A/HRC/44/29 V. Measures for preventing diversion of arms and unregulated or illicit arms transfers A. Prevention of diversion 31. States parties to the Arms Trade Treaty have taken a considerable step towards preventing diversion of arms.87 Article 11 of the treaty focuses on preventing diversion and sets forth a series of measures towards this end. Article 11 (2) obligates States parties to take measures to prevent diversion of conventional arms by using a national control system and national control list. Although the Treaty does not specify how such systems should be composed, it implies that an effective national control system must require any individual or entity, whether private or public, to seek and receive authorization from the control system prior to a transfer of items contained in the national control list. The system must also enable a State to objectively assess each request under international and national law, and make a principled and consistent decision based on the evidence, 88 including any risk of diversion. 32. Article 11 (2) emphasizes the importance of assessing the risk of diversion prior to authorizing an export by suggesting measures such as examining the parties involved in the export and requiring additional documentation, certifications and assurances. Crucially, it suggests declining authorization for the export as a preventive measure. 33. Article 11 (3) expands on these measures by requiring importing, transit, transshipment and exporting States parties to cooperate and exchange information, pursuant to their national laws, where appropriate and feasible, in order to mitigate the risk of diversion. Article 11 (5) further underscores the importance of information-sharing by encouraging States parties to exchange information on matters such as: illicit activities, including corruption; international trafficking routes; illicit brokers; sources of illicit supply; methods of concealment; common points of dispatch; or destinations used by organized groups engaged in diversion. 34. The list of measures included in article 11 is non-exhaustive. States have agreed on a longer list of possible measures to prevent and address the risk of diversion for each stage in the arms supply chain,89 which includes: (a) Before the transfer: (i) Taking into account the risks of diversion when conducting the export assessments mandated by article 7 of the Treaty (this measure would therefore obligate States parties to deny an export authorization under article 7 (3) if there is an overriding risk of diversion);90 (ii) Refraining from authorizing an export if a significant risk of diversion is detected; (iii) Verifying the adequacy of the recipient’s storage facilities through physical inspections; 87 88 89 90 See the contributions of Brazil, Ireland, Mexico, Sweden and Switzerland. Stuart Casey-Maslen, “Article 5. General implementation”, in Casey-Maslen and others, The Arms Trade Treaty: A Commentary, para. 5.17. See annex D to the draft report to the fourth conference of State parties. Available at www.thearmstradetreaty.org/hyper-images/file/ATT_CSP4_WGETI_Draft_Report_EN1/ ATT_CSP4_WGETI_Draft_Report_EN.pdf. The recommendations in the annex were drawn from a variety of sources, including States parties, civil society and documents in a list of possible reference documents on diversion that had been agreed upon by States parties and authored by the Office on Disarmament Affairs, the European Union, Coordinating Action on Small Arms, the Organization for Security and Cooperation in Europe, the Regional Centre on Small Arms and the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies. UNIDIR concurs with the need for thorough pre-transfer risk assessments as a means for countering diversion of arms. In its submission, it states that an effective pre-transfer risk assessment considers risks at different stages of the life cycle, incorporates red flag risk indicators, relies on credible and reliable information from different sources at the right time, and contributes towards an accountable system of weapons and ammunition management. 11