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2020 | OriginalPaper | Chapter

Africa and the Regulation of Transnational Arms Brokering: Challenges to Implement International Standards

Authors : Brian Wood, Peter Danssaert

Published in: Ethiopian Yearbook of International Law 2019

Publisher: Springer International Publishing

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Abstract

African countries face an ongoing threat from the consequences of unregulated arms brokering but this cannot be solved by remedial action in Africa alone. Cases show that criminal justice and United Nations Security Council responses to mass atrocities and other serious violations of international law can sometimes ensure accountability and expose the complicity of those involved in international trading, brokering and shipping of arms used by the perpetrators. However, every state also has a responsibility in the first place to prevent such complicity by strictly regulating the conduct of those involved in the arms trade and cooperating with other states to do so. It is evident from the examples cited that, to be effective, both reactive and proactive approaches require a considerable investment of resources, political will and international cooperation, especially in relation to arms brokering which can involve an opaque and complex network of transnational arrangements. The newly established Arms Trade Treaty (ATT) obligates its 110 state parties to regulate arms brokering but leaves open the choice of specific means of regulation and how to define the term “brokering.” Specific standards and procedures for cooperation to regulate the brokering of firearms, or small arms and light weapons, have been established by states at regional and multilateral levels, but national legislation and actual law enforcement and cooperation amongst most African states still lag far behind those in most other world regions or are absent, exposing African populations to further risks from unregulated arms brokering.

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Appendix
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Footnotes
1
Kendall and da Silva (2016), and Yihdego (2007).
 
2
Wood and Peleman (1999). This was the first substantial study of international arms brokering.
 
3
The term ‘grey markets’ was applied in the 1990s to the trade in small arms and light weapons to describe situations where the trade is authorised by one state but not by other states whose jurisdiction is involved, especially where there is no applicable national law so that the trade is legally questionable. For discussion of the term, see Zeray Yihdego (2007), pp. 84–87.
 
4
See also the many reports by UN Panels of Experts on UNITA (Angola), Liberia, Sierra Leone and Somalia, the UN Group of Experts on the Democratic Republic of the Congo, and the UN Commission of Inquiry on Rwanda.
 
5
SC (1996a, b, 1997, 1998a), paras 8 & 26; SC (1998b), paras 26 & 28; SC (1998c), paras 26 & 73. Further details of arms supplies to the perpetrators of the Rwanda genocide was summarised in Wood and Peleman (1999), Chapter 3, pp. 29–48.
 
6
For example, see Bulzomi et al. (2014).
 
7
For example, see Cilliers (2018), and Muggah and Sang (2013).
 
8
Special Court for Sierra Leone, The Prosecutor v. Charles Ghankay Taylor, SCSL-03-01-T, Trial Chamber II, SCSL, 18 May 2012, paras. 1610-2045, 6908, 6912.
 
9
Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, Supplementing the United Nations Convention against Transnational Organized Crime (‘Firearms Protocol’). Adopted by Resolution 55/255 of the General Assembly, New York, on 31 May 2001, and now has 147 state parties and 190 signatories. UNTS 2326; in force 3 July 2005.
 
10
Ibid, Article 15, which reads: ‘[Brokers and brokering] 1. With a view to preventing and combating illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, States Parties that have not yet done so shall consider establishing a system for regulating the activities of those who engage in brokering. Such a system could include one or more measures such as: (a) Requiring registration of brokers operating within their territory; (b) Requiring licensing or authorization of brokering; or(c) Requiring disclosure on import and export licences or authorizations, or accompanying documents, of the names and locations of brokers involved in the transaction. 2. States Parties that have established a system of authorization regarding brokering as set forth in paragraph 1 of this article are encouraged to include information on brokers and brokering in their exchanges of information under article 12 of this Protocol and to retain records regarding brokers and brokering in accordance with article 7 of this Protocol.’ [Emphasis added].
 
11
These regional treaties are: Protocol of the Southern African Development Community (SADC) on the control of Firearms, Ammunition and Other Materials (2001), Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in East Africa, the Great Lakes and the Horn of Africa (2002), Convention of the Economic Community of West African States (ECOWAS to Combat and Eradicate the Illicit Trade in Small Arms, Light Weapons, their Ammunition and Other Related Materials (2006); The Central African (Kinshasa) Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components That Can Be Used For Their Manufacture, Repair and Assembly (2010). For a comparison of their provisions on brokering, see Wood (2015).
 
12
United Nations General Assembly Resolutions 62/40 and 62/47 of 5 December 2007.
 
13
United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (‘PoA’). UN Document A/CONF.192/15 of 20 July 2001.
 
14
Parker and Green (2012), pp. 247–251.
 
15
UNODA (2017). Data is from national reports submitted by Member States.
 
16
Arms Trade Treaty (ATT) New York, 27 March 2013, in force 24 December 2014.
 
17
Article 10 (Brokering) of the ATT stipulates that: Each State Party shall take measures, pursuant to its national laws, to regulate brokering taking place under its jurisdiction for conventional arms covered under Article 2(1). Such measures may include requiring brokers to register or obtain written authorisation before engaging in brokering.”
 
18
See Wood (2015) for an interpretation of Article 10 and its relation to other provisions of the ATT.
 
19
The scope of Article 6(2) is the subject of an as yet unpublished research paper presented by the authors to the University of Antwerp Law Faculty in March 2020.
 
20
ATT Secretariat (2020). As of 26 March 2020, out of a total of 105 ATT States Parties, 75 had submitted their initial reports and 62 had made them publicly available.
 
21
The other non-African instruments that address arms brokering are as follows: OAS (Organization of American States) Draft Model Regulation for the Control of the International Movement of Firearms, Their Parts and Components and Ammunition - Broker Regulations. CICAD/doc1271/03, 13 November 2003; Wassenaar Arrangement, Statement of Understanding on Arms Brokerage. Adopted during the Plenary Meeting, Vienna, 11–12 December 2002, European Union (EU) Council Common Position on the Control of Arms Brokering. Brussels: 23 June 2003 (EU document 2003/468/CFSP); Organization for Security and Co-operation in Europe (OSCE). Best Practice Guide on National Control of Brokering Activities. Handbook of Best Practices on Small Arms and Light Weapons. 19 September. 2003, FSC. GAL/63/03/Rev 2; Wassenaar Arrangement, Best Practices for Effective Legislation on Arms Brokering. Adopted during the Plenary Meeting, Vienna, 6–8 December 2016.
 
22
GA (2007), para 8. One of the authors of this article, Brian Wood, was the consultant to the UN Group of Governmental Experts on the illicit brokering of small arms and light weapons. The other author, Peter Danssaert, was a consultant to the UN Group of Experts to investigate violations of the arms embargo on the Democratic Republic of the Congo.
 
23
GA (2007), para 10.
 
24
SADC (2001), Article 1; EAC (2004), Article 1.
 
25
ECOWAS (2006), Article 1.
 
26
ECCAS (2010), Article 2.
 
27
Transparency International (2018).
 
28
United Nations Convention Against Corruption (2003) adopted by the General Assembly on 31 October 2003, UNTS 2349, which entered into force on 14 December 2005 and now has 187 state parties; United Nations Convention Against Transnational Organized Crime, op cit; also the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (1997) which entered into force on 15 February 1999. The Convention is the first and only international anti-corruption instrument focused on the ‘supply side’ of the bribery transaction, and has 44 signatories, available at http://​www.​oecd.​org/​corruption/​oecdantibriberyc​onvention.​htm (accessed 13 April 2020); European Union legislation also addresses corruption, see https://​guides.​ll.​georgetown.​edu/​c.​php?​g=​363494&​p=​2455879 (accessed 13 April 2020).
 
29
GA (2007), para 11.
 
30
Lamb (2009), p. 46; South Africa, National Conventional Arms Control Act 2002 [amended 2008], Article 26.
 
31
U.S. Registration and Licensing of Brokers C.F.R. 22 Part 129 (2020).
 
32
United Nations Charter, Chapter VII, and specifically Article 41.
 
33
Arms embargo was imposed by UNSC Resolution 1572 (2004), 15 November 2004 and renewed up to 2016.
 
34
SC (2012), para 69.
 
35
SC (2006), paras 28–31; SC (2012), paras 30–80.
 
36
Wood (2006).
 
38
Amnesty International Canada (2019), York (2019a), Chase and York (2019), and York (2019b).
 
39
York (2019b).
 
40
Nieberg (2019).
 
41
Corr. fr. Bruxelles (47e ch.), procureur fédéral v. Jacques Monsieur, jugement (n° de greffe 02923), 1 juin 2017, inéd.
 
42
Van Damme (2018).
 
43
U.S. Attorney’s Office (2019b).
 
44
United States District Court, E.D. California, U.S. v. Dolarian, Government’s Brief in Support of Motion to Detain Defendant Ara Garabed Dolarian (Case No. 1:19-MJ-00106-EPG), 20 May 2019.
 
45
Implementing European Union Council Common Position of 7 May 2001 concerning restrictive measures against Liberia (2001/357/CFSP). A United Nations arms embargo against Liberia had been adopted on 7 March 2001 by UN Security Council Resolution 1343 (2001).
 
46
Implementing European Union Council Common Position of 13 June 2002 amending and extending Common Position 2001/357/CFSP concerning restrictive measures against Liberia (2002/457/CFSP). The United Nations arms embargo against Liberia was extended by UN Security Council Resolution 1408 (2002) of 6 May 2002.
 
47
Gerechtshof ’s-Gravenhage (Eerste Aanleg), Kouwenhoven, Uitspraak (ECLI:NL:RBSGR:2006:AX7098), 7 juni 2006.
 
48
Gerechtshof ’s-Gravenhage (Eerste Aanleg), Kouwenhoven, Uitspraak (ECLI:NL:RBSGR:2006:AX7098), 7 juni 2006.
 
49
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
50
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
51
Global Witness (2001).
 
52
Gerechtshof ’s-Gravenhage (Eerste Aanleg), Kouwenhoven, Uitspraak (ECLI:NL:RBSGR:2006:AX7098), 7 juni 2006.
 
53
Gerechtshof ’s-Gravenhage (Hoger Beroep), Kouwenhoven, Uitspraak (ECLI:NL:GHSGR:2008:BC6068), 10 maart 2008.
 
54
Gerechtshof ’s-Gravenhage (Hoger Beroep), Kouwenhoven, Uitspraak (ECLI:NL:GHSGR:2008:BC6068), 10 maart 2008.
 
55
Hoge Raad (Cassatie), Kouwenhoven, Uitspraak (ECLI:NL:HR:2010:BK8132), 20 april 2010.
 
56
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
57
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
58
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
59
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
60
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
61
Gerechtshof ’s-Hertogenbosch, Kouwenhoven, Uitspraak (ECLI:NL:GHSHE:2017:1760), 21 april 2017.
 
62
High Court (Western Cape Division, Cape Town), Augustinus Petrus Maria Kouwenhoven v. The Minister of Police et al., Judgment (Case n° 1477/2018), 19 September 2019.
 
63
High Court (Western Cape Division, Cape Town), Southern African Litigation Centre v. The Minister of Home Affairs et al., Founding Affidavit (Case n° 18052/2019). The SALC argued that “the failure by the [Director-General of the Department of Home Affairs] to exercise his powers under the Immigration Act to cancel [Kouwenhoven’s] section 11(6) visa and deport him, is both a failure to uphold the rule of law and to comply with South Africa’s international obligations. It also sends out the unfortunate message that a perpetrator of international crimes, including war crimes, will find a safe haven in South Africa.”
 
64
Behr (2020).
 
65
Behr (2020).
 
66
Court of Appeal (Criminal Division), Hyde v Queen, Judgement (Case No: 201300289 B2; 201304192 B2), 15 April 2014.
 
67
In UNSC 2370 (2017) and UNSC Res 2482 (2019), the Security Council, citing threats to international security, called on all Member States to strengthen measures to prevent international terrorist and organised crime networks from acquiring weapons, explosives and other related material.
 
68
United States District Court for the Central District of California, U.S. v. Rami Najm Asad-Ghanem, Amended Minutes of Guilty Plea (Case 2:15-cr-00704-SJO), 29 October 2018.
 
69
U.S. Attorney’s Office (2019a).
 
70
SC (2011), Article 9.
 
71
Wood (2015).
 
72
This table is an updated version of a table previously published in Wood (2015), pp. 184–185.
 
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Metadata
Title
Africa and the Regulation of Transnational Arms Brokering: Challenges to Implement International Standards
Authors
Brian Wood
Peter Danssaert
Copyright Year
2020
DOI
https://doi.org/10.1007/978-3-030-55912-0_9