ATT/CSP10/2024/PRES/782/WG.WP.

IAC
ATT/CSP10/2024/PRES/782/WG.WP.IAC

09 February 2024
Issued by: the CSP10 President

Original: English

Arms Trade Treaty

Tenth Conference of States Parties
Geneva, 19 - 23 August 2024

DRAFT WORKING PAPER PRESENTED BY THE PRESIDENT OF THE TENTH CONFERENCE OF

STATES PARTIES TO THE ARMS TRADE TREATY (ATT)
The Role of Interagency Cooperation in the Effective Implementation of Arms Trade
Treaty Provisions

INTRODUCTION

1. The theme for Romania’s presidency of the Tenth Conference of States Parties to the Arms
Trade Treaty (ATT CSP10) is “The Role of Interagency Cooperation in the Effective Implementation
of Arms Trade Treaty Provisions”. This is a cross-cutting theme for the ATT, which serves as an
important signal for a renewed focus in the ATT community on practical implementation of the treaty
in order to achieve its object and purpose. The theme provides an opportunity to discuss challenges
and identify effective measures that can help to achieve progress in previous presidency themes on
countering diversion, exploring the role of the ATT to advance work on addressing the link between
conventional arms transfers and the risk of serious acts of gender-based violence and serious acts of
violence against women and children, information sharing, post-delivery cooperation, and the role
of industry.

2. This theme is particularly important for Romania given the evolution of the national control
system, in which interagency cooperation has played an important role in effective ATT
implementation and the ability to ensure responsible and transparent international transfers of
conventional arms. Successful national interagency cooperation contributes towards the effective
domestication and implementation of treaty provisions. Therefore, the Romanian presidency of ATT
CSP10 seeks to provide a platform for all key stakeholders to exchange information on challenges,
lessons learned and effective practices on how States Parties implement the ATT. There is “no one
size fits all approach” for ATT universalization and implementation, but via the exchanges enabled
by the presidency theme, it should be possible to identify common themes and key concepts to
support effective treaty implementation and identify new issues for consideration beyond the ATT
CSP10 cycle of meetings.

INTERAGENCY COOPERATION AND EFFECTIVE ATT IMPLEMENTATION

3. Interagency cooperation can be defined as any joint activity between two or more
government ministries, agencies, or departments (hereafter “government entities”) that is
“intended to produce more public value than could be produced when the organizations act alone”.1
The starting point for such cooperation is when key individuals within the agencies recognize for
themselves, or under direction from policy-makers at a higher level, “that they have a common

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concern and/or that they are often working with the same people”.2 When an effective interagency
mechanism is in place that facilitates cooperation between agencies to overcome these challenges,
whether mandated by law or an informal approach, it is possible to utilize some of the benefits of
interagency cooperation to effectively work towards a common goal.

4. Although the ATT text does not explicitly mention inter-agency cooperation, many States
Parties have highlighted in presentations and interventions during Conferences of States Parties
(CSP), as well as in initial reports on implementation of the treaty, that a key element of their national
control system includes interagency cooperation. Documents developed under the Working Group
on Effective Treaty Implementation (WGETI) contain references to inter-agency cooperation.

• The Voluntary Basic Guide to Establishing a National Control System emphasized that Article 5
does not prescribe all of the potential elements of a national control system as “no one-size-fits-
all”, but noted that “inter-agency cooperation and information sharing to undertake informed
assessments of applications to export, import, transit or tranship, or broker conventional arms is
important” – and therefore, interagency cooperation supports the effective implementation of
Articles 6 through to 10.3
• Several voluntary guidance documents to support implementation of Article 11 on countering
diversion have highlighted the benefits of using interagency information sharing mechanisms and
interdepartmental or interagency examinations of requests for the export of conventional arms
as part of a consistent and objective risk assessment.4
• State Parties’ record-keeping practices reveal that “inter-ministry and/or inter-agency
cooperation is necessary to gather all relevant data from national records in order to compile
annual reports on authorised or actual arms exports and imports”.5 Sweden distributed a working
paper at CSP3 that emphasized the benefits of preparing a “national procedures document” to
support effective collaboration between different government entities involved in the reporting
process.6

5. No one size fits all for interagency cooperation to effectively implement the ATT, but
publicly available initial reports on implementation of the ATT and presentations during CSP
meetings indicate that States Parties utilise interagency cooperation in the following situations:

• For the development of national control systems, including the establishment or updating of a
national control list in accordance with Article 5;
• For informing decisions to authorize or reject applications to export, import, transit/tranship or
broker conventional arms in accordance with Articles 6-11;
• For enabling the compilation and submission of initial and annual reports, in accordance with
Article 13;
• For ensuring compliance with national legislation to implement treaty provisions, including
responding to diversion cases, in accordance with Article 14; and
• For outreach and training for those involved in the national control system.

6. The above is an indicative rather than exhaustive list of the different ways in which States
Parties utilize interagency cooperation to effectively implement treaty provisions. There may be
other ways in which States have found interagency cooperation useful and necessary to fulfilling
implementation of the ATT.

7. A brainstorming workshop on 17 January 2024 involving 26 participants from States

Parties, researchers, and civil society, which was co-organized by the Romanian Ministry of Foreign
Affairs and President of ATT CSP10, with the United Nations Institute for Disarmament Research, the
Stimson Center and Conflict Armaments Research, identified a range of challenges for interagency

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cooperation to effectively implement the ATT. For example, States that are at an early stage in the
development of a national control system to implement the treaty request support from the ATT
Secretariat, other States, and civil society to determine which government entities should work
together to implement the treaty and how to ensure cooperation and coordination of efforts most
effectively. There can also be rivalries between different entities seeking to “lead” on elements of
ATT implementation, as well as cases where a critically important government entity for ATT
implementation can act as a block on ratification or accession to the treaty.

8. Therefore, while the benefits of inter-agency cooperation for addressing complex policy
problems are widely recognized, particularly in the national security arena, there are challenges for
interagency cooperation to effectively implement the ATT, including:

• Different mandates, responsibilities, and priorities for government entities that should be
involved in ATT implementation;
• The various government entities involved in ATT implementation have a limited understanding of
each other’s mandates, responsibilities, and priorities;
• Government entities that should be involved in ATT implementation have different levels of
awareness and understanding of the treaty and their responsibilities;
• Differences in power and influence or “ability to set the agenda” between different government
entities;
• Poor or lacking communication channels between the government entities that should be
involved in ATT implementation;
• Differences in available resources and capacity among the various government entities that may
play some role in ATT implementation;
• Differences in the level of officials engaged in interagency cooperation (i.e. some entities might
assign senior staff, while other assign junior representatives);
• Frequent changes in personnel involved in interagency cooperation for ATT implementation,
which leads to a lack of institutional memory or prioritization of ATT obligations;
• Competition and siloing of expertise and resources for entities involved in interagency
cooperation for ATT implementation;
• Different professional background and training of assigned personnel in various entities, with
basic technical knowledge lacking in some entities; and
• Government entities can be involved in interagency coordination and cooperation for ATT
implementation that do not need to be involved, while in other cases relevant government
entities are not actively involved in interagency coordination and cooperation.

9. In addition, even in national control systems with well-established interagency cooperation

and coordination mechanisms, new requirements introduced by the ATT can take time to be
incorporated. This is particularly the case for new obligations for many States Parties, such as those
introduced by Article 7(4) on preventing and mitigating the risk of gender-based violence and
violence against women and children, or where a State Party has had to introduce regulations for
arms brokering.

EXPLORING OPPORTUNITIES FOR THE ATT CSP10 TO SUPPORT STATES SEEKING TO STRENGTHEN
INTERAGENCY COOPERATION FOR EFFECTIVE IMPLEMENTATION OF ATT PROVISIONS

10. The Romanian Presidency of ATT CSP10 seeks to provide a platform for all interested ATT
stakeholders to support States to overcome these challenges and identify and share systemic and
practical measures to enable interagency cooperation to effectively implement the ATT provisions.
Given the cross-cutting nature of the issue of interagency cooperation, it is expected that
participants in all working groups that take place during the ATT CSP10 meeting cycle can share

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information on the role of interagency cooperation.

11. During the ATT CSP10 meeting cycle, the Working Group on Effective Treaty
Implementation (WGETI) sub-working group on exchange of national implementation practices has
already identified “inter-agency cooperation” as a topic for consideration and introduced a series of
questions to be addressed by sub-working group participants in February 2024,7 while the role of
interagency cooperation in implementing Article 7 will also be considered.

12. The Working Group on Transparency and Reporting (WGTR) invites “States Parties that
have complied with their reporting obligations to present their experiences in compiling and
submitting reports, including beneficiaries of projects funded by the Voluntary Trust Fund (or other
international assistance providers) related to improving reporting capacities”.8 For the CSP10
meeting cycle, ATT stakeholders are encouraged to share information on the role of interagency
cooperation in enabling compliance with ATT reporting obligations.9 This can include remarks on
whether the working paper on national-level measures to facilitate compliance with international
reporting obligations and commitments has been useful, as well as interagency cooperation
measures that have proven effective and which are not reflected in this working paper nor the
“questions and answers” voluntary guidance document for reporting on exports and imports of
conventional arms.10

13. The CSP9 co-chairs of the Working Group on Treaty Universalization (WGTU) noted that
“no two states share the same challenges” for finalizing the process to become a State Party and
called for individual, tailored assistance to support the finalization of ratification or accession
processes.11 The WGTU Working Paper for CSP10 asks for participants to share information on which
government ministries, departments, and/or agencies were involved in ratification or accession
processes, as well as inter-agency arrangements relating to preparations to implement the treaty.12

14. Given the challenges noted above, participants are encouraged to share information on:

• The use of formal and informal approaches, institutionalised and ad hoc arrangements, for
interagency cooperation;
• Lessons learned in ensuring clarity on roles and responsibilities in interagency cooperation and
coordination for ATT implementation;
• The role of existing interagency cooperation committees, commissions and frameworks in
ratification and accession processes, as well as implementation of treaty provisions;
• How to ensure the sustainability of interagency cooperation, especially in situations with frequent
staff turnover or changes in government;
• How to build trust and confidence between different government entities involved in ATT
implementation;
• How to ensure information is effectively and efficiently shared between different government
entities involved in ATT implementation; and
• How interagency cooperation mechanisms function during “emergency” and dynamic situations.

15. Given that “no one size fits all”, States that have a well-established national control system,
as well as those in the process of establishing such a system, are encouraged to share information
on challenges and solutions for establishing and maintaining interagency cooperation arrangements
to effectively implement ATT provisions. The Romanian presidency strongly encourages the sharing
of concrete examples of how interagency cooperation has evolved in relation to experience in
implementing the ATT. States that are not frequently involved in risk assessment and decision-
making process for items covered by Articles 2, 3, and 4 of the treaty, or processes to regulate their
import, transit/transhipment and brokering of conventional arms are encouraged to share their

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national approach to interagency cooperation. Participants are also encouraged to share information
on the role of interagency cooperation and engagement with parliament/legislator, industry, and
civil society in ATT implementation, where relevant.

16. To help gather input for the next draft of the presidency working paper, including the
preparation of recommendations for consideration at ATT CSP10, ATT stakeholders are invited to
exchange their national experience and lessons learned via ATT CSP10 meetings and written input
to the ATT Secretariat with regards to the following questions:

1. In your State, did or does interagency cooperation play a role in the ATT ratification or
accession process?
2. What is the role of interagency cooperation in the establishment and/or maintenance of a
national transfer control system to implement the ATT in your State?
3. What role does interagency cooperation play in your national decision-making process for
authorizations for arms transfers?
4. Which challenges related to interagency cooperation in the effective implementation of the
ATT have you encountered?
5. In what way has the ATT helped to overcome interagency cooperation challenges?
6. In your experience, what are the key lessons learned from the role of interagency
cooperation in effective ATT implementation?
7. What approach(es) could the ATT CSP meeting cycle utilize to share interagency cooperation
challenges, lessons learned, and practices for effective ATT implementation?
8. What approach(es) could be taken outside the ATT CSP meeting cycle to share interagency
cooperation challenges, lessons learned, and practices for effective ATT implementation –
e.g. regional meetings?
9. Should ATT CSP10 recommend the elaboration of key principles for the role of interagency
cooperation in the effective implementation of the ATT?
10. Should ATT CSP10 consider updating existing voluntary guidance documents to include
additional guidance on the role of interagency cooperation or create new voluntary guidance
documents on this issue?

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Endnotes

1
US Government Accountability Office, Government Performance Management: Leading Practices to Enhance
Interagency Collaboration and Address Crosscutting Challenges, GAO-23-105520, May 2023, p. 3,
https://www.gao.gov/assets/gao-23-105520.pdf. The report notes that interagency activities are described
interchangeably as cooperation, collaboration, coordination, integration, or networking, with “no commonly
accepted definitions for these terms”.
2
Rob Canton, “Inter-agency Cooperation: How can it best enhance compliance with the law?”, Tokyo: United
Nations Asia and Far East Institute for the Prevention of Crime and the Treatment of Offenders (UNAFEI) Annual
Report for 2015 and Resource Material Series No. 99, September 2016, p. 80,
https://www.unafei.or.jp/publications/pdf/RS_No99/No99_VE_Canton_2.pdf.
3
Voluntary Basic Guide To Establishing A National Control System, Issued by the Working Group on Effective
Treaty Implementation, 26 July 2019, p.11, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_CSP5_WGETI%20Voluntary%20Basic%20Guide%20(Annex%20A%20to%20WGETI%20Report%
20to%20CSP5)(updated%2009.09.2019)(Rev%20WA)/ATT_CSP5_WGETI%20Voluntary%20Basic%20Guide%20(
Annex%20A%20to%20WGETI%20Report%20to%20CSP5)(updated%2009.09.2019)(Rev%20WA).pdf. See also:
Voluntary Guide To Implementing Article 9 Of The Arms Trade Treaty, Issued by the ATT Working Group On
Effective Treaty Implementation, 21 July 2023, p. 9, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_CSP9_WGETI_Voluntary%20Guide%20to%20Implementing%20Article%209%20of%20the%20
ATT_EN/ATT_CSP9_WGETI_Voluntary%20Guide%20to%20Implementing%20Article%209%20of%20the%20ATT
_EN.pdf
4
Possible Measures To Prevent And Address Diversion, Issued by the ATT Working Group On Effective Treaty
Implementation, 20 July 2018, https://www.thearmstradetreaty.org/hyper-images/file/ATT_CSP4-
CSP9_WGETI_Possible%20Measures%20to%20Prevent%20and%20Address%20Diversion%20((incl.%20Annex%
20on%20PSC)_EN/ATT_CSP4-
CSP9_WGETI_Possible%20Measures%20to%20Prevent%20and%20Address%20Diversion%20((incl.%20Annex%
20on%20PSC)_EN.pdf; Voluntary Paper Outlining The Elements Of A Process For Assessing The Risk Of Diversion,
Annex A to WGETI Chair’s Draft Report to the Seventh Conference of States Parties (CSP7)
(ATT/CSP7.WGETI/2021/CHAIR/675/Conf.Rep), endorsed by CSP7 as a living document of a voluntary nature to
be reviewed and updated regularly by the Working Group, https://www.thearmstradetreaty.org/hyper-
images/file/Article%2011%20-
%20Elements%20of%20a%20process%20for%20assessing%20the%20risk%20of%20diversion/Article%2011%2
0-%20Elements%20of%20a%20process%20for%20assessing%20the%20risk%20of%20diversion.pdf.
5
Voluntary Basic Guide To Establishing A National Control System, Issued by the Working Group on Effective
Treaty Implementation, 26 July 2019, pp.16-17, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_CSP5_WGETI%20Voluntary%20Basic%20Guide%20(Annex%20A%20to%20WGETI%20Report%
20to%20CSP5)(updated%2009.09.2019)(Rev%20WA)/ATT_CSP5_WGETI%20Voluntary%20Basic%20Guide%20(
Annex%20A%20to%20WGETI%20Report%20to%20CSP5)(updated%2009.09.2019)(Rev%20WA).pdf
6
Working Paper On National-Level Measures To Facilitate Compliance With International Reporting Obligations
And Commitments, Annex B to the ATT Working Group on Transparency and Reporting Co-chairs’ Draft Report
to CSP3 (ATT/CSP3.WGTR/2017/CHAIR/159/Conf.Rep), https://www.thearmstradetreaty.org/hyper-
images/file/WGTR%20-
%20National%20level%20measures%20(Annex%20B%20to%20WGTR%20Report%20to%20CSP3)%20-
%20EN/WGTR%20-
%20National%20level%20measures%20(Annex%20B%20to%20WGTR%20Report%20to%20CSP3)%20-
%20EN.pdf. See also: The ATT National Point of Contact Guidance Document, n.d., p. 18,
https://www.thearmstradetreaty.org/hyper-
images/file/ATT_Guidance_Document_EN_for_web/ATT_Guidance_Document_EN_for_web.pdf
7
Letter from the Chair of the Working Group on Effective Treaty Implementation, 22 January 2024,
ATT/CSP10.WGETI/2024/CHAIR/775/LetterSubDocs, pp. 2-3.
8
ATT Working Group On Transparency And Reporting Draft Report To CSP9, 21 July 2023,
ATT/CSP9.WGTR/2023/CHAIR/768/Conf.Rep, p. 2, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_CSP9_WGTR_Chair_Draft%20Report%20to%20CSP9_EN/ATT_CSP9_WGTR_Chair_Draft%20R
eport%20to%20CSP9_EN.pdf
9
Working Group on Transparency and Reporting, Introductory Paper for Meeting of 23 February 2024, 22
January 2024, ATT/CSP10.WGTR/2024/CHAIR/779/IntroPaper, p. 12.

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10
Working Paper On National-Level Measures To Facilitate Compliance With International Reporting Obligations
And Commitments; Working Group on Transparency and Reporting, Reporting Authorized or Actual Exports and
Imports of Conventional Arms under the ATT: Questions and Answers, 22 July 2022,
ATT/CSP8.WGTR/2022/CHAIR/734/Conf.Rep, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_WGTR_Co-
Chairs_Draft%20Report%20to%20CSP8_%20Annex%20C_EN%20(website)/ATT_WGTR_Co-
Chairs_Draft%20Report%20to%20CSP8_%20Annex%20C_EN%20(website).pdf
11
“Annex A To WGTU Report To CSP9 Draft Proposal Enhancing The Work Of The ATT Working Group On Treaty
Universalization (WGTU)”, ATT Working Group On Treaty Universalization Co-Chairs’ Draft Report To CSP9, 21
July 2023, ATT/CSP9.WGTU/2023/CHAIR/769/Conf.Rep, p. 4, https://www.thearmstradetreaty.org/hyper-
images/file/ATT_CSP9_WGTU_Co-Chairs_Draft%20Report%20to%20CSP9_EN/ATT_CSP9_WGTU_Co-
Chairs_Draft%20Report%20to%20CSP9_EN.pdf
12
Working Group on Treaty Universalization, Working Paper on Implementing CSP9 Decisions Relating to the
Work of the Working Group on Treaty Universalization, 22 January 2024,
ATT/CSP10.WGTU/2024/CHAIR/777/DrWP, p. 7.

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