ANNEX
Union support for Activities of the Arms Trade Treaty Secretariat in Support of the Implementation of the Arms Trade Treaty
1. Background
The Arms Trade Treaty (ATT) Secretariat was established under Article 18 of the ATT to assist States Parties in the effective implementation of the Treaty. The ATT Secretariat operates ‘within a minimized structure’, as mandated by Article 18 of Treaty and within a set budget approved by the annual Conference of States Parties (CSP). Accordingly, there is a limit to the capacity the ATT Secretariat has to provide implementation support or assistance beyond the core tasks identified by the Treaty. Nevertheless, through the process of fulfilling its mandate and supporting the ATT process and given its proximity to the Treaty and implementation efforts, the ATT Secretariat is in a unique position to identify areas or gaps where implementation support is needed.
Building on the progress achieved during previous phases of EU support to the ATT Secretariat, this project aims to address three critical and interrelated areas of ATT implementation: the prevention of diversion of conventional arms, the provision of tailored assistance to strengthen national systems, and the enhancement of transparency and information exchange.
Diversion remains a major obstacle to responsible arms trade. Despite the obligations set out in Article 11 of the ATT, many States Parties continue to face significant capacity challenges in preventing, detecting, and responding to diversion. Key obstacles include limited interagency coordination and information sharing between national and international stakeholders, insufficient technical and human resources, and a lack of robust risk assessment and post-delivery verification tools. Moreover, due to its politically and operationally sensitive nature, only a limited number of delegations have been willing to share concrete diversion cases at the ATT Diversion Information Exchange Forum (DIEF). This hesitancy hampers the Forum’s potential to facilitate practical cooperation, build trust among States Parties, and identify concrete measures to close existing loopholes in arms transfer chains. Nevertheless, representatives from regions most affected by diversion have expressed a willingness to share information on diversion with countries in their region. A working paper presented by France and Brazil at the 11th Conference of States Parties (CSP11) emphasized the importance of regional and subregional meetings to enhance understanding of diversion challenges and promote effective measures to prevent, detect, and address it. Therefore, there is an unrealized opportunity that the Secretariat could support.
Simultaneously, the need for tailored assistance to strengthen national systems among several States Parties remains a widespread and persistent challenge. Entries submitted to the ATT Matching Needs and Resources Database reflect requests for support in establishing or updating control lists, but also in related areas such as establishing robust frameworks to regulate arms transfers, and enhancing record-keeping systems. While the Voluntary Trust Fund (VTF) plays a key role in responding to such needs, many States continue to face difficulties in identifying the precise type of support required. In this context, further operationalizing the ATT Matching Database, including by identifying possible assistance providers, matching those with States Parties with assistance needs and facilitating activities resulting from those matches could complement funding mechanisms like the VTF and enhance their impact.
Finally, transparency requires continued attention, not only through the submission of initial and annual reports, but also through the broader exchange of information on matters of mutual interest between States, as well as related discussions within the ATT Working Groups. Building on the achievements of the previous project phase and responding to the recommendations of the Chair of the Working Group on Transparency and Reporting at the CSP11, the Secretariat considers that the enhancement of its IT infrastructure constitutes a significant step forward, as it will optimize report submission, improve accessibility and usability of reporting tools, and strengthen information exchange, thereby advancing the overall transparency objectives of the Treaty.
This concept paper presents priority areas where focused support can substantially enhance Treaty implementation. The ATT Secretariat is uniquely positioned to lead these efforts, but requires additional resources to meet these implementation needs.
2. Overall Objective
To contribute to international and regional peace, security, and stability, and to reduce human suffering, by supporting the effective implementation of the ATT through strengthened regional cooperation, tailored technical assistance, and enhanced transparency and information exchange.
3. Expected Outcomes
a)
Increased national and regional capacities to identify diversion risks, trends, and mitigation practices.
b)
Increased effectiveness of international cooperation to preventing diversion and enforcing transfer controls, through joint initiatives, partnerships and timely information exchange.
c)
Enhanced sharing of operationally-relevant information for countering diversion via the DIEF and other ATT information platforms.
d)
Wider and sustained use of the ATT Matching Needs and Resources Database, leading to concrete matches between States’ identified needs and available resources for ATT implementation.
e)
Enhanced institutional, legal and technical capacity to implement the provisions of the ATT.
f)
Greater visibility of ATT implementation efforts at national and regional levels.
g)
Improved accessibility and usability of reporting tools and resources, leading to more timely, complete and comparable ATT Annual and Initial Reports.
h)
Broader and more substantive exchange of information on matters of mutual interest regarding the implementation of the ATT and related discussions in the ATT Working Groups.
3.1. Intermediate Measurable Outcomes
To measure progress toward the above outcomes, the following intermediate measurable outcomes are expected by the end of the action:
a)
5 regional / sub-regional diversion prevention workshops delivered.
b)
50 national officials trained in diversion prevention and mitigation measures.
c)
Informal guidance notes and briefing materials for use by technical providers and implementing partners developed.
d)
Up to10 requests entered in the ATT Matching Needs and Resources Database matched with assistance providers and resultant activities facilitated.
e)
Up to 5 requests from ATT Matching Needs and Resources Database addressed by the Secretariat.
f)
Increased number of timely and complete submission of ATT Annual and Initial Reports through improved access to and simplified use of reporting tools and resources.
g)
Increased engagement and exchange of information in the ATT platform.
4. Expected Outputs and Activities
4.1. Regional workshops on diversion
Capacity building for national officials aimed at enhancing understanding and building confidence to share information on arms diversion prevention, to foster greater engagement in the Diversion Information Exchange Forum (DIEF), including through the presentation of cases and experiences both at the regional level and in Geneva.
The following activities are proposed:
a)
Organize, hold and facilitate five (5) regional/sub-regional workshops on diversion prevention, serving as confidential platforms for structured dialogue between States.
b)
Develop key insights from regional and sub-regional workshops – including diversion risks, mitigation strategies, and region-specific challenges – to shape and inform broader DIEF discussions, fostering cross-regional learning and thematic continuity.
c)
Support DIEF participants in sharing information voluntarily and anonymously by equipping them with relevant good practices, examples, and lessons learned from regional workshops, thereby encouraging active and confident engagement in DIEF sessions.
4.2. Tailored-assistance to implement the ATT
The ATT Matching Needs and Resources Database was developed under phase I and further refined during phase II, following consultations with key stakeholders. To continue its operationalization, the ATT Secretariat will identify possible assistance providers and facilitate matches, as well was the activities resulting from those. The Secretariat will also build on existing guidance documents to develop relevant materials for assistance providers, and respond itself to assistance requests by delivering short, focused technical engagements. All activities will be closely coordinated with the requesting State, the EU ATT OP and the VTF, resulting in an improved capacity to effectively implement the Treaty’s provisions.
The following activities are proposed:
a)
Facilitation of match opportunities with relevant donors, technical providers, or implementing partners (States, international and regional organisations, civil society, industry) and of up to ten (10) resultant assistance activities, including financial and substantive support.
b)
On the basis of training and guidance materials developed in previous project phases and the ATT Working Groups, preparation of informal guidance notes and briefing materials for use by technical providers and implementing partners responding to assistance requests.
c)
Provide tailored support in response to five (5) requests entered into the ATT Matching Needs and Resources Database about key areas of the Treaty, in particular Articles 5, 6, 7, 8, 9, 10, 12 and 13. The tailored support will consist of time-limited technical advisory support (remote or in-country), focusing on the national needs and challenges, aligned with the Secretariat’s role and capacity.
4.3. Enhanced national reporting and information exchange
Building on achievements from previous project phases, the ATT Secretariat will facilitate the submission of ATT Annual and Initial Reports and strengthen the exchange of information between States Parties, signatory States, and other ATT stakeholders.
The following activities are proposed:
a)
Continue capacity building in national reporting through the refinement and dissemination of existing training materials to help national officials better understand ATT reporting requirements and processes. This will include an e-learning module, as well as user-friendly and interactive resources.
b)
Further enhance the format of the ATT Annual and Initial Reporting Templates to improve clarity, usability, and accessibility.
c)
Enhance the ATT IT infrastructure to support meaningful exchange of information on matters of mutual interest, as well as discussions within ATT Working Groups.
5. Beneficiaries
The project will directly benefit the following actors involved in ATT implementation by strengthening their technical capacity, coordination mechanisms, and access to practical tools:
a)
National authorities, including licensing, customs, and enforcement officials.
b)
Designated national focal points for ATT implementation.
c)
Regional and international organizations engaged in arms control.
d)
States Parties and Signatories seeking assistance.
6. Coordination with other relevant assistance activities
The ATT Secretariat is familiar with other funding mechanisms engaged in supporting ATT implementation-related projects, such as the UN Trust Facility Supporting Cooperation on Arms Regulation (UNSCAR) and the EU ATT Outreach Project. The ATT Secretariat has worked closely with the managers and implementers of both funds – namely BAFA and Expertise France – in an effort to avoid duplication of funding. This cooperation has involved regularly sharing confidential information on applications received and projects approved by the different funds.
With the launch of Phase IV of the EU ATT Outreach Project, the ATT Secretariat will continue to build on and strengthen the well-established relationships with BAFA and Expertise France to ensure complementarity between the ATT Secretariat’s EU-funded project and the evolving work under the EU ATT Outreach Project.
The ATT Secretariat will also continue to seek input from the implementing partners of the EU ATT Outreach Project when identifying government representatives and other individuals to participate in its proposed activities. To further strengthen coordination with the EU ATT Outreach Project, the Secretariat will explore opportunities to align workplans and calendars, including the potential organization of joint events, where appropriate.
In summary, the ATT Secretariat sees significant opportunities for continued dialogue and partnership with the EU ATT Outreach Project, particularly under Phase III, to ensure complementarity and advance their shared objective of effective ATT implementation.
7. Visibility Toolbox
a)
Inclusion of information related to the EU funded project in the ATT Secretariat annual reports to the CSPs.
b)
Provision of updates by the ATT Secretariat on the EU funded project at one ATT informal preparatory meeting in each CSP cycle.
c)
Facilitating the participation of the EU delegation at any event, mission, workshop conducted by the ATT Secretariat either nationally or regionally.
d)
Ensuring that all material produced under the EU funded project clearly indicates that it has been funded by the EU.
e)
Ensuring that at all events, trainings, workshops organized under the project it is clearly stated that these have been funded by the EU.
8. Impact Assessment
A results-based monitoring framework will track outputs and assess the impact of regional workshops and national missions, allowing adaptive management throughout implementation.
9. Reporting
Reporting arrangements for the project will be instituted according to the provisions of the contract between the ATT Secretariat and the European Union.
10. Duration
Duration of the project will be 24 months.
