Managing risks: International Human Rights Law and arms exports control compliance

Abstract

All arms transfers originating from European States are subject to exports controls. This means that these States must always authorize those transactions via an arms exports license. Among other goals, arms exports controls seek to minimize potential violations of human rights law abroad which may occur as a result of those arms transfers. This thesis analyses whether there are variations in compliance with their arms exports controls obligations across three key European exporters: the UK, the Netherlands, and Spain. It does so focusing specifically on how they manage the human rights risks in their arms exports controls processes and seeks to understand which drivers may contribute to explain these differences if they exist. To do so it is necessary to map how human rights risk assessments are imbricated in the arms exports controls regulations of the UK, the Netherlands and Spain. This is done by using comparative legal research. First, the relevant normative frameworks at a supranational level are addressed. Then, the interface between these supranational legal regulations and their domestic counterparts is investigated. After doing so, the interactions between the key stakeholders in the arms exports controls processes and their roles in shaping compliance with arms exports controls is analysed drawing on semi-structured interviews with elite respondents. These elite respondents include civil servants, political decision-makers, compliance/risk officers, industry experts, researchers and civil society specialists. Their interrelations are found to coalesce into what is then conceptualized as an export support network. These networks feature two vulnerabilities that difficult States' adequate compliance with arms exports controls: conflicts of interests and revolving doors. The thesis then identifies key situational drivers that may contribute to shaping States' compliance with their arms exports controls obligations. The first driver is the role that arms exports may have as a foreign policy tool for a given State. The second is the pressure to export under which a given State may be. This is analysed as an influential input which decision-makers consider in the arms exports licensing processes. The role of secrecy/transparency is then discussed as another driver that influences States' behaviour. Lastly, the impact of bribery, all too common in defence procurement, in States' compliance with their arms exports controls obligations is discussed. The thesis then provides some evidence-based policy recommendations by construing an ideal model in regards of the licensing processes, reporting practices and oversight. These are prospective ways which may help to increase States' compliance with their arms exports controls obligations generally, and human rights risks assessments more specifically. While this research represents a novel attempt to approach a complex phenomenon from a truly multidisciplinary lens, the data has clear limitations and further research is needed to address these gaps.

Date of Award	31 Dec 2024
Original language	English
Awarding Institution	The University of Manchester
Supervisor	Judith Aldridge (Supervisor) & Nicholas Lord (Supervisor)