The Scope and Implications of a Tracing Mechanism for Small Arms ...

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CHAPTER 5 SMALL ARMS AND LIGHT WEAPONS TRACEABILITY: A COMPARISON OF THE PRINCIPAL EXISTING INTERNATIONAL MECHANISMS Michel Wéry and Ilhan Berkol 1 5.1 INTRODUCTION It is currently impossible in most cases to trace small arms and light weapons (SALW), including ammunition and explosives. This is why the international community has begun in recent years to develop various mechanisms in an attempt to remedy the situation. These mechanisms are still far from allowing all weapons, ammunition and explosives to be traced effectively, however. For the purposes of this study, the definition of traceability is understood to mean the capacity of the international community to reconstitute the entire route of a weapon, ammunition or explosive, from one owner to another and from the time it was manufactured to its last legal owner. Traceability, therefore, sheds light on the activities of traffickers, thereby allowing them to be pursued more effectively. In order for a weapon, ammunition, or explosive to be traceable, three essential general preconditions are necessary: 1. Marking: the weapon must be marked appropriately so as to identify it in a unique and reliable manner at any time; 2. Registration: the original owner and all successive owners of the weapon (as well as transfers related to changes in ownership or location) must then be systematically recorded in an appropriate 161
162 manner in national (and possibly international) registers, which must also include the weapon’s marking; 3. The tracing operation: in order to find the last legal owner of the weapon 2 and to reconstruct the course followed by the weapon, States must cooperate by exchanging information at their disposal concerning the weapon in question. It should be noted that used alone, the term “tracing” can sometimes designate all three of these operations, or only the last two. In order to avoid confusion, we prefer to use other expressions such as “tracing operation” or “exchange of information required for tracing” to describe the third operation. The purpose of this study is to provide a clear summary of the main mechanisms and initiatives that currently exist with respect to tracing, and to compare them. We begin by presenting and comparing the main existing international and (sub-)regional mechanisms (Section 5.2). They have all been selected for their legally-binding nature or because of the fact that they impose certain obligations on States. It should be noted, however, that some of them have not yet entered into force: 1. Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime) 3 (hereafter referred to as the “Vienna Protocol”); 2. The UN Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects 4 (hereafter referred to as the “UN Programme of Action”); 3. The Convention on the Marking of Plastic Explosives for the Purpose of Detection 5 (hereafter referred to as the “Plastic Explosives Convention”); 4. The European Agreement for the Transport of Dangerous Goods by Road (ADR) and the UN Model Regulations on the Transport of Dangerous Goods 6 (hereafter referred to as the “International regulations on the transport of dangerous goods”); 5. The Convention of the Organization of American States Against Illicit Firearms Trafficking 7 (hereafter referred to as the “OAS Convention”);
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UNIDIR/2002/20 The Scope and Implic
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CONTENTS Page Preface. . . . . . .
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v Chapter 4 Structures and Institut
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viii point of diversion, thus inhib
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ACRONYMS ATFUS BATF BPA CFR CFR CIC
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xiii VIN WFSA WIES WR Vehicle Ident
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2 and lines of supply of illicit SA
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4 First, if a weapon has been invol
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6 The UN Programme of Action includ
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8 1.3 MARKING 1.3.1 Introduction A
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10 uniquely identify each productio
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12 • Ensure, at the time of trans
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14 • increasing the resistance of
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16 The UN Firearms Protocol, in its
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18 component of this project is to
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20 They clarify whether a weapon is
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22 Though such systems have great p
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24 have a more prominent role to pl
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26 That said, national intelligence
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28 training and technical assistanc
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30 This highlights one of the most
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32 An international tracing mechani
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34 Some of the necessary elements a
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36 on sources and lines of supply o
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38 In promoting international assis
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40 3 Programme of Action to Prevent
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42 25 This section draws on discuss
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45 BIBLIOGRAPHY Berkol, Ilhan, Mark
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CHAPTER 2 WHAT TO MARK AND WHAT TO
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49 tracing method for all SALW (con
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51 Figure 2: : The different sub-ca
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53 In order to better grasp the pro
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55 SALW include weapons of war, def
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57 The following questions should t
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59 All of this data, while useful f
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61 2.5 WHAT ARE THE CRITERIA FOR IN
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63 traced, but which ones? Precisel
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65 Table 1: Firearms recovered in c
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67 explosives belts and dozens of t
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69 This data provides an interestin
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71 weapons belonging to illicit cir
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73 imagine being able to effectivel
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75 case of Switzerland, it would be
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77 electronics in animal identifica
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79 based our reflection on goals fo
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81 10 Small Arms Survey, Annuaire s
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APPENDIX 1 83
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APPENDIX 3 85
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87 the army weapon is capable of au
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90 significance, hence in general t
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92 3.1.2 Sanitization Removal or ob
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94 Chinese Type 56-1 Unique Identif
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96 verify that the imported weapons
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98 weapons. There are risks involve
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100 China Type 56 Russia AK47 Russi
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102 channels, with the protection o
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104 3.1.9 Comments Countries seekin
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106 as a result, potentially tip-of
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108 2. All markings must be made pe
Page 123 and 124: 110 shared encryption standard. The
Page 125 and 126: 112 Domestic record-keeping varies
Page 127 and 128: 114 Nevertheless, whilst the Wassen
Page 129 and 130: 116 individual weapon, should as a
Page 131 and 132: 118 • “Consolidation”—4 x 2
Page 133 and 134: 120 With the scope of the Protocol
Page 135 and 136: 122 The South African authorities a
Page 137 and 138: 124 • (Tracing) Details of all st
Page 139 and 140: 126 tracing Chinese weapons. Conseq
Page 141 and 142: 128 circulating information by fax
Page 143 and 144: 130 Tracing requests are normally c
Page 145 and 146: 132 encourage countries along the t
Page 147 and 148: 134 close enough to provide adequat
Page 149 and 150: 136 3. If Interpol is not up to the
Page 151 and 152: 138 which restrict the amount of in
Page 153 and 154: 140 9 It was notable during negotia
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Page 157 and 158: 144 There are other reasons as well
Page 159 and 160: 146 Laws Firearms are a durable com
Page 161 and 162: 148 This last point should not be u
Page 163 and 164: 150 the future a firearm tracing qu
Page 165 and 166: 152 There are several important ele
Page 167 and 168: 154 Canada, nearly all transfers re
Page 169 and 170: 156 accuracy and man-hour effective
Page 171 and 172: 158 industry practices. An effectiv
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Page 177 and 178: 164 routine stockpile management. A
Page 179 and 180: 166 International regulations on th
Page 181 and 182: 168 2. The definitions of weapons,
Page 183 and 184: 170 enable national authorities to
Page 185 and 186: 172 serial number of the firearm. T
Page 187 and 188: 174 9. Explosives: the recommendati
Page 189 and 190: 176 • The States parties undertak
Page 191 and 192: 178 • The following is establishe
Page 193 and 194: 180 International regulations on th
Page 195 and 196: 182 • The participating States ag
Page 197 and 198: 184 The Convention on Plastic Explo
Page 199 and 200: 186 5.3.1 European Joint Action The
Page 201 and 202: 188 years in July 2001. In December
Page 203 and 204: 190 • States must make efforts to
Page 205 and 206: 192 a greater degree of harmonizati
Page 207 and 208: 194 this may lead to the undesirabl
Page 209 and 210: 196 28 Or at least difficult or imp
Page 211 and 212: 198 49 Speech by Mr. Koffi Adjouman
Page 213 and 214: 200 in its capacity as President of
Page 215 and 216: 202 Table 1: Scope of the Seven Pri
Page 217 and 218: 204 Table 1 (continued) Characteris
Page 219 and 220: 206 Characteristics of the marking
Page 221 and 222: 208 Characteristics of the marking
Page 223 and 224: 210 Characteristics of the recordke
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212 Characteristics of the record-k
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214 Table 4: Comparison of the Stan
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216 Characteristics of the exchange
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218
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