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Transfers and
Transparency
by Irene Pavesi
The Small Arms Trade Transparency Barometer
Transfers and
Transparency
by Irene Pavesi
Small Arms Survey, Graduate Institute of International and Development Studies, Geneva, 2016
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Acknowledgements ................................................................................................ 11
Introduction ............................................................................................................. 12
SECTION 2: TRANSFERS
SECTION 3: TRANSPARENCY
The Small Arms Trade Transparency Barometer .............................................. 32
SECTION 4: APPENDICES
Bibliography ............................................................................................................. 49
Endnotes .................................................................................................................. 52
Publications .............................................................................................................. 56
Overview and
Background
The Small Arms Trade Transparency Barometer
About the
Small Arms
Survey
Map 1
Small Arms Trade Transparency Barometer 2016, based on 2013 trade
Russian Federation
Canada
North
Korea
United States Turkey
Cyprus Japan
China
Israel Iran
South
Pakistan Korea
Saudi UAE
Mexico Arabia India Taiwan
Thailand Philippines
Singapore
Peru Brazil
Australia
South
Argentina Africa
Norway Finland
Denmark Sweden
United Kingdom Germany
20.2525.00 Most transparent Netherlands Poland
Belgium Slovakia
15.2520.00 Czech Republic Ukraine
10.2515.00 Switzerland Hungary
France
5.2510.00 Austria Romania
Bulgaria
0.005.00 Least transparent
Spain
Not applicable Serbia
Portugal
Bosnia and
Italy Herzegovina
Top exporter
Croatia
Major exporter
Notes:
1. The 2016 Barometer includes any country that qualified as a major exporter at least once during the
200113 calendar years.
2. This map identifies top and major exporters in 2013. Top exporters are countries that are believed to
have exported at least USD 100 million worth of small arms, light weapons, their parts, accessories, and
ammunition in a calendar year; major exporters had annual exports worth at least USD 10 million.
Transfers
Authorized
Authorized
transfers
TOP EXPORTERS
Table 1
Exporters of small arms based on UN Comtrade, 2013, with transparency indicators
500 United
Tier 1 3 Italy Germany
million States
South Russian
Brazil Austria Turkey
Top Korea Federation
exporters
100499 Czech
Tier 2 13 Israel Belgium Croatia China
million Republic
United
Finland France Canada Mexico
50-99 Kingdom
Tier 3 8
million
Serbia India Sweden
Bosnia and
Herzegovina
Figure 1
Financial values of global small arms exports by category, 201213
USD (million)
Ammunition
Pistols
Parts and
components
Military firearms
Light Weapons
2012 2013
Source: NISAT (n.d.)
TOP IMPORTERS
Table 2
Importers of small arms based on UN Comtrade, 2013
500
Tier 1 1 United States
million
Top
importers United Arab
Canada Germany Saudi Arabia Australia
100499 Emirates
Tier 2 7
million
France Norway
United Russian
Thailand Indonesia Italy
Kingdom Federation
50-99
Tier 3 13 Turkey Belgium Malaysia Mexico Jordan
million
Major Czech
South Korea Egypt Poland Slovakia
importers Republic
Dominican
Republic
GLOBAL TRADE
Transparency
The Small Arms
Trade Transparency
Barometer
MOST TRANSPARENT
Germany
United Kingdom
Netherlands
LEAST TRANSPARENT
Iran
North Korea
Saudi Arabia
United Arab Emirates
MOVING UP
Belgium Portugal
Poland Sweden
ENTERED THE TOP TEN
National
report **/ Access and Comprehen- Licences Licences
Total (25.00 Regional UN UN Timeliness consistency Clarity siveness Deliveries granted refused
max) report*** Comtrade** Register** (1.50 max) (2.00 max) (5.00 max) (6.50 max) (4.00 max) (4.00 max) (2.00 max)
Germany 19.75 X/EU X X 1.50 1.50 4.25 4.00 3.50 3.50 1.50
United
19.75 X/EU X X 1.50 2.00 4.50 5.25 3.50 1.50 1.50
Kingdom
Netherlands 19.25 X/EU X X 1.50 2.00 4.25 5.50 2.50 2.50 1.00
The Small Arms Trade Transparency Barometer
Serbia 19.00 X/SEE X X 1.50 1.50 3.75 4.75 3.50 2.50 1.50
Romania 17.50 X/EU - X 1.50 2.00 3.00 3.50 2.50 3.00 2.00
Belgium1 16.75 X/EU X X 1.50 2.00 3.00 4.25 2.50 2.00 1.50
Portugal 16.75 X/EU X X 1.50 1.50 3.00 3.75 3.00 2.00 2.00
Poland 16.50 X/EU X X 1.50 1.50 3.50 4.00 2.50 1.50 2.00
Sweden 16.00 X/EU X X 1.50 1.50 3.75 4.50 2.50 1.50 0.75
France 15.75 X/EU X - 1.50 1.50 3.75 4.25 3.00 1.50 0.25
Slovakia 15.75 X/EU X X 1.50 1.50 2.50 3.75 3.00 1.50 2.00
Spain 15.25 X/EU X X 1.50 1.50 2.75 3.50 3.00 1.50 1.50
2
United States 15.25 X X X 1.50 1.50 2.75 4.50 3.00 2.00 0.00
Italy 15.00 X/EU X - 1.50 1.50 3.50 4.75 2.50 1.25 0.00
Finland 14.75 X/EU X(12) X 1.50 1.50 3.25 3.25 3.00 2.00 0.25
Croatia 13.00 X/EU/SEE X X 1.50 1.00 2.50 3.50 3.00 1.50 0.00
Czech
12.75 X/EU X X 1.50 1.50 2.50 4.50 3.00 1.50 0.75
Republic
Denmark 12.75 X/EU X X 1.50 1.50 2.00 3.50 2.50 1.50 0.25
Bulgaria 12.50 X/EU - X 1.50 1.50 2.25 2.50 3.00 1.50 0.25
Hungary 12.00 X/EU X X 1.50 1.50 1.50 3.00 2.50 1.50 0.50
South Africa3 11.25 X - X 1.50 1.00 1.50 3.25 4.00 0.00 0.00
South Korea 9.75 - X X 1.50 1.00 1.50 3.25 2.50 0.00 0.00
India 8.25 - X X(12) 1.50 0.50 1.50 2.25 2.50 0.00 0.00
Pakistan 8.25 - X X(12) 1.50 0.50 1.50 2.25 2.50 0.00 0.00
Singapore 6.00 - X X(12) 1.50 0.50 1.00 1.00 2.00 0.00 0.00
Bosnia and
5.75 SEE - X 1.50 0.00 1.00 0.25 1.50 1.50 0.00
Herzegovina
North Korea 0.00 - - - 0.00 0.00 0.00 0.00 0.00 0.00 0.00
Saudi Arabia 0.00 - - - 0.00 0.00 0.00 0.00 0.00 0.00 0.00
43
United Arab
0.00 - - - 0.00 0.00 0.00 0.00 0.00 0.00 0.00
The Small Arms Trade Transparency Barometer
Emirates
Note: The online version of the Transparency Scoring system Country-specific notes
Barometer incorporates corrections that may 1
affect states scores and rankings. For this The scoring system for the 2016 Barometer In addition to the national report issued by
reason, the online versionrather than the is based on seven parameters: timeliness; the Belgian federal government, each Belgian
printed oneshould be considered definitive. access and consistency in reporting; clarity; region (Brussels, Flanders, and Wallonia)
See Small Arms Survey (n.d.). comprehensiveness; and the level of detail reports separately on its arms exports.
44
The Small Arms Trade Transparency Barometer
SECTION 4
Appendices
List of
Abbreviations
CoEU (Council of the European Union). 2015. Sixteenth Annual Report According
to Article 8(2) of Council Common Position 2008/944/CFSP defining Common
rules Governing Control of Exports of Military Technology and Equipment.
2015/C 103/01. 27 March. <http://eur-lex.europa.eu/legal-content/EN/TXT/
PDF/?uri=CELEX:52015XG0327(05)&from=EN>
Holtom, Paul, Irene Pavesi, and Christelle Rigual. 2014. Trade Update: Transfers,
Retransfers, and the ATT. In Small Arms Survey. Small Arms Survey 2014:
Women and Guns. Cambridge: Cambridge University Press, pp. 10843.
NISAT (Norwegian Initiative on small Arms Transfers). n.d. NISAT Database on Small
Arms Transfers: Researchers Database. Oslo: NISAT, Peace Research Institute,
Oslo. Accessed November 2015. <http://nisat.prio.org/Trade-Database/
Researchers-Database/>
Pavesi, Irene and Christelle Rigual. 2013. Trade Update: Authorized Small Arms
Transfers. In Small Arms Survey. Small Arms Survey 2013: Everyday Dangers.
Cambridge: Cambridge University Press, pp. 17985.
SEESAC (South Eastern and Eastern Europe Clearinghouse for the Control of Small
Arms and Light Weapons). 2015. Regional Report on Arms Exports in 2013.
Belgrade: SEESAC. <http://www.seesac.org/dl.php?n=Regional+Report+on+Ar
ms+Exports+in+2013+-EN&f=res/files/publication/945.pdf>
Small Arms Survey. 2016a. Guidelines for Scoring: The Small Arms Trade
Transparency Barometer 2016. <http://www.smallarmssurvey.org/fileadmin/
docs/Weapons_and_Markets/Tools/Transparency_barometer/SAS-
Transparency-Barometer-Guidelines-2016.pdf>
www.smallarmssurvey.org/
transparency-barometer.html
1. The term small arms is used to refer to small arms, light weapons, and
their ammunition (as in the small arms trade) unless the context indicates
otherwise, whereas the terms light weapons and ammunition refer
specifically to those items.
4. The top and major importers of small arms in this region are Iraq, Israel, Jordan,
Kuwait, Lebanon, Oman, Qatar, Saudi Arabia, Turkey, and the United Arab
Emirates. The financial value of imports for all these countriesexcept for Iraq
and Omanincreased between 2012 and 2013.
6. The new cut-off date for annual national reports is 13 months following the
year of trade activities under review (that is, 31 January). An exception is made
for regional reporting mechanisms. For more information, see Small Arms
Survey (2016a).
7. Unlike previous editions, the 2016 Barometer uses only UN Comtrade data
for pure small arms categories to determine if a country reached the USD 10
million threshold in any year since 2001. The exclusion of mixedsmall arms/
non-small armsComtrade categories from the assessment has caused the
number of countries under review to drop from 55 (as in the 2013 and 2014
Barometers) to 49. The countries excluded were Colombia, Egypt, Greece,
Lithuania, Luxembourg, Malawi, and Montenegro.
Most Small Arms Survey publications are available for free download
from our website at:
www.smallarmssurvey.org/publications
www.facebook.com/SmallArmsSurvey
www.twitter.com/SmallArmsSurvey
www.smallarmssurvey.org/podcasts
Small Arms Transfer Control Measures and the Arms Trade Treaty: A Small Arms
Survey Review (200710)
February 2012, ISBN 978-2-9700771-4-5 (compilation of ATT-relevant Small Arms
Survey chapters)
Occasional Papers
1. Re-Armament in Sierra Leone: One Year After the Lome Peace Agreement
by Eric Berman, December 2000 (also available in French)
6. Politics from the Barrel of a Gun: Small Arms Proliferation and Conflict in the
Republic of Georgia
by Spyros Demetriou, November 2002
7. Making Global Public Policy: The Case of Small Arms and Light Weapons
by Edward Laurance and Rachel Stohl, December 2002
10. Beyond the Kalashnikov: Small Arms Production, Exports, and Stockpiles in
the Russian Federation
by Maxim Pyadushkin, with Maria Haug and Anna Matveeva, August 2003
11. In the Shadow of a Cease-fire: The Impacts of Small Arms Availability and
Misuse in Sri Lanka
by Chris Smith, October 2003
13. Small Arms and Light Weapons Production in Eastern, Central, and
Southeast Europe
by Yudit Kiss, October 2004, ISBN 2-8288-0057-1
14. Securing Haitis Transition: Reviewing Human Insecurity and the Prospects
for Disarmament, Demobilization, and Reintegration
by Robert Muggah, October 2005, updated, ISBN 2-8288- 0066-0 (also
available in French)
15. Silencing Guns: Local Perspectives on Small Arms and Armed Violence in
Rural South Pacific Islands Communities
edited by Emile LeBrun and Robert Muggah, June 2005, ISBN 2-8288-0064-4
16. Behind a Veil of Secrecy: Military Small Arms and Light Weapons Production
in Western Europe
by Reinhilde Weidacher, November 2005, ISBN 2-8288-0065-2
19. A Guide to the US Small Arms Market, Industry, and Exports, 19982004
by Tamar Gabelnick, Maria Haug, and Lora Lumpe, September 2006, ISBN
2-8288-0071-7
20. Small Arms, Armed Violence, and Insecurity in Nigeria: The Niger Delta in
Perspective
by Jennifer M. Hazen with Jonas Horner, December 2007, 2-8288-0090-3
24. Arms in and around Mauritania: National and Regional Security Implications
by Stephanie Pezard with Anne-Kathrin Glatz, June 2010, ISBN 978-2-
940415-35-9 (also available in French)
26. Confronting the Don: The Political Economy of Gang Violence in Jamaica
by Glaister Leslie, November 2010, ISBN 978-2-940415-38-0
29. Blue Skies and Dark Clouds: Kazakhstan and Small Arms
by Nicolas Florquin, Dauren Aben, and Takhmina Karimova, May 2012, ISBN
978-2-9700771-5-2 (also available in Kazakh and Russian)
Special Reports
1. Humanitarianism Under Threat: The Humanitarian Impact of Small Arms and
Light Weapons
by Robert Muggah and Eric Berman, commissioned by the Reference Group
on Small Arms of the UN Inter-Agency Standing Committee, July 2001
3. Kosovo and the Gun: A Baseline Assessment of Small Arms and Light
Weapons in Kosovo
by Anna Khakee and Nicolas Florquin, commissioned by the United Nations
Development Programme, June 2003 (also available in Albanian and BCMS)
the UN Programme of
1202 Geneva, Switzerland
icon
organizations (ROs)
II. 25. Development and implementation of III. 6. Assistance for tracing and marking
p +41 22 908 5777
legally binding instruments
Security Assessment in
Introduction II. 26. Production/transfer moratoria and regional III. 6 & 14. Assistance for the destruction/
f +41 22 732 2738
action programmes disposal of surplus, unmarked or inadequately e sas@smallarmssurvey.org
While it was in power the Qaddafi regime tightly regulated the Libyan domestic arms trade, and local black
Handbook
into the hands of non-state armed groups and private sellers. tion of a small arm or a light weapon.
demobilization, and reintegration (DDR)
From a virtually non-existent domestic market, the revolution andto
itsenhance
Languages
The Small Arms Survey largely adopts the
II. 31. Regional measures proposaltransparency
put forward by the 1997 UN Pan-
aftermath paved the way for a large illicit arms trade to emerge. Many of el of Governmental Experts (UNGA, 1997),
A = Arabic C = Chinese D = Dutch
Dispatch
which considers portability a defining
the players in this new market began to use new technologies to hawk
II. 40. Cooperation with civil society
their wares. Online sales via social media platforms are one of the tools
characteristic. E =
The UN Panel lists the following as light
English F = French G = German Eric G. Berman and Kerry Maze
currently being used for this purpose. weapons: heavy machine guns; hand-P = Portuguese R = Russian S = Spanish
III. 3. Provision of assistance, including technical
held under-barrel and mounted grenade
* = Other
This Dispatch examines the trade in light weapons (see Box 1) in the new launchers; portable anti-aircraft guns;
and financial portable anti-tank guns; recoilless rifles;
online marketplace. Building on research undertaken for a forthcoming
X = Official and working languages of the RO
Small Arms Survey Working Paper, the III. 4. Promotion
Dispatch relied on of conflict prevention
a database andof anti-tank
portable launchers the missile
and rocket systems; portable launchers of
developed by Armament Research Services pursuit of negotiated
(ARES) solutions
to examine the on- to conflicts
anti-aircraft X = Language not used by the RO
missile systems (MANPADS);
line arms trade in Libya. The database III.
contains
5, 6.information
Sharing ofabout both
resources and mortars of calibres of less than
and information
100 mm.
groups and individual traders active onon popular socialsmall
the illicit media arms trade To this list, the Survey has added Maps
and com-
single-
munication platforms. Much of this information was exchanged among
III. 6. Assistance
private or hidden groups and was thus inaccessible foratthe
to the public development
large.
rail-launched of = Headquarters; country names in black and purple are
rockets and 120 mm mortars
as long as they can be transported and
Information on 97 trades or sales over legislation
an 18-month period (September UN and non-UN members, respectively.
operated as intended by a light vehicle.
2014March 2016) was used to examine the sellers and the types of light Source: Small Arms Survey (n.d.)
weapons being offered for sale.2
SANA Dispatches April 2016 The Online Trade of Light Weapons in Libya 1
6. La Republique Centrafricaine: Une etude de cas sur les armes legeres et les
conflits
by Eric G. Berman, published with financial support from UNDP, July 2006,
ISBN 2-8288-0073-3
8. Quoi de neuf sur le front congolais ? Evaluation de base sur la circulation des
armes legeres et de petit calibre en Republique du Congo
Par Robert Muggah et Ryan Nichols, publie avec le Programme des Nations
Unies pour le Developpement (PNUD)Republique du Congo, decembre
2007, 2-8288-0089-X
9. Small Arms in Rio de Janeiro: The Guns, the Buyback, and the Victims
by Pablo Dreyfus, Luis Eduardo Guedes, Ben Lessing, Antonio Rangel Bandeira,
Marcelo de Sousa Nascimento, and Patricia Silveira Rivero, a study by the Small
Arms Survey, Viva Rio, and ISER, December 2008, ISBN 2-8288-0102-0
14. Enqute nationale sur les armes legeres et de petit calibre en Cote dIvoire:
les defis du controle des armes et de la lutte contre la violence armee avant
la crise post-electorale
by Savannah de Tessieres, a joint publication of the UNDP, the Commission
Nationale de Lutte contre la Proliferation et la Circulation Illicite des Armes
Legeres et de Petit Calibre, Cote dIvoire, and the Small Arms Survey, April
2012, ISBN 978-2-9700771-7 6
Book Series
Armed and Aimless: Armed Groups, Guns, and Human Security in the ECOWAS
Region
edited by Nicolas Florquin and Eric G. Berman, May 2005, ISBN 2-8288-0063-6
Armes mais desoeuvres: Groupes armes, armes legeres et securite humaine dans
la region de la CEDEAO
edited by Nicolas Florquin and Eric Berman, co-published with GRIP, March 2006,
ISBN 2-87291-023-9
23 Chambering the Next Diversion of Arms and Ammunition Diversion of Arms and
NUMBER 54 SEPTEMBER 2015
23
Chambering the
February 2016
in Peace Operations
Next Round
Round Ammunition in Peace
Observations based on Missions in Sudan and South Sudan
Emergent Small-calibre
T
he deployment of United Nations (UN) Security Baseline Assessment (HSBA) project.
Blue Helmets (comprising police and The Note summarizes findings from the most
Cartridge Technologies military personnel) has reached record recent HSBA study (Berman and Racovita, 2015;
Operations
highs, numbering at least 100,000. More than see Figure 1), and draws on a new Small Arms
one in four Blue Helmets serving in the 16 cur- Survey Diversion Dataset that comprises infor-
rent UN peacekeeping operations is deployed mation from various sources, including UN
Emergent Small-calibre
ACTORS
ARMED
in South Sudan or Sudan. The Small Arms and AU reports, media articles, academic works,
Survey recently reviewed the 11 peace opera- and more than 100 interviews with key inform-
By N.R. Jenzen-Jones
Chambering the Next Round
tions1 undertaken in these two countries from ants. It seeks to help peace operations to be
2002 to 2014. It focused on those authorized more effective by examining the little-studied
by the African Union (AU) and the UN. As in issue of the diversion of their weapons and
Research Notes
other similar undertakings, peacekeepers in ammunition (see Berman and Racovita, 2013).
Working Paper
and scope of arms and ammunition diverted address such losses.
from peacekeepers in missions in Sudan and
South Sudan. It is based on research the Small
Arms Survey has undertaken over the past ten Diversion of materiel is not
years on arms proliferation and arms holdings
infrequent or negligible
South Sudan
in Sudan and South Sudan as part of its Human
From 2004, when peacekeeping forces with arms
Figure 1 HSBA Working Paper 37 and ammunition were first deployed in Sudan,
through 2014, there were at least 22 notable
July 2015
incidents of diversion (see Map 1). Losses have
37 37
A Working Paper of the Small Arms Surveys occurred during patrols, convoys, and at fixed
Human Security Baseline Assessment
for Sudan and South Sudan sites. This represents an average of one such
event every six months. The study defines
notable as those cases in which peacekeepers
Research Note
Small Arms Survey lose ten or more firearms or 500 or more rounds
of ammunition. These events are divided into
Graduate Institute of International
three categories: Category I (1049 firearms or
and Development Studies 5002,499 rounds of ammunition); Category II
Under Attack and (5099 firearms or 2,5004,999 rounds of ammu-
Maison de la Paix Above Scrutiny?
nition); and Category III (100 or more firearms
Arms and Ammunition Diversion
Chemin Eugne-Rigot 2E from Peacekeepers in Sudan and
or 5,000 or more rounds of ammunition).
South Sudan, 200214 Almost half of the 22 recorded notable inci-
CP 136-1211 Geneva, Switzerland
dents were Category II or III events. One such
By Eric G. Berman and Mihaela Racovita
incident alone resulted in the loss of more than
t +41 22 908 5777 Small Arms Survey
Graduate Institute of International 500,000 rounds of ammunition. Four other inci-
and Development Studies
w www.smallarmssurvey.org A Working Paper of the Small Arms Survey w www.smallarmssurvey.org HSBA HSBA instance, almost certainly involved the loss of
over 100,000 rounds of ammunition. Very little
Primed and Purposeful: Armed Groups and Human Security Efforts in the
Philippines
by Soliman M. Santos, Jr. and Paz Verdades M. Santos, with Octavio A. Dinampo,
Herman Joseph S. Kraft, Artha Kira R. Paredes, and Raymond Jose G. Quilop,
a joint publication of the SouthSouth Network for Non-State Armed Group
Engagement and the Small Arms Survey, April 2010, ISBN 978-2-940415-29-8
Working Papers
1. The Role of Small Arms During the 2003-2004 Conflict in Iraq
by Riyadh Lafta, Les Roberts, Richard Garfield, and Gilbert Burnham,
September 2005 (Web version only)
2. The Use and Perception of Weapons Before and After Conflict: Evidence
from Rwanda
by Cecelle Meijer and Philip Verwimp, October 2005 (Web version only)
6. Trading Life, Trading Death: The Flow of Small Arms from Mozambique to
Malawi
by Gregory Mthembu-Salter, January 2009
10. Surveying Europes Production and Procurement of Small Arms and Light
Weapons Ammunition: The Cases of Italy, France, and the Russian Federation
edited by Benjamin King, July 2010
15. Policing the Periphery: Opportunities and Challenges for Kenya Police
Reserves
by Kennedy Mkutu and Gerald Wandera, March 2013
22. The Value of Hospital Data: Understanding and Preventing Intentional Injury
in Liberia
by Lucie Collinson, Andrew Winnington, and Mary Vriniotis, January 2016
Introduction
There are over 550 million fire-
US courts. These documents reveal,
often in great detail, the modes of
essential to preventing arms traffick-
ing and to dismantling trafficking
A Guide to the UN
Small Arms Process
transport, concealment methods, and networks. In many of the cases
2016 Update
question is: How do we arm the
death stereotype. commercial entities.
other 11? (Lord of War, 2005)
The main findings of this Issue Brief
This Issue Brief begins by provid-
This iconic line from the 2005 film include the following:
ing brief summaries of the data and
Lord of War conveys widely held
Robust arms export licensing methodology applied in this research. Sarah Parker with Marcus Wilson
assumptions about international arms
Issue Brief
regimes are necessary but not It then offers an overview of the types
traffickers: that they are ambitious,
sufficient for stopping small arms of small arms trafficked in the cases
well-connected, globe-trotting entre-
trafficking. Many of the traffickers studied, followed by an examination of
preneurs who single-handedly arm
studied did not apply for arms the modes of transport, concealment
criminals and militias throughout the
export licences or attempt to exploit methods, and smuggling techniques
world. The films fictional protagonist,
licensing exemptions; they simply used by traffickers. The Brief con-
Yuri Orlov, is based on five actual arms
dealers, including Russian businessman bypassed the licensing system cludes with a policy-relevant analysis
Viktor Bout, whose vast global network entirely. At the same time, recent of the implications of these cases. Box 1
of shell companies and unsavoury examples of attempted and success- presents key terms and definitions.
clients earned him the moniker the ful diversion of authorized small
Merchant of Death (Gilchrist, 2005). arms exports highlight the contin-
The composite image of Bout and his ued need for rigorous licensing and Data and methodology
peers has become the archetypal arms post-shipment end-use monitoring. The data used in this study was col-
trafficker, the image that comes to Arms trafficking from the United lected from documentation on 159
mind whenever the illicit arms trade States goes well beyond gun-running criminal cases tried in the United States
is discussed. Yet most arms traffickers to Mexico. Traffickers in the 159 cases from 2010 to 2015.2 The cases were iden-
bear little resemblance to that image. studied shipped weapons, parts, tified through a systematic review of
The merchants of death do indeed ammunition, and accessories to at US government websites that feature
fuel conflicts and stock the arsenals of least 46 countries and foreign ter- information on US arms trafficking
dictators,1 but there is little evidence to ritories on six continents. Intended cases, including summaries of arrests,
suggest that they dominate the illicit recipients of these items range from indictments, and convictions posted
arms trade. Most arms trafficking is Honduran farm workers to a Finnish online by the US Attorneys Offices in
less flashy, less centralized, and even motorcycle gang. 94 federal districts. Additional docu-
more difficult to stop. The following The illicit trade in parts and acces- mentation on these cases is available
Issue Brief analyses this side of the sories for small arms is more through Public Access to Court Elec-
illicit small arms trade, which receives significant than commonly assumed. tronic Records (PACER), an online
far less attention than the multi-ton Networks that traffic in firearms repository of documents from US
shipments arranged by rogue brokers. parts are among the most prolific federal courts. The Surveys database
To this end, the Small Arms Survey and geographically expansive of does not include cases that consist
compiled a database from hundreds the smuggling operations studied. solely of domestic trafficking or those
of pages of documentation on 159 Partnerships between law enforce- in which the trafficked items were not
prosecutions of arms smugglers in ment and the private sector are shipped from or through the United
http://www.smallarmssurvey.org 1
Handbooks
1. Regional Organizations and the UN Programme of Action on Small Arms
(PoA)
by Eric G. Berman and Kerry Maze, June 2016 (first edition, August 2012), ISBN
978-2-9700816-5-4 (also available in French)
Issue Briefs
Issue Brief 1, December 2010
The Method behind the Mark: A Review of Firearm Marking Technologies
Research Notes
Research Note 1, Weapons and Markets, January 2011
Man-Portable Air Defence Systems (MANPADS) (also available in Arabic, BCMS, and
Bulgarian)
Research Note 6, Weapons and Markets, May 2011 (revised June 2014)
Unplanned Explosions at Munitions Sites (also available in Albanian, BCMS,
Bulgarian, French, Macedonian, Portuguese, Romanian, Russian, Slovenian, and
Spanish)
Geneva Declaration
Armed Violence Prevention and Reduction: A Challenge for Achieving the
Millennium Development Goals
by Keith Krause and Robert Muggah, June 2008, published by the Geneva
Declaration Secretariat
Visit the Human Security Baseline Assessment (HSBA) for Sudan and South
Sudan website for a list of HSBA Working Papers and Issue Briefs:
http://www.smallarmssurveysudan.org