Arms transfers to the Democratic Republic of the Congo: assessing the system of arms transfer notifications, 2008–10

8/7/2019 Arms transfers to the Democratic Republic of the Congo: assessing the system of arms transfer notifications, 2008

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SUMMARY

w The Democratic Republic of the Congo (DRC) has beensubject to a United Nationsarms embargo since 2003. In2008 the UN Security Councillifted the last remainingrestrictions on armsacquisitions by the CongoleseGovernment, but maintained arequirement that statessupplying arms notify theSanctions Committee on the

DRC prior to delivery. Ensuringthat the Congolese systemworks as intended is of importance for improving thesituation in the DRC but alsohas implications for the use of such systems in other con ictzones.

Supplier states record of conformity with the reportingrequirements has been mixed.While some suppliers have

noti ed the SanctionsCommittee of transfers, othershave been less forthcoming.Even in situations wherenoti cations have beenprovided, information is oftenincomplete or provided late.

To improve levels of noti cation, the SanctionsCommittee needs to clarify itsrules on which state mustreport arms transfers that

involve a number of intermediaries. The UNsGroup of Experts on the DRCcould also draw on practicesused in monitoring other armsembargoes. Presentinginformation on incomplete orabsent noti cations moresystematically could serve tohighlight the challenges inimplementing the noti cationsystem.

ARMS tRAnSfeRS to theDeMo RAti RepUbli ofthe on o: ASSeSSin theSYSteM of ARMS tRAnSfeRnotifi AtionS, 200810m k b ml d p l l m*

October 2010

SipRi backgr u d pa r

I. Introduction

The security situation in the De ocratic Re u ic o the Congo (DRC)re ains in fux. The Unite Nations ar s e argo i ose in 2003 wasinten e to he the Congo ese Govern ent an the UN eace o eration

aintain eace in eastern DRC y restricting the fow o ar s to non-stategrou s. With resi entia an e aye rovincia e ections sche u e or2011 an with Presi ent Jose h Ka i as govern ent ca ing or the UN

orce to eave the country as soon as ossi e, the e ective i e entationo the e argo re ains crucia . 1 In or er to revent a urther eteriora-tion o the security situation, it is i erative that states su ying ar sto the DRC co y with the UNs require ents on ti e y noti cations o u co ing trans ers, avoi irres onsi e trans ers to the DRC an the sur-roun ing region, an wor with the re evant authorities to i rove stoc i e

anage ent an avoi cases o ost-shi ent iversion.Des ite the or a en o the 19982003 Secon Congo ese War, east-

ern areas o the DRCs eci ca y Ituri, Nor -Kivu an Su -Kivuhavere aine ague y i itias an other ar e grou s co eting vio ent y

or infuence, territory an natura resources. 2 The confict has een ue ey a rea y avai a i ity o wea onry articu ar y s a ar s an ight

wea ons (SALW) ro o estic, regiona an internationa sources. Thehu an cost associate with e orts to en this vio ence has een high ue toa uses y the Congo ese nationa security orcesthe Forces ar es e aR u ique ocratique u Congo (FARDC, Ar e Forces o the DRC)

1 International Crisis Group, Congo: a stalled democratic agenda, A rica Briefng no. 73, 8 Apr.2010, ; and Electionsloom as Kabila comes under fre rom all sides, A rica Confdential , vol. 51, no. 10 (14 May 2010), p. 6.

2 On the current state o the con ict in the DRC see International Crisis Group (note 1). On therole o natural resources in the con ict in the DRC see de Koning, R., Demilitarizing mining areasin the Democratic Republic o the Congo: the case o northern Katanga Prov ince, SIPRI Insights onPeace and Security no. 2010/1, Jan. 2010, .

* This Background Paper is part o an ongoing study into weapon trans ers and raw

material ows in the Democratic Republic o the Congo unded by the Swedish Ministryor Foreign A a irs.


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an re risa s y the Forces ocratiques e i ration u Rwan a (FDLR,De ocratic Forces or the Li eration o Rwan a), the Congrs nationa our

a ense u eu e (CNDP, Nationa Congress or the De ence o the Peo e)an other ar e grou s. Accor ing to u ti e re orts, severa hun re

thousan eo e have een is ace as they sought to esca ethe vio ence. 3

In 2008 the UN Security Counci renewe the an on trans-ers o ar s to non-govern enta entities an in i vi ua s

in the DRC. 4 At the sa e ti e, it i te the ast re aining restrictions on ar s acquisitions y the security orces o the Congo ese Govern ent ut aintaine the require ent

that su ier states noti y the UN Sanctions Co ittee on the DRC e oresu ying ar s or training to the FARDC. The Congo ese syste o noti -cation can e seen as a i e groun etween a u ar s e argo an awith rawa o a restrictions on ar s trans ers. It refects an atte t torecognize the sovereign rights o the target country whi e retaining so e

eve o internationa oversight o ar s trans ers. Atte ts to reconci e theseconficting goa s have a so een a e in the i e entation o the ar se argoes on Cte Ivoire an , unti Dece er 2009, Li eria. However, inthese two cases, the Security Counci require that the re evant sanctionsco ittee grant an ex icit exe tion e ore ar s trans ers to govern ent

orces too ace, there y exercising contro an oversight over ar s trans-ers to these states. 5 In the case o the DRC, the on y o igation is that ex ort-

ing states shou in or the Sanctions Co ittee o a ro ose trans er.Ensuring that the Congo ese syste wor s as inten e is o i ortance ori roving the situation in the DRC ut a so has i ications or the use o si i ar syste s in other confict zones.

This Bac groun Pa er ta es stoc o how the syste o noti cation un erthe UN ar s e argo on the DRC has een i e ente since 2008. Sec-tion II o this a er escri es the eve o ent o the UN ar s e argoes onthe DRC since it was i ose in 2003 an high ights so e concerns aroun

ossi e e argo vio ations, articu ar y as they re ate to the FARDC. Sec-tion III resents an assess ent o avai a e o en-source in or ation ontrans ers o SALW an other conventiona wea ons to the FARDC etween2008 an 2010. Section IV conc u es y high ighting the i itations o thecurrent syste , showing that it on y has a chance o wor ing i su ier states

u y su ort the rocess, an su arizes so e s eci c reco en ationsre ate to i roving the trans arency o the noti cation syste .

3 United Nations, Security Council, Final report o the Group o Experts on the DemocraticRepublic o the Congo, annex to S/2009/603, 23 Nov. 2009, para. 16; Human Rights Watch (HRW),You will be Punished: Attacks on Civilians in Eastern Congo (HRW: New York, Dec. 2009); and Some70,000 ee DRCongo unrest: UN, Agence France-Presse, 13 July 2010.

4 UN Security Council Resolution 1807, 31 Mar. 2008.5 UN Security Council Resolution 1572, 15 Nov. 2004, paras 8, 14(c); and UN Security Council

Resolution 1683, 13 June 2006, para 6. In Dec. 2009 the UN Security Counci l li ted the arms embargoon the Liberian Government or a trial period o 1 year but, as in the case o the DRC, required that

the Sanctions Committee on Liberia be notifed in advance o shipments o arms and related mater-ials to the Liberian Government. UN Security Council Resolution 1903, 17 Dec. 2009.

Ensuring that the Congolese systemworks as intended has implications or the use o similar systems in other con ict zones


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II. The arms embargo on the DRC

In Ju y 2003 the UN Security Counci i ose a an atory ar s e argoon a ar e grou s an i itias o erating in eastern DRC. 6 Trans ers tothe UN Organization Mission in the De ocratic Re u ic o the Congo(MONUC) an those arts o the Congo ese ar e an o ice orces inte-grate un er nationa contro were exe t. 7 In March 2004 the SecurityCounci esta ishe the Sanctions Co ittee on the DRC an a Grou o Ex erts to onitor the i e entation o the ar s e argo. 8

Fro the eginning, en orcing the ar se argo on the DRC has een eset with u ti-

e cha enges. As the Grou o Ex erts notein Ju y 2004, the DRCs 9000- - ong orous

or er an unregu ate airs ace are not ro-itious or onitoring et a one en orcingan

ar s e argo. 9 Over the years, various Grouo Ex erts re orts have note the ro e aye yactors in the Great La es region in aci itating trans ers o ar s an i itary equi ent to e -

igerent arties in the DRC (see ta e 1 or recentexa es). In certain cases, the n ings o theGrou o Ex erts a ear to have e certain su -

ier states to ay ore attention to their ar sex orts to the Great La es region an revent

otentia y esta i izing trans ers to the DRCsneigh ours (see ox 1 or recent exa es).

In Octo er 2004 the Security Counci gave MONUC the tas o en orcing the e argo an authorize the use o a necessary eans in carrying outins ections an seizing sus ect wea ons. 10 In A ri 2005 the coverage o the ar s e argo was exten e to inc u e any reci ient in the DRC exce tMONUC. The Congo ese security orces were again con itiona y exe t,as ong as reci ient units ha co ete the rocess o their integration, oro erate un er the co an , res ective y, o the [integrate genera sta ] o the Ar e Forces or o the Nationa Po ice . . . or are in the rocess o theirintegration. 11 Further ore, ar s estine or these units ha to e receiveat sites esignate y the Congo ese Govern ent in coor ination withMONUC, an su ier states ha to rovi e the Sanctions Co ittee witha vance in or ation a out any e iveries. 12 At the sa e ti e, the SecurityCounci urge a states to rohi it unregu ate air tra c in the region. 13

6 UN Security Council Resolution 1493, 28 July 2003, para. 20.7 On 1 July 2010 MONUC was renamed the UN Organization Stabilization Mission in the Demo-

cratic Republic o the Congo (MONUSCO). UN Security Council Resolution 1925, 28 May 2010.8 UN Security Council Resolution 1533, 12 Mar. 2004, paras 8, 9, 10.9 United Nations, Security Council, Report o the Group o Experts on the Democratic Republic

o the Congo, annex to S/2004/551, 15 July 2004, p. 10.10 UN Security Council Resolution 1565, 1 Oct. 2004, paras 4, 6.11 UN Security Council Resolution 1596, 18 Apr. 2005, paras 1, 2.12 UN Security Council Resolution 1596 (note 11), para. 4.13 UN Security Council Resolution 1596 (note 11), paras 1215. See also Gri ths, H., Building air

tra c capacity in A rica: options or improving security and governance, SIPRI Policy Brie , Oct.2009, .

Table 1. Alleged shipments o weapons and ammunition to theFDLR arriving in the Democratic Republic o the Congo by boat

rom Tanzania

Date Description o alleged shipments

June 2008 A consignment o AK-47sJan. 2009 A large delivery o ammunition and 107 mm rocketsApr. 2009 ammunition and 82 mm mortarsMar. 2009 R-4 assault ri es, AK-47s, around 100 rocket-

propelled grenades and boxes o ammunitionNov. 2009 Around 100 boxes o ammunition, 10 machines guns

and several rocket-propelled grenades

FDLR = Forces dmocratiques de libration du Rwanda.

Source : United Nations, Security Council, Final report o the Group o Experts on the Democratic Republic o the Congo, annex to S/2009/603,23 Nov. 2009, paras 69, 80.


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In March 2008 the Security Counci i te a restrictions on ar s acqui-sitions y the Congo ese Govern entinc u ing the nee to coor inate

e ivery sites with MONUC ut retaine the e argo on trans ers tonon-state ar e grou s an i itias. However, the Counci reiterate the

e an that su ier states ha to rovi e a vance in or ation a out anye iveries to the Sanctions Co ittee an s eci e that such noti cations

shou inc u e, where a ro riate, the en -user, the ro ose ate o e iv-ery an the itinerary o shi ents. 14 In Nove er 2009 these easures onar s trans ers to the DRC were exten e unti 30 Nove er 2010. 15

On 6 August 2010, on the reco en ation o the Grou o Ex erts, theSanctions Co ittee a o te gui e ines or the con uct o its wor . 16 Thegui e ines ay out the an ate o the Sanctions Co ittee to exa ine anto ta e a ro riate action on in or ation concerning a ege vio ations o the ar s e argo an

14 UN Security Council Resolution 1807 (note 4), para. 5.15 UN Security Council Resolution 1896, 30 Nov. 2009, para. 1.16 United Nations, Security Council Committee established pursuant to resolution 1533 (2004)

concerning the Democratic Republic o the Congo, Guidelines o the committee or the conduct o its work, 6 Aug. 2010, . The production o the guidelines

ollowed a decision by the UN Security Council to expand the mandate o the Sanctions Commit-tee to speci y the necessary in ormation that Member States should provide in order to ulfl thenotifcation requirement set out in paragraph 5 o resolution 1807 (2008) and to circulate this among

Member States. UN Security Council Resolution 1896 (note 15), para. 4(c). The Sanctions Commit-tee subsequently gave the Group o Experts the task o producing these guidelines.

Box 1. The impact o the arms embargo on the Democratic Republic o the Congo on export decisions regarding arms trans ers to neighbouring statesDuring the 2000s, states bordering the Democratic Republic o the Congo (DRC) were repeatedly accused o channelling weapons to the di erent armed groups and militias operating in the east o the country.

The 2009 Group o Experts report raises concerns regarding the delivery o a large number o light and small calibre weaponsto Burundi during 2008. The weapons arrived on special ights at Bujumbura International Airport and were collected byo cials rom the presidency and other security agencies. According to the report, Burundian security o cials have confrmedsome o these deliveries, which they claim have not been accounted or in o cial stockpiles. a

The report also states that a Burundian delegation had travelled to Malaysia to arrange the purchase o 40 000 Steyr AUGassault ri es and ammunition, o cially or the Burundian police orces. Given that the Burundian police orce numbered nomore than 20 000, the Group o Experts deemed the purchase o weapons to be excessive. b In December 2009 the Malaysianmedia reported that the Malaysian Government had blocked a proposed deal or the export o 30 000 Steyr assault ri es toBurundi worth more than 200 million ringgit ($64 million). c It was explained that one o the reasons or denying the export wasthe risk that the weapons could end up in the DRC or Rwanda.

In other cases, trans ers have been allowed to take place despite warnings contained in reports by the Group o Experts.In Septem ber 2008 Rwanda took delivery o 49 kits o parts and tools or 14.5-mm KPVT machine guns rom Armico Ltd, aBulgarian company. The delivery was allowed to take place despite allegations by the Group o Experts o Rwandan support orthe CNDP. d

a United Nations, Security Council, Final report o the Group o Experts on the Democratic Republic o the Congo, annex to S/2009/603,23 Nov. 2009, paras 8489.

b United Nations (note a), para. 89.c Abas, M., Behave or we will come down hard, Malay Mail , 15 Dec. 2009; and Abas, M., Arms deal shot down: Malaysia escapes UN censure

a ter o cials stop weapons sale to Burundi, Malay Mail , 10 Dec. 2009.d United Nations, Security Council, Final report o the Group o Experts on the Democrat ic Republic o the Congo, annex to S/2008/773, 12 Dec.

2008. For more on this deal see Amnesty International, TransArms and IPIS, Deadly Movements: Transportation Controls in the Arms TradeTreaty (Amnesty International: London, July 2010), pp. 1215.


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to receive notifcations in advance rom States made under paragraph 5 o resolution1807 (2008), to in orm MONUC and the Government o the Democratic Republic o theCongo o every notifcation received, and to consult with the Government o the Demo-cratic Republic o the Congo and/or the noti ying State, i appropriate, to veri y that suchshipments are in con ormity with [the ban on trans ers to non-governmental entities]. 17

The gui e ines a so out ine the in or ation require in the noti cationsto the Sanctions Co ittee on trans ers o ar s, i itary equi entan training to the FARDC. 18 The gui e ines o not ex icit y require theSanctions Co ittee to in or the Grou o Ex erts o each noti cationreceive . However, it a ears ro the re orts that have een u ishe thatthe Grou oes have access to re evant noti cations. 19

The March 2008 ecision to re ove the re aining constraints on acquisi-tions y the FARDC et with criticis since certain FARDC units continueto engage in hu an rights a uses an to rovi e su ort or ar e grou s. 20 Re orts o the Grou o Ex erts covering the erio s e ore an a ter theconstraints were re ove i enti y e e ents within the FARDC as one o the

ain sources o ar s an i itary equi ent or the FDLR an other ar egrou s. Whi e so e o the acquisitions y ar e grou s were the resu t o the ts an seizures, the re orts a so i enti y FARDC o cersan units invo ve in the iversion o ar s an i itaryequi ent to non-govern enta grou s in vio ation o thear s e argo. 21

The co ete ac o stoc i e anage ent y the FARDChas een requent y cite as one o the ain cha enges to

reventing i icit ar s fows in the DRC. 22 The Nove er2009 Grou o Ex erts re ort reco en e that a internationa onorssu orting security sector re or (SSR) in the DRC shou inc u e stoc i e

anage ent as a re-con ition or ro vi ing assistance to [the] FARDC. 23 However, whi e the UN Security Counci reco en e in Dece er 2009that the Congo ese Govern ent ro ote stoc i e security, accounta i ityan anage ent o ar s an a unition as an urgent riority, it e short

17 United Nations (note 16), para. 2(c), (d), (m).18 United Nations (note 16), para. 11.19 In addition, UN Security Council resolutions 1807, 1857 and 1896 demand that all part ies and all

states cooperate ully with the work o the Group o Experts, ensure the sa ety o its members, andprovide unhindered and immediate access to persons, documents and sites that the Group deemsrelevant to the execution o its mandate. UN Security Council Resolution 1807 (note 4), para. 21; UNSecurity Council Resolution 1857, 22 Dec. 2008, para. 14; and UN Security Council Resolution 1896(note 15), para. 13.

20 Worsnip, P., UN ully exempts Congo government rom arms ban, Reuters, 31 Mar. 2008;and Amnesty International, Democratic Republic o Congo: now is not the time to relax the UNarms embargo, Media briefng, 26 Mar. 2008, .

21 United Nations, Security Council, Final report o the Group o Experts on the DemocraticRepublic o the Congo, pursuant to Security Council Resolution 1698 (2006), annex to S/2007/423,18 July 2007, para. 177; United Nations, Security Council, Report o the Group o Experts on theDemocratic Republic o the Congo, annex to S/2008/772, 12 Dec. 2008; and United Nations (note 3),p. 3.

22 E.g. United Nations, Security Council, Final report o the Group o Experts on the DemocraticRepublic o the Congo, annex to S/2008/773, 12 Dec. 2008, para. 138; and United Nations, SecurityCouncil, Interim report o the Group o Experts on the Democratic Republic o the Congo, annex to

S/2009/253, 18 May 2009, para. 71.23 United Nations (note 3), para . 378(13).

The Group o Experts identifes elementswithin the FARDC as one o the mainsources o arms and military equipment

or the FDLR and other armed groups


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o reco en ing this in o con itiona ity in onor assistance. 24 In thesecircu stances, aintaining the syste o noti cation re ains an i ortante e ent o internationa e orts to revent a eterioration o the securitysituation in the DRC. Fu y i e ente , the noti cation syste wou

rovi e a easure o oversight o ar s trans ers to the DRC an assist theGrou o Ex erts in its e orts to trace i ega y he ar s an a unition.

III. Arms trans ers to the DRC and the system o notifcations

In or ation rovi e y states to the Sanctions Co ittee on annetrans ers o ar s an i itary equi ent to the FARDC is not syste atica y

a e avai a e or u ic ana ysis. However, the Grou o Ex erts has ocu-ente severa trans ers to the FARDC that have ta en ace without the

Sanctions Co ittee eing given any or o noti cation. In or er to showhow the noti cation syste wor s in ractice an to high ight ossi e areas

or i rove ent, this section gathers avai a e o en-source in or ationon trans ers o ar s to the FARDC etween 2008 an 2010. It i enti es thecases where states are nown to have su ie noti cations to the SanctionsCo ittee an cases where trans ers have een i enti e y the Grou o Ex erts as having ta en ace without any noti cation or where it is unc earwhether rior noti cation was rovi e to the Sanctions Co ittee.

Trans ers notifed to the Sanctions Committee

The Nove er 2008 Grou o Ex erts re ort ists Be giu , China, France,Swe en an the Unite King o as having rovi e noti cations to theSanctions Co ittee uring 2008. 25 However, this re ort oes not rovi esyste atic in or ation on which states rovi e noti cations regar ing shi ents o ar s an which rovi e noti cations on the rovision o assistance, a vice or training re ate to i itary activities, or what the noti -cations containe . A ve o these states re orte to the UN Register o Conventiona Ar s (UNROCA) on trans ers a e in 2008, ut their re orts

o not ention trans ers or the DRC. 26 However, in their nationa re ortson ar s ex orts, Be giu , France an the UK re orte issuing icences orex orts to the DRC uring 2008. 27 A though there is no equiva ent ist o noti cations a e uring 2009 or 2010, it is nown that China an U rainehave noti e the Sanctions Co ittee o trans ers uring this erio .

China has rovi e at east three noti cations to the Sanctions Co itteesince 2008: two re ating to i itary training rogra es or the FARDC(in June 2008 an August 2009) an one re ating to a e ivery o ar s an

i itary equi ent (in A ri 2009). 28 However, the A ri 2009 noti cationon y state that ar s an a unition wou e e ivere to the DRC ater

24 UN Security Council Resolution 1896 (note 15), para. 9.25 United Nations (note 22), para. 144.26 UN Register o Conventional Arms, .27 Germany and the UK also reported supplying arms and military equipment to UN missions

in the DRC during 2008. Eleventh Annual Report According to Article 8(2) o Council CommonPosition 2008/944/CFSP Defning Common Rules Governing Control o Exports o Military Tech-

nology and Equipment, O cial Journal o the European Union , C265, 6 Nov. 2009, pp. 310, 394.28 United Nations (note 3), paras 25964.


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in the onth or use in Chinas training rogra e or the FARDCit isunc ear whether this e ivery too ace (see e ow).

On 20 January 2010 U raine re orte y in or e the Sanctions Co it-tee o a e ivery o 20 T-72 tan s, 100 orries, 60 anti-aircra t guns, 10 000Ka ashni ov assau t rifes an severa hun re thousan roun s o a uni-tion; these ar s arrive at the Congo ese ort o Mata i on 6 March 2010.Re orts in icate that the ea is worth $80 i ion an that it was agree

o owing an A ri 2009 visit to U raine y the Congo ese oreign inister,A exis Tha we Mwa a. 29 During the visit, Tha we Mwa a statethat the DRC ho es to create a new ar y an or us this irection in coo er-ation is a riority. During a i itary ara e that too ace on 30 June 2010to co e orate the 50th anniversary o the DRCs in e en ence, a nu ero ite s on is ay cou have or e art o this e ivery, such as ZU-23-223- anti-aircra t cannons, ZPU-2 anti-aircra t guns an T-72 tan s.Base on ractice o owing revious U rainian su ies to the FARDC, it is

i e y that U raines ex orts wi e iscusse in the orthco ing Grou o Ex erts re ort an in U raines nationa re ort on ar s ex orts in 2010 anits su ission to UNROCA.

Trans ers not notifed to the Sanctions Committee or wherein ormation submitted was incomplete

Grou o Ex erts re orts have i enti e a nu er o e iveries to theFARDC which the Grou e ieves the Sanctions Co ittee was not noti ea out in a vance or where the in or ation su itte was inco ete. Forso e o these trans ers, the su ier state is nown (e.g. China, North Koreaan Su an), whi e or others the su ier re ains unc ear.

China has not consistent y rovi e rior noti cations to the SanctionsCo ittee, an so e trans ers ay have ta en ace since 2008 without anynoti cation to the Sanctions Co ittee. For exa e, in Se te er 2008,50 tractor truc s an tan -carrying trai ers were e ivere ro China toMata i. The i o a ing gave the consignee as the Congo ese Govern ent,an the cargo escri tion state that the goo s were or ere y the Congo-

ese Ministry o De ence. These ite s were or ere in Nove er 2007 anA ri 2008 via the Be gian co any De i ex; however, accor ing to theBe gian authorities, De i ex ha not een grante a ro ering icence inconnection with the ea . 30 By the en o 2009, no noti cation ha een su -

itte to the Sanctions Co ittee in re ation to the e ivery o the vehic es.As note a ove, in A ri 2009 China noti e the Sanctions Co ittee o aanne e ivery to the DRC, ut it is not nown whether this e ivery tooace. Detai s o the exact arriva ate, the na e o the vesse an the cargo

were not rovi e in the noti cation. 31 Accor ing to the Grou o Ex erts,on 18 May 2009 a Chinese vesse , An Xin Jiang , e ivere 16 containers o a unition an equi ent, weighing near y 200 tonnes, to Mata i. 32 How-

29 Ukraine supplies tanks, weapons to DRC, Agence France-Presse, 17 Mar. 2010; and Samus,M., [Not really a scandal], De ense Express , 18 Mar. 2010, (in Ukrainian).

30 United Nations (note 3), paras 27678.31 United Nations (note 3), para. 259.32 United Nations (note 3), para. 260.


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ever, the Grou was a e neither to con r the exact contents o the shi scargo with the Chinese or Congo ese authorities nor to esta ish whether thetrans er corres on e to the noti cation receive in A ri or i it re resentea secon , a itiona e ivery. 33

Accor ing to the Grou o Ex erts, a shi registere in North Koreaun oa e ore than 3000 tonnes o i itary wea onry or the FARDC atthe Congo ese ort o Bo a in January 2009. The FARDC revente theCongo ese ort authorities ro veri ying the cargo, an the shi s ca tainre use to sign o cia ort ocu entation. 34 In Octo er 2006 the UNSecurity Counci arre North Korea ro ex orting ajor conventionawea ons. 35 Due to the i its o its an ate, the Grou o Ex erts re ort oesnot a ress the question o whether the e ivery vio ates the UN sanctionson North Korea. However, the Pane o Ex erts on North Korea iscusse

33 United Nations (note 3), para. 263.34 United Nations (note 3), paras 25758.35 UN Security Council Resolution 1718, 14 Oct. 2006, para. 8.

Table 2. Unnotifed arms trans ers by air rom Sudan to the Democratic Republic o the Congo identifed by the Groupo Experts

Date Route Air carrier and aircra t

10 Sep. 2007 TripoliKhartoumKisangani Faso Airways Il-76 XT-FCB, leased by Azza Air Transport

13 Sep. 2007 KinshasaKisangani Azza Air Transport I l-76 ST-APS19 Nov. 2007 KhartoumKisangani Azza Air Transport I l-76 ST-APS22 Nov. 2007 KhartoumKisangani Azza Air Transport I l-76 ST-APS23 Nov. 2007 KhartoumKisangani Azza Air Transport Il-76 ST-APS2627 May 2008 KhartoumKisangani Azza Air Transport20 Sep. 2008 KhartoumKisanganiKinshasa FARDC-operated Hewa Bora Boeing-707 9Q-CKR 23 Sep. 2008 KhartoumKisanganiKhartoum FARDC-operated Hewa Bora Boeing-707 9Q-CKR 24 Sep. 2008 KhartoumKisanganiKhartoum FARDC-operated Hewa Bora Boeing-707 9Q-CKR 25 Sep. 2008 KhartoumKisanganiKhartoum FARDC-operated Hewa Bora Boeing-707 9Q-CKR 25 Sep. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q-CRM26 Sep. 2008 KhartoumKisanganiKinshasa FARDC-operated Hewa Bora Boeing-707 9Q-CKR 26 Sep. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q-CRM

27 Sep. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q-CRM27 Oct. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q28 Oct. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q29 Oct. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q30 Oct. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q31 Oct. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q-CRM1 Nov. 2008 KhartoumKisangani FARDC-operated Enterprise World Airlines Boeing 707 9Q-CRM4 Dec. 2008 Khartoum?? FARDC-leased Boeing 7075 Dec. 2008 Khartoum?? FARDC-leased Boeing 70712 Feb. 2009 Khartoum?? FARDC-leased Boeing 70714 Feb. 2009 Khartoum?? FARDC-leased Boeing 707

FARDC = Armed Forces o the Democratic Republic o Congo; ?? = unknown destination.

Sources : United Nations, Security Council, Final report o the Group o Experts on the Democratic Republic o the Congo, annex toS/2008/43, 13 Feb. 2008, paras 6874; and United Nations, Security Council, Final report o the Group o Experts on the DemocraticRepublic o the Congo, annex to S/2009/603, 23 Nov. 2009, paras 26571


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this case in its 2009 report.36 This report also details South A ricas inter-diction o a ship ent o parts or T-54/55 tanks ro North Korea to theDRCs neighbour, the Republic o the Congo, in October 2009.37 At least onereport has raised the possibility that the spare parts were destined or theDRC because the FARDC possess T-54/55 tanks (although the ilitary oRepublic o the Congo also possess such tanks).38

The UN Security Council speci cally requires all states neighbouringIturi, Nord-Kivu and Sud-KivuBurundi, Rwanda, Sudan and Tanzaniato aintain a registry or review by the [Sanctions] Co ittee and the Groupo Experts o all ights ro their territories to the DRC.39 However, noneo these states has sub itted data to the Sanctions Co ittee on such

ights during 2008 and 2009. The Group o Experts hashighlighted speci c concerns over a series o ights roSudan to the DRC in 20082009 where there was evidencethat ar s, a unition and ilitary equip ent were beingtrans erred to the FARDC (see table 2). Not one o these24 ights was noti ed to the Sanctions Co ittee. At rst, Sudan deniedthe clai s and aintained that the ights in question were transportinggeneral ite s, including urniture and ood; it then ignored the Group oExpert s request to provide access to logbooks ro Khartou InternationalAirport. 40

The Group o Experts docu ented the delivery o three Antonov An-12transport aircra t to the DRC in late 2008 and early 2009 or the CongoleseAir Force.41 A ourth An-12 appears to have been delivered in 2010.42 Accord-ing to the Group o Experts, the aircra t have been leased to the DRC byan individual who is reportedly o Ukrainian nationality but who operatesa co pany based in the United Arab E irates (UAE). When the aircra tarrived in the DRC, they had civilian registration nu bers ro Sao To eand Principe. None o the deliveries were noti ed to the Sanctions Co it-tee. 43

The Group o Experts has also raised questions regarding the possibledelivery o Land Rover De ender 110 vehicles without any noti cation to theSanctions Co ittee. The vehicles in question were supplied to the FARDCby a co pany based in Kinshasa that is closely associated with another co -pany in Tanzania, raising suspicions that the goods ay have arrived roTanzania without prior noti cation. 44

36 United Nations, Report to the Security Council from the Panel of Experts established pursuantto Resolution 1874 (2009), Final version, [n.d.], para. 70; this document, which has not been pub-lished by the UN, is available at .

37 Some of the information relating to this case has also been discussed in the media. See Char-bonneau, L., S. Africa says they intercepted N. Korea arms shipment, Reuters, 22 Feb. 2010.

38 Kelley, K. J., North Korea arms to Africa: unusual only because illegal, East African , 8 Mar.2010.

39 UN Security Council Resolution 1596 (note 11), para. 7.40 United Nations, Security Council, Final report of the Group of Experts on the Democratic

Republic of the Congo, annex to S/2008/43, 13 Feb. 2008, para. 73; and United Nations (note 3),para. 271.

41 United Nations (note 3), para. 28793.42 This fourth An-12 aircraft, which is registered to the FARDC, was photographed at Kisangani

airport in May 2010. Russianplanes.net, Photo 27259, 27 May 2010, .

43 United Nations (note 3), para . 287.44 United Nations (note 3), para. 280.

The Group o Experts has highlightedspeci c concerns over a series o fights

rom Sudan to the DRC in 20082009


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IV. Conclusions

Accor ing to i o ats invo ve in its ra ting, the UN Security Councireso ution that i ose the syste o noti cations or trans ers to theFARDC ace the onus on su ier states to con or with the enhancere orting require ents. 45 It was ho e that the easures wou a so in ucethe Congo ese Govern ent to coo erate ore u y with MONUC. Since2008, su ier states recor o con or ity with the re orting require entshas een ixe . Whi e so e su iers have noti e the Sanctions Co -

ittee o trans ers to the FARDC, others have een ess orthco ing. Evenin situations where noti cations have een rovi e , in or ation is o teninco ete or rovi e ate. As the Grou o Ex erts has note , the ai ureo su ier states to noti y the Sanctions Co ittee o u co ing e iveries a es it ore i cu t to i erentiate etween egiti ate an i egiti atetrans ers o i itary su ies an to react in cases o iversion in a ti e y

ashion.46 When the UN Security Counci renewe the noti cation syste in Nove -

er 2009, it stresse that a states have to a i e y the noti cation require-ents an tas e the Sanctions Co ittee with s eci ying the in or ation

that states shou rovi e. 47 The gui e ines rovi e a ist o in or ationto e rovi e , ut o not rovi e c ear gui ance on which state shou

e res onsi e or noti ying the Sanctions Co ittee whenco anies an in ivi ua s ro i erent states are invo vein a e ivery o ar s or i itary equi ent to the FARDC.This can e seen in severa o the cases ocu ente y theGrou o Ex erts. For exa e, in so e cases the Congo eseGovern ent has use rivate co anies to i ort or ease

vehic es an aircra t or the FARDC. In these cases, the Grou o Ex ertshas ca e or greater oversight in the i e entation o the noti cation

roce ure regar ing rovision o i itary assistance y rivate entities anin ivi ua s.48 Another exa e where the ines o re orting res onsi i ityare unc ear is that o the An-12 trans ort aircra t that were registere in SaoTo e an Princi e ut ease to the FARDC y a U rainian nationa asein the UAE. In this case it is unc ear which state is res onsi e or noti ying the Sanctions Co ittee. In co ex cases invo ving the easing o i itaryequi ent, c earer gui ance shou e rovi e on who is res onsi e or

rovi ing noti cations.In a ition to i roving the noti cation syste itse , the Grou o

Ex erts shou a e ore e ort to syste atica y resent the in or ationon noti cations receive . This cou he to etter high ight the cha enges

acing the i e entation o the noti cation syste . Whi e the 2008 an2009 re orts o the Grou o Ex erts resent nu erous exa e o trans ers

or which noti cations were either a sent or inco ete, there has een noatte t to syste atica y rovi e in or ation on the noti cations that have

een rovi e an what they contain. The re orts o the Pane o Ex erts onLi eria resent in or ation on exe tions rovi e to the Sanctions Co -

45 UN Security Council Resolution 1807 (note 4); and Worsnip (note 20).46 United Nations (note 3), para. 254.47 UN Security Council Resolution 1896 (note 15).48 United Nations (note 3), para . 378(19).

Clearer guidance should be providedon who is responsible or providing notifcations


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ittee on Li eria an e iveries o ar s an i itary equi ent to Li eria. 49 The Li erian ar s e argo has a i erent coverage an an ate to thee argo on the DRC an this o e o re orting ay not e irect y a ic-a e. Nonethe ess, there ay e ways in which in or ation on co ete,inco ete or a sent noti cations cou e resente ore syste atica y inthe uture re orts on the DRC.

The ee er un er ying issue acing the i e entation o the noti -cation require ent is the ac o o itica co it ent y oth the DRC anstates that su y ar s. Severa su ier states a ear to

e unwi ing or una e to artici ate in the noti cationrocess an sections o the Congo ese Govern ent regar

the noti cation require ent as an in ringe ent o theDRCs sovereignty. In its Nove er 2009 re ort, the Grouo Ex erts notes that, whi e writing the re ort, it was una e to ho anytechnica eetings with the De ocratic Re u ic o the Congo Ministry o De ence, es ite nu erous atte ts to initiate a constructive ia ogue. 50 On its re ease, the re ort rovo e strong criticis ro China, whichwas na e as ai ing to rovi e co ete an ti e y noti cations to theSanctions Co ittee. 51 The Unite States has a so een na e as ai ing to co y with the noti cation require ents, in re ation to the rovision o

i itary training. 52 As er anent e ers o the Security Counci , the ai -ure o China an the USA to u y co y with the noti cation require entsen s a articu ar y oor essage to other su ier states an un er inese orts to encourage other states to co y.

Des ite the rotests ro the su ier states na e in the Grou o Ex erts re orts, the Grou is stan ing y its n ings with the su ort o the UN Secretariat (in articu ar the De art ent o Po itica A airs). 53 However, or the Grou o Ex erts to e a e to continue its wor to uncoversus ect trans ers in the uture, it wi require high eve s o o itica su ort

ro oth the UN an its e er states.A ong with the i icit cross- or er tra e in ar s, the FARDC re ains a

ey source o ar s or the various ar e grou s that continue to o eratein eastern DRC. Un ess the Congo ese security orces signi cant y i rovethe e ectiveness o their stoc i e anage ent, the extent to which thecurrent ar s e argowhich aces no restrictions on ar s acquisitions ythe FARDCcan aintain eace an sta i ity in the region wi e i ite .However, e ective y onitoring ar s trans ers to the DRC an ensuring the ro er unctioning o the syste o noti cations an the u i e en-tation o su ier states res onsi i ities in this area are essentia to i it-ing the fow o ar s that ue the confict in eastern DRC an re ain orei ortant than ever.

49 United Nations, Security Council, Final report o the Panel o Experts on Liberia submittedpursuant to paragraph 4 (e) o Security Council Resolution 1854 (2008), annex to S/2009/640,11 Dec. 2009, p. 42. See also note 5.

50 United Nations (note 3), para. 256.51 Uganda, identifed as one o the main transit points or illegally extracted gold rom the DRC,

was also strongly critical o the report. United Nations (note 3), paras 12463.52 United Nations (note 3), para. 295.53 The experts win support, A rica Confdential , vol. 50, no. 24 (4 Dec. 2009), p. 5.

The deeper underlying issue is the lack o political commitment by both the DRC andstates that supply arms


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oveRnin boARD

Gran Lennmarker, Chairman(Sweden)

Dr Dewi Fortuna Anwar(Indonesia)

Dr Alexei G. Arbatov (Russia)Ambassador Lakhdar Brahimi

(Algeria)Jayantha Dhanapala

(Sri Lanka)Dr Nabil Elaraby (Egypt)Ambassador Wolfgang

Ischinger (Germany)

Professor Mary Kaldor(United Kingdom)The Director

DiRe toR

Dr Bates Gill (United States)

SIPRI 2010

AboUt the AUthoRS

Mark br m y (United Kingdom) is a Senior Researcher with the SIPRI ArmsTrans ers Programme, where his work ocuses on European arms exports and exportcontrols and South American arms acquisitions. Previously, he was a Policy Analyst orthe British American Security In ormation Council (BASIC). His publications includeAir Transport and Destabilizing Commodity Flows , SIPRI Policy Paper no. 24 (May 2009,co-author). He has contributed to the SIPRI Yearbook since 2004.

Dr pau h m (United Kingdom) is the Director o the SIPRI Arms Trans ersProgramme. Previously, he was a Research Fellow with the University o GlamorganCentre or Border Studies. His recent publications include Transparency in Trans ers o Small Arms and Light Weapons: Reports to the United Nations Register o ConventionalArms, 20032006 , SIPRI Policy Paper no. 22 (July 2008) and Nothing to report: the lost

promise o the UN Register o Conventional Arms, Contemporary Security Policy (April2010). He has contributed to the SIPRI Yearbook since 2007.

p b k d p p

ARMS tRAnSfeRS to theDeMo RAti RepUbli ofthe on o: ASSeSSin theSYSteM of ARMS tRAnSfeRnotifi AtionS, 200810m k b ml d p l l m

ontentS

I. Introduction 1 II. The arms embargo on the DRC 3 III. Arms trans ers to the DRC and the system o notifcations 6

Trans ers notifed to the Sanctions Committee 6Trans ers not notifed to the Sanctions Committee or where in ormation 7submitted was incomplete

IV. Conclusions 10Box 1. The impact o the arms embargo on the Democratic Republic o the Congo 4

on export decisions regarding arms trans ers to neighbouring statesTable 1. Alleged shipments o weapons and ammunition to the FDLR arriv ing in 3

the Democratic Republic o the Congo by boat rom TanzaniaTable 2. Unnotifed arms trans ers by air rom Sudan to the Democratic Republic 8

o the Congo identifed by the Group o Experts

Arms transfers to the Democratic Republic of the Congo: assessing the system of arms transfer notifications, 2008–10

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