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1 TRADE UPDATE 2017 Out of the ShadowsPaul Holtom and Irene Pavesi A publication of the Small arms Survey , with support from the Department of Foreign Affairs and TRADE of AustraliaAbout the Small arms SurveyThe Small arms Survey is a global centre of excellence whose mandate is to generate impar-tial, evidence-based, and policy-relevant knowledge on all aspects of Small arms and armed violence. It is the principal international source of expertise, information, and analysis on Small arms and armed violence issues, and acts as a resource for governments, policy- makers, researchers, and civil society. It is located in Geneva, Switzerland, at the Graduate Institute of International and Development Survey has an international staff with expertise in security studies, political science, law, economics, development studies, sociology, and criminology, and collaborates with a network of researchers, partner institutions, non-governmental organizations, and govern-ments in more than 50 more information, please visit.

2 Ade UpdateSeptember 2017 Small arms SurveyMaison de la PaixChemin Eug ne-Rigot 2E1202 Geneva Switzerlandt +41 22 908 5777f +41 22 732 2738e UPDATE 2017 Out of the ShadowsOut of the Shadows Paul Holtom and Irene Pavesi TRADE UPDATE 2017A publication of the Small arms Survey , with support from the Department of Foreign Affairs and TRADE of Australia2 TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 3 Published in Switzerland by the Small arms Survey Small arms Survey , Graduate Institute of International and Development Studies, Geneva, 2017 First published in September 2017 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of the Small arms Survey , or as expressly permitted by law, or under terms agreed with the appropriate repro-graphics rights organization.

3 Enquiries concerning reproduction outside the scope of the above should be sent to the Publications Manager, Small arms Survey , at the address arms Survey Graduate Institute of International and Development Studies Maison de la Paix, Chemin Eug ne-Rigot 2E1202 Geneva, SwitzerlandContent edited by Glenn McDonaldCopy-edited by Tania Inowlocki by Stephanie Huitson in Meta by Rick Jones by Daly Design by Gonnet in FranceISBN 978-2-940548-40-8 CreditsHoltom and Pavesi TRADE UPDATE 2017 3 About the authorsPaul Holtom is a senior researcher at the Small arms Survey . His research focuses on efforts to regulate and monitor the international arms TRADE , as well as measures to address arms trafficking and diversion. He was the director of the Stockholm Interna-tional Peace Research Institute s arms Transfers Programme (2009 13) and served as adviser to the 2013 and 2016 United Nations Group of Governmental Experts on the UN Register of conventional arms .

4 Irene Pavesi is a researcher at the Small arms Survey . Her work focuses on transpar-ency issues related to the international arms TRADE , as well as on methods for monitor-ing and measuring lethal violence at the global level. Since 2012, she has coordinated the Small arms TRADE Transparency Barometer and the Small arms Survey Database on Violent TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 5 AcknowledgementsThe authors would like to thank Nic Marsh and Rachel Stohl for providing valuable comments on a draft of this report and Olivia Denonville for her crucial assistance with scoring national reports and validating the 2017 Small arms TRADE Transparency Barometer scores. The authors also extend thanks to Vincent Baumgartner, Torgeir Pande Braathen, Marco Centurione, Kristina Duric, Sven Richters, Juliana Sokolov , Richard Steyne, and V nya Tsutsui for their assistance in translating and scoring national reports.

5 Andrea Berger provided useful materials for the research on North and Pavesi TRADE UPDATE 2017 5 List of boxes, figures, maps, and tables .. 7 List of abbreviations and acronyms .. 10 Introduction .. 11 Key findings 13I. Authorized transfers .. 15 Top and major exporters in 2014 16 Top and major importers in 2014 21 Regional trends in Small arms imports 24 Africa 24 The Americas 28 Asia and the Pacific 30 Europe 34II. Small arms TRADE Transparency .. 39 The 2017 Small arms TRADE Transparency Barometer 40 Small arms transfers in the first ATT annual reports 47 Use of the ATT annual reporting template 48 national definitions of Small arms in ATT annual reports 50Do the first ATT annual reports boost transparency on Small arms transfers?

6 50 Recent developments in reporting to the UN Register 56 Contents6 TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 7 III. Casting light on the least transparent major exporters .. 59 South Africa 62 Iran 63 North Korea 69 Saudi Arabia 71 The UAE 73 Conclusion .. 75 Annexe .. 78 Endnotes .. 85 Bibliography .. 87 Holtom and Pavesi TRADE UPDATE 2017 7 Boxes1 Note to the reader: UN Comtrade data 142 Defining top and major Small arms exporters and importers 163 Africa s five largest Small arms importers, 2001 14, in alphabetical order 274 The Americas five largest Small arms importers, 2001 14, in alphabetical order 305 Asia and the Pacific s five largest Small arms importers, 2001 14, in alphabetical order 336 Europe s five largest Small arms importers, 2001 14, in alphabetical order 367 A brief review of Israel s Transparency Barometer score 41 Figures1 Export values of the top Small arms exporters (USD million), 2013 14 182 Values of global Small arms exports (USD million), by category, 2013 14 193 Import values of the top Small arms importers, 2013 14 224 Global trends of Small arms imports by region, as reported to UN Comtrade (USD million), 2001 14 255 Value of Small arms supplied to Africa, by category, as reported to UN Comtrade (USD million)

7 , 2001 14 256 Value of Small arms supplied to Africa, by subregion, as reported to UN Comtrade (USD million), 2001 14 267 Value of Small arms supplied to the Americas, by category, as reported to UN Comtrade (USD million), 2001 14 28 List of boxes, figures, maps, and tables 8 TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 98 Values of Small arms supplied to the Americas, by subregion, as reported to UN Comtrade (USD million), 2001 14 299 Value of Small arms supplied to Asia and the Pacific, by category, as reported to UN Comtrade (USD million), 2001 14 3110 Value of Small arms supplied to Asia and the Pacific, by subregion, as reported to UN Comtrade (USD million), 2001 14 3211 Value of Small arms supplied to Europe, by category, as reported to UN Comtrade (USD million), 2001 14 3412 Value of Small arms supplied to Europe, by subregion, as reported to UN Comtrade (USD million), 2001 14 3513 Key differences between the ATT reporting template and the UN Register standardized form 4914 Extract from the South African arms export report covering 2014 63 Map1 Small arms TRADE Transparency Barometer 2017 , based on 2014 TRADE 42 Tables1 Tier classification of top and major exporters and importers of Small arms 162 Top and major Small arms exporters, as reported to UN Comtrade data, 2014, with transparency indicators 173 Top and major Small arms importers, as reported to UN Comtrade data, 2014 214 Value of Small arms supplied to Africa, by subregion, as reported to UN Comtrade (USD million), 2001 14 275 Value of Small arms supplied to the Americas, by subregion, as reported to UN Comtrade (USD million), 2001 14 296 Value of Small arms supplied to Asia and the Pacific, by subregion, as reported to UN Comtrade (USD million)

8 , 2001 14 327 Value of Small arms supplied to Europe, by subregion, as reported to UN Comtrade (USD million), 2001 14 358 Small arms TRADE Transparency Barometer 2017 , covering major exporters 459 Reporting on international transfers of Small arms in the first ATT annual reports and in submissions to the UN Register provided prior to or on 31 December 2016 51 Holtom and Pavesi TRADE UPDATE 2017 910 Reporting on Small arms transfers to the UN Register, 2004 15 5711 The least transparent major Small arms exporters based on the Small arms TRADE Transparency Barometer, 2006 17 6012 Value of Small arms exports by the five least transparent major exporters, as reported to UN Comtrade (USD million), 2004 14 6113 Reported seizures of suspected Iranian exports or re-exports of Small arms and ammunition, 2009 16 6514 Reported seizures of suspected North Korean exports or re-exports of Small arms and ammunition, 2009 16 70A1 Major exporters annual authorized Small arms and light weapons exports (of at least USD 10 million), 2014 [online]A2 Major importers annual authorized Small arms and light weapons imports (of at least USD 10 million), 2014 [online]A3 Regional breakdown of countries and territories 78A4 The Small arms TRADE Transparency Barometer 2017 .

9 Scoring guidelines 7910 TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 11 ATGM Anti-tank guided missileATT arms TRADE TreatyCAS Continental Aviation ServicesCSP Conference of States Parties for the arms TRADE TreatyGGE Group of Governmental Experts HS Harmonized SystemJCPOA Joint Comprehensive Plan of ActionMANPADS Man-portable air defence systemNCACC national conventional arms control CommitteeNISAT Norwegian Initiative on Small arms TransfersSEESAC South Eastern and Eastern Europe Clearinghouse for the control of Small arms and Light Weapons UAE United Arab EmiratesUN Comtrade United Nations Commodity TRADE Statistics DatabaseUN Register United Nations Register of conventional ArmsList of abbreviations and acronymsHoltom and Pavesi TRADE UPDATE 2017 11 Introduction The 2017 edition of the TRADE UPDATE seeks to shed further light on the sometimes murky, authorized international TRADE in Small arms , with a focus on recent developments in Small arms TRADE transparency and on the TRADE of the least transparent major exporters.

10 12 TRADE UPDATE September 2017 Holtom and Pavesi TRADE UPDATE 2017 13In August 2016, Egypt intercepted a cargo of around 30,000 PG-7 rocket-propelled grenades and related subcomponents that were hidden under 2,300 tons of iron ore aboard the vessel Jie Shun (UNSC, 2017b, paras. 61 71). The seized cargo originated in North Korea and was estimated to be worth several million US dollars, yet data compiled for the United Nations Commodity TRADE Statistics Database (UN Comtrade) indicates that North Korea rarely exports more than USD 100,000 worth of Small arms in a given year. The 2017 edition of the TRADE UPDATE seeks to shed further light on the sometimes murky, authorized international TRADE in Small arms , with a focus on recent developments in Small arms TRADE transparency and on the TRADE of the least transparent major exporters. The 2017 TRADE UPDATE addresses the following key questions: Which countries were the top and major exporters and importers in 2014?