International Tracing Instrument on SALW

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International Tracing Instrument on SALW

• Existing Regional Instruments Implementation
  challenges

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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SALW Proliferation and unregulated circulation
Under current regulations, it is often not
possible to clearly identify and prevent
diversions of SALW from the legal into the
illicit sphere. One need is a harmonised
system among manufacturers for the marking of
SALW with unique serial numbers and other
identification. Another is the registration of
this information and communication to requesting
states when necessary. Recent international and
regional initiatives on Marking, Registering and
Tracing focus on the creation of common minimal
standards.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Steps for an Effective Tracing Mechanism Two
requirements are necessary 1) adequate marking
of SALW at their point of legal manufacture 2)
record-keeping on the legal trade chain of the
SALW. Chances for a successful tracing operation
diminish considerably if one of the two
conditions is not met. 3) The establishment of a
tracing mechanism will increase the chances of
success to identify and trace illicit SALW with a
view to identify and combat sources of diversion
into the illicit sphere.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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• What is a Comprehensive Marking ?
• Adequate marking includes
• a unique serial number, including the year of
  production
• an identification of the manufacturer
• the country of manufacture
• if known at time of production, the
  identification of the recipient.
• Example 1234567 / CH / SIG / 090 / SAU /
  calibre 
• Serial N / Country / Manufacturer / Model /
  calibre
• Here Switzerland, manufacturer SIG, importer
  Sauer

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Current techniques for SALW Marking The most
commonly used method is stamping, followed by
casting, engraving and electrochemical methods.
These techniques have the drawback of producing
an easily erased marking.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Current techniques for SALW Marking One of the
most advantageous solutions would be to use a
laser (Light Amplification by Stimulated Emission
of Radiation), which makes both relief- and
depth-marking possible, depending on needs.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Comprehensive Marking of ammunition Current
standards on marking of ammunition are
insufficient to allow for reliable tracing. In
the absence of legal obligations, manufacturers
basically mark ammunition with the initials of
the manufacturer, the calibre and year of
production. Sometimes, even such basic
information is absent. Required additional
information includes a unique lot-number of the
ammunition round. Markings should be applied to
both packaging of the ammunition and the
ammunition round itself.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Comprehensive Marking of ammunition Certain
manufacturers, including one large scale producer
in Brazil (CBC), have recently adopted laser
marking technology to complement traditional head
stamping with laser inscriptions on the groove of
the cartridge case. The technology was
developed in collaboration with Belgian
and German providers of ammunition production
and laser marking equipment.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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• What is a Comprehensive Record-Keeping?
• All relevant information on a SALW and ammunition
  should be
• centrally recorded at least on the national
  level
• - a description of the product (type or model,
  calibre) and
• quantity (if it concerns a batch)
• - the content of the marking
• - the names and addresses of the former and
  current owners and,
• if possible, successive owners
• the date of entry in the registry
• information concerning each transaction
• Different registers exist at different level but
  the management of information should be
  centralized
• Data shall be kept permanently.

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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A Crucial Issue Harmonising Practices. Recent
international and regional initiatives on SALW
Marking, Registering and Tracing essentially
focus on the creation of common minimal
standards not in contradiction with current
industrial practices - UN Tracing Instrument
- UN Firearms Protocol - UN Programme of
Action - OSCE Document on SALW - OAS
Convention - ECOWAS Convention - Nairobi
Protocol - SADC Protocol
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument to Enable States
to Identify and Trace Illicit SALW (ITI) The
International Instrument to Enable States to
Identify and Trace is a purely politically
binding instrument. The tracing mechanism do not
include preventive provision and does not apply
to ammunition. Nonetheless, it certainly
represents a first and relevant step towards the
adoption of common and standard practices both in
terms of marking and tracing SALW. If States
agree on best practices and respect the rules
proposed in the Instrument from the manufacturing
stage, during transfers and finally at use, the
mechanism would be preventive and proactive.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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ITI Follow-up and Implementation The
follow-up of ITI could be rendered more efficient
by creating a Secretariat (within the UNODA) that
can receive reports and observations of States
(Ottawa Convention, Biological Weapons). The
Secretariat can analyse and prepare the review
meeting with a report reflecting States requests
and what could be done on the field. The assembly
can take decisions to review the instrument and
ameliorate the implementation of ITI. Without
this kind of initiative ITI can not be proactive
and preventive. The Secretariat (UNODA) should
also develop Best Practices Guides to effectively
implement the instrument. Guides could go on
beyond of the legal framework and States would
have options to adopt entirely or partially
proposed practices.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument on Tracing Provisions
on Marking 1. The choice of methods for
marking SALW is a national prerogative. States
will ensure that, whatever method is used, all
marks required under this instrument are on an
exposed surface, conspicuous without technical
aids or tools, easily recognizable, readable,
durable and, as far as technically possible,
recoverable (art 7). 2. At the time of
manufacture of each SALW under their jurisdiction
or control, States either require unique marking
providing the name of the manufacturer, the
country of manufacture and the serial number, or
maintain any alternative unique user-friendly
marking with simple geometric symbols
combination with a numeric and/or alphanumeric
code, permitting ready identification by all
States of the country of manufacture and
encourage the marking of such additional
information as the year of manufacture, weapon
type/model and calibre (art. 8a).
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument on Tracing Provisions
on Marking 3. States require to the extent
possible appropriate simple marking on each
imported SALW, permitting identification of the
country of import and, where possible, the year
of import and enabling the competent authorities
of that country to trace the small arm or light
weapon and require a unique marking, if the
SALW does not already bear such a marking (art.
8b). 4. States ensure, at the time of transfer
from government stocks to permanent civilian use
of a SALW that is not marked in a manner that
allows tracing, the appropriate marking
permitting identification of the country from
whose stocks the transfer is made (art. 8c). 5.
States take all necessary measures to ensure that
all SALW in the possession of government armed
and security forces for their own use at the
time of adoption of this instrument are duly
marked (art. 8d).
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument on Tracing Provisions
on Marking 6. States encourage manufacturers
of small arms and light weapons to develop
measures against the removal or alteration of
markings (art 8e.) 7. States will ensure that
all illicit small arms and light weapons that are
found on their territory are uniquely marked and
recorded, or destroyed, as soon as possible (art
9). 8. States will ensure that every SALW
always receives the unique markings. A unique
marking should be applied to an essential or
structural component of the weapon where the
components destruction would render the weapon
permanently inoperable and incapable of
reactivation. States are encouraged, where
appropriate, also to apply the marking or other
markings to other parts of the weapon such as the
barrel and/or slide or cylinder of the weapon,
in order to aid in the accurate identification of
these parts or of a given weapon (art 10).
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument on Tracing Provisions
for a Tracing Mechanism Cooperation in
tracing - Voluntary and bilateral system
(better to have multilateral and mandatory) - A
state may decide to trace if SALW are illicit
according to national law - States exchange
information on illicit SALW and guarantee
confidentiality - The information exchanged will
not be released without prior consent of the
State providing it Tracing request - A
Tracing request is made by a State - Information
on the illicit nature, markings, type and other
relevant data - The intended use of the arms
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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International Instrument on Tracing Provisions
for a Tracing Mechanism Tracing responses -
States provide prompt, timely and reliable
responses to the requests - Acknowledge receipt
within a reasonable time - Requested State may
seek additional information from requesting
State - States may delay, restrict or refuse to
provide information for national security
reasons or for ongoing criminal investigations -
If refusal or restricted response, the requested
State should give reasons Implementation -
International cooperation and assistance to other
States - UN DDA to support the implementation of
the Instrument - Assistance of INTERPOL is
possible upon request to facilitate tracing
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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UN Firearms Protocol Provisions on
Marking The UN Protocol entered into force in
July 2005. Even if it is potentially global in
its scope, the Protocol is strictly limited to
firearms. It does not apply to transactions
between States when national security is at stake
and investigations and legal proceedings are
only initiated when the offences are of a
trans-national nature and involve organized
criminal groups (art 4.2). Ammunition are
nevertheless excluded from all relevant
provisions on marking and tracing. Best
Practices Guides are being currently developed.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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UN Firearms Protocol Provisions on Marking 1.
During the manufacturing process firearms are
tagged with(i) either a unique marking, which
includes a unique serial number, the country or
place of manufacture and the name of the
manufacturer, (ii) or any alternative unique and
user-friendly marking, permitting all States to
easily identify the country of manufacture 2. On
each imported weapon, the following is applied
(i) A simple marking permitting the
identification of the country of import and, if
possible, the year of import (art.8.1.b) (ii)
A unique marking if the firearm does not bear
such a marking 3. When State stockpile are
transferred to the civilian market, an
appropriate unique marking is applied to identify
the transferring country (art. 8.1.c) 4.
States encourage the industry to develop measures
against the removal or the alteration of markings
(art. 8.2.).
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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UN Firearms Protocol Provisions on Registration
and Tracing Record-keeping (Art.7) 1. Records
should be kept not less than 10 years on firearms
and, where appropriate, on their parts and
ammunition. 2. Information to be recorded (i)
Markings (art.8) (ii) Licenses, country of
import, export and transit, final recipient and
description and quantity of transferred
arms. Tracing (Art.12.4) States Parties shall
cooperate in the tracing of firearms, their parts
and components and ammunition that may have been
illicitly manufactured or trafficked. Such
cooperation shall include the provision of prompt
responses to requests for assistance in tracing
within available means.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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ECOWAS Convention on SALW
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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ECOWAS Convention on SALW
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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SADC Protocol on the control of firearms,
ammunition and other related materials

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Nairobi Protocol for the prevention, control and
reduction of SALW in the Great Lakes Region the
Horn of Africa

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OSCE Document on SALW

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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OSCE Best Practice Guide on Marking SALW

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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OSCE Best Practice Guide on Registration and
Tracing

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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OAS Convention against illicit firearms
trafficking

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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OAS Convention against illicit firearms
trafficking Draft Model Legislation on Marking
and Tracing

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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UN Programme of Action on SALW

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Desirable System on Marking

COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
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Desirable System on Registration

• All information concerning light weapons and
  related ammunitions should be gathered in a
  register centralised on national, regional and
  international levels.
• The information to be recorded are, at least 
• a) the description of the product
• b) the content of the marking
• c) the name and the localisation of the owner 
• d) the date of entry in the register 
• e) the information concerning each transaction,
  namely the sender, the intermediary (if
  existent), the consignee 
• f) the starting, transit and destination points
  and the corresponding dates 
• g) the export, transit and import licenses
• h) the end-user certificate
• i) the transport agency 
• j) possibly the insurer and the financial
  institution.

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Improving the Tracing Mechanism - States
should exchange information on illicit SALW
without restriction, preferably through
specialized national agencies - States should
exchange data on legal SALW on a regular basis
on manufacture, transfers (export/import/transi
t, vendors, brokers), stockpiles (inventory,
management, surplus, theft), seized
weapons. Arms Transfers have three stages 1)
Pre-licensing 2) Physical transfer
(exp/imp/transit) 3) Use, re-export. Only the
first stage is more or less controlled. The other
two are important - Physical inspections at
time of transfer of SALW at export, import and
eventual transit points and cross-checking of
data - Importance of transport (authorized) and
also of financial institution (controlling the
legality of the transactions in which they are
involved)
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
34
Challenges for the FutureImplementing Existing
Instruments
If no brand new instruments on SALW Marking and
Tracing are to be expected in the very next
months, some major challenges remain. The
biggest for States certainly are to act in order
to fully and effectively implement provisions
contained into already existing instruments, to
evaluate the implementation and the obstacles met
during this implementation and, if needed, to
elaborate mechanisms in order improve it.
Such challenges must be taken up simultaneously
on the international (UN), the regional (OSCE,
OAS, ECOWAS, Great Lakes Region in Africa, ) and
the national levels.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
35
Challenges for the Future Not to Forget
Ammunition
Considering the crucial importance of ammunition
and the relatively poor attention paid to
ammunition related issued within the
international negotiations so far, it appears
that the inclusion of such items into the scope
and the implementation of the recently adopted
international instruments on SALW Marking and
Tracing surely represents a major challenge for
the future. Ammunition could be included at least
in Best Practices Guidelines. European Union, as
a strong regional body, certainly could commit
itself to regulate such issues and set a
politically courageous precedent.
COST A25 Final Conference on SALW ILHAN BERKOL -
Brussels, 19 March 2008
36
For further information on SALW Marking and
Tracing, please refer to http//www.grip.org/res
earch/trace.html
ILHAN BERKOLHead of SALW Project and Arms
ExportGroupe de recherche et d'information sur
la paix et la sécurité70, Rue de la
Consolation1030 Brussels e-mail
i.berkol_at_grip.org tel [phone]fax
32.2.245.19.33