Conventional Arms Transfers

This report provides information on U. S. government monitoring and reporting policies regarding small arms and light weapons transfers and the steps the U. S. government is taking at the international level to address the availability of small arms and light weapons. It also reports on lessons identified regarding weapon collection programs. The Department of Defense (DOD) has the principal responsibility for monitoring government to government arms transfers, which the State Department licenses, and commercial arms exports. Monitoring activities include reviewing proposed transfers to foreign recipients and verifying that recipients of U. S. conventional arms received and used these weapons as intended. The Departments must notify Congress of conventional arms transfers if they meet or exceed specific dollar thresholds and must report annually on the aggregate dollar value and quantity of all conventional arms that have already been transferred to recipients. In response to international concerns, the U.S. has taken the lead in (1) creating international standards to prevent illicit small arms transfers; (2) establishing mechanisms to govern small arms transfers, such as strengthening export control procedures; (3) developing diplomatic initiatives with other nations and multilateral organizations; and (4) helping other nations to destroy their excess weapons. Case studies of weapon collection programs have identified lessons that could be applied to future programs' design. These case studies show that programs without a comprehensive approach, realistic goals, and appropriate incentives encounter implementation problems. DOD now lacks guidance on how to apply these lessons to its weapon collection programs.

GAO noted that: (1) the U.S. government has guidance, procedures, and regulations for monitoring and reporting U.S. conventional arms transfers to foreign recipients, including small arms and light weapons; (2) both the Department of State and Department of Defense (DOD) are responsible for monitoring U.S. conventional arms transfers; (3) DOD has the principal responsibility for monitoring government to government arms transfers, while State licenses and monitors commercial arms exports; (4) the Departments' monitoring activities include reviewing proposed transfers to foreign recipients and verifying that recipients of U.S. conventional arms receive and use these weapons as intended; (5) State and DOD must notify Congress prior to conventional arms transfers, if such transfers either meet or exceed specific dollar thresholds, and provide an annual report on the aggregate dollar value and quantity of all conventional arms that have already been transferred to recipients; (6) in response to the international concern about the availability of small arms and light weapons in areas of conflict, the U.S. government has taken the lead in: (a) creating international standards for governments to prevent illicit small arms transfers, including helping to negotiate the first regional agreement designed to prevent and combat illicit firearms trafficking in the Western Hemisphere; (b) establishing mechanisms to govern small arms transfers, such as strengthening export control procedures and complying with arms moratoriums; (c) developing diplomatic initiatives with other nations and multilateral organizations, such as the United Nations and the European Union's "Statement of Common Principles on Small Arms and Light Weapons"; and (d) helping other nations to destroy their excess weapons as the United States did in Liberia; (7) case studies of weapon collection programs conducted in other countries, such as buyback programs, have identified lessons that could be applied by governments or nongovernmental and international groups to future programs' design; and (8) although DOD officials recognize the need to incorporate these factors into their weapon collection program, there is no department guidance concerning how to implement these lessons within Department-managed weapon collection programs.

Recommendations

Our recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.

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