customary law rules relating to the use of force, gross violations of international human rights law, serious violations of international humanitarian law, acts of genocide, or crimes against humanity.
   4. States shall take into account other factors, including the likely use of the arms, before authorizing an arms transfer, including the recipient's record of compliance with commitments and transparency in the field of non-proliferation, arms control, and disarmament.
      States should not authorize the transfer if it is likely to: be used for or to facilitate terrorist attacks; be used for or to facilitate the commission of violent or organized crime; adversely affect regional security or stability; adversely affect sustainable development; involve corrupt practices; contravene other international, regional, or sub-regional commitments or decisions made, or agreements on non-proliferation, arms control, and disarmament to which the exporting, importing, or transit States are party.
   5. States shall submit comprehensive national annual reports on all their international arms and ammunition transfers to an international registry, which shall publish a compiled, comprehensive, international annual report.
   6. States shall establish common standards for specific mechanisms to control: all import and export of arms; arms brokering activities; transfers of arms production capacity; and the transit and trans-shipment of arms.
2. Principles from 1. to 4. above are standards for the authorization of arms transfers. In considering these standards, due attention should be paid to needs based on the inherent right of all States to self-defense. Also, as for these standards, continuous discussions will be beneficial, when necessary, at a committee, etc. comprised of the concluding States mentioned above I. C., even after the treaty comes into force.
3. Principles mentioned in A. 5. and 6. above are those for ensuring the effectiveness of the treaty. As for an international registry, using the United Nations Registry of Conventional Arms could be considered from the viewpoint of efficient use of the UN budget by utilizing an existing system. When considering, whether the purpose of an arms trade treaty (ATT) can be achieved is to be carefully examined, for the Registry is a confidence building measure. Especially, prompt exchange of information may be necessary and important in an arms trade treaty (ATT), and the submission of reports to the Registry happens only once a year. Consideration of setting up a new international registry is also necessary.
4. It might be good to refer to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (the Washington Treaty), for the consideration of verification, and compilation of item lists and transfer controls. In the Washington Treaty, thorough control systems for export, import and re-export, etc. are set up for the protection of endangered species of wild fauna and flora, so are regular committees of concluding parties, which consider concerned issues including item lists and the improvement of the effectiveness of the Treaty, etc.
5. Additionally, consideration for an arms trade treaty should cover the issues of common standards for specific mechanisms to control: arms brokering activities; transfers of arms production capacity; and the transit and trans-shipment of arms. In considering details of an arms trade treaty (ATT), references are to be made to results of fora under the UN Programme of Action process against the illicit trade in small arms and light weapons, including the International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons, and a report of the Group of Governmental Experts against illicit brokering in small arms and light weapons, which will be finalized this year.

V. Conclusions

1. The collective wisdom from Member States is necessary to realize an arms trade treaty (ATT). Japan intends to participate and actively contribute to a group of governmental experts to be established by resolution A/RES/61/89.
2. Both a group of governmental experts, which exists for only one year, and continuous considerations by experts are needed for an arms trade treaty (ATT). Measures countering illicit arms trade networks, which always try to find loopholes in existing systems, need to be continuously developed.
3. An effective arms trade treaty, to which as many States as possible join, should be aimed for. Support for resolution A/RES/61/89 from 153 States indicates the existence of a solid basis for creating an arms trade treaty (ATT).