grips.gif (1552 octets) Réf. GRIP DATA:

G1816

Date d'insertion:

28/02/01

OSCE Document on Small Arms

Organization for Security and Co-operation in Europe

23x RESTRICTED

note: This document was adopted at the 308th Plenary Meeting of the OSCE Forum for Security Co-operation on 24 November 2000 (see FSC.JOUR/314).

FSC.DOC/1/00

24 November 2000

Original: ENGLISH

TABLE OF CONTENTS

PREAMBLE *

I. GENERAL AIMS AND OBJECTIVES *

II. COMBATING ILLICIT TRAFFICKING IN ALL ITS ASPECTS: MANUFACTURING, MARKING AND RECORD-KEEPING *

Introduction *

(A) National control over manufacture of small arms *

(B) Marking small arms *

(C) Record keeping *

(D) Transparency measures *

III. COMBATING ILLICIT TRAFFICKING IN ALL ITS ASPECTS: COMMON EXPORT CRITERIA AND EXPORT CONTROLS *

Introduction *

(A) Common export criteria *

(B) Import, export and transit procedures *

(C) Import, export and transit documentation *

(D) Control over international arms-brokering *

(E) Improving co-operation in law enforcement *

(F) Exchanges of information and other transparency measures *

IV. MANAGEMENT OF STOCKPILES, REDUCTION OF SURPLUSES AND DESTRUCTION *

Introduction *

(A) Indicators of a surplus *

(B) Improving national stockpile management and security *

(C) Destruction and deactivation *

(D) Financial and technical assistance *

(E) Transparency measures *

V. EARLY WARNING, CONFLICT PREVENTION, CRISIS MANAGEMENT AND POST-CONFLICT REHABILITATION *

Introduction *

(A) Early warning and conflict prevention *

(B) Post-conflict rehabilitation *

(C) Procedures for assessments and recommendations *

(D) Measures *

(E) Stockpile management and reduction in post conflict rehabilitation *

(F) Further Work *

VI. FINAL PROVISIONS *

Annex

FSC.DEL/415xx/00/Rev.3

5 October xx13xx November 2000

RESTRICTED

Original: ENGLISHENGLISH only

 

Draft

as of 5xx November October 2000

OSCE DOCUMENT ON SMALL ARMS AND LIGHT WEAPONS

PREAMBLE

1. The participating States of the Organization for Security and Co-operation in Europe (OSCE):

2. Recalling the Lisbon Document 1996, Decision No. 8/96, "A Framework for Arms Control", and Decision No. 6/99 of the OSCE’s Forum for Security Co-operation (FSC), endorsed by our Heads of State and Government at the OSCE Summit at Istanbul in November 1999,

3. Recognizing the need to build strengthen confidence and security among the participating States through appropriate measures on small arms and light weapons* manufactured to military specifications for use as lethal instruments of war or designed for military use (hereinafter referred to as "small arms"),

4. Recalling progress made in dealing with the problems associated with small arms in other international fora and resolved to make an OSCE contribution to such progress,

5. Mindful also of the opportunity for the in particular of the task of the OSCE, as a regional arrangement under Chapter VIII of the Charter of the United Nations, to provide a substantial contribution to the process underway in the United Nations Conference on the iIllicit tTrade in sSmall aArms and lLight wWeapons in aAll its aAspects in 2001,

6. Have decided to adopt and implement the norms, principles and measures set out in the following sections.

 

SECTION I: GENERAL AIMS AND OBJECTIVES

1. The participating States recognize that the excessive and destabilizing accumulation and uncontrolled spread of small arms are problems that have contributed to the intensity and duration of the majority of recent armed conflicts. They are of concern to the international community because they pose a threat and a challenge to peace, and undermine efforts to ensure an indivisible and comprehensive security.

1. The participating States recognize that the excessive and destabilizing accumulation and uncontrolled spread of small arms has contributed to the intensity and duration of the majority of recent armed conflicts. It is of concern to the international community because it poses a threat and a challenge to peace, and undermines efforts to ensure an indivisible and comprehensive security.

2. The participating States agree to co-operate to address these problems and to do so in a comprehensive way. Reflecting the OSCE’s concept of co-operative security and working in concert with other international fora, they agree to develop norms, principles and measures covering all aspects of the issue. These include manufacture, the proper marking of small arms, accurate sustained record keeping, export control criteria, transparency about transfers (i.e. commercial and non-commercial imports and exports) of small arms through effective national export and import documentation and procedures. All of these are essential elements of any response to the problems, as are the proper national management and security of stockpiles coupled with effective action to reduce the global surplus of small arms. They also agree that the problem of small arms should be an integral part of the OSCE’s wider efforts in the fields of early warning, conflict prevention, crisis management and post conflict rehabilitation.

2. The participating States agree to co-operate to address this problem of the destabilising accumulation of small arms. They will do so in a comprehensive way, reflecting the OSCE’s concept of co-operative security. They agree to develop norms, principles and measures covering all aspects of the issue. These include manufacture, the proper marking of small arms, accurate sustained record keeping, export control criteria, and transparency about transfer of small arms through effective national export control documentation and procedures. All of these are essential elements of any response to the problem, as are the proper control and security of national stockpiles coupled with effective action to reduce the global surplus of small arms. They also agree that the problem of small arms should be an integral part of the OSCE’s wider efforts in the fields of early warning, conflict prevention, crisis management and post conflict rehabilitation.

3. In particular, the participating States commit themselves to:

(i) Combat illicit trafficking in all its aspects through the adoption and implementation of national controls on small arms, including manufacture, proper marking and accurate sustained record keeping (both of which contribute to improving the traceability of small arms), effective export control, border and customs mechanisms, and through enhanced co-operation and information exchange among law enforcement and customs agencies at international, regional and national levels;

through the adoption and implementation of national controls, including effective export control, border and customs mechanisms, and through enhanced co-operation and information exchange among law enforcement and customs agencies at international, regional and national levels;

(ii) Contribute to the reduction, and prevention of, the excessive and destabilizing accumulation and uncontrolled spread of small arms, taking into account legitimate requirements for national and collective defence, internal security and participation in peacekeeping support operations under the Charter of the United Nations or in the framework of the OSCE;

Combat illicit trafficking through the adoption and implementation of national controls, including effective export control, border and customs mechanisms, and through enhanced co-operation and information exchange among law enforcement and customs agencies at international, regional and national levels

(iii) Exercise due restraint in their holdings of small arms and to ensure that small arms are produced, transferred and held only in accordance with legitimate defence and security needs as outlined in 3(ii) above, and in accordance with appropriate international and regional export criteria, in particular as provided for in the OSCE document on Principles Governing Conventional Arms Transfers adopted by the Forum for Security Co-operation on 25 November 1993;;

(iv) Build confidence, security and transparency through appropriate measures on small arms;

(v) Ensure that, in line with its comprehensive concept of security, the OSCE addresses, in its appropriate fora, concerns related to the issue of small arms as part of an overall assessment of the security situation of a particular country, and takes practical measures which will assist in this respect;

(vi) Develop appropriate measures on small arms at the end of armed conflicts including their collection, safe storage and destruction linked to the disarmament, demobilization and reintegration (DD and R) of combatants.

 

SECTION II: COMBATING ILLICIT TRAFFICKING IN ALL ITS ASPECTS:
MANUFACTURING, MARKING AND RECORD-KEEPING

Introduction

1. Combating illicit trafficking in all its aspects constitutes a major element of any action needed to deal with the problem of the destabilizing accumulation and uncontrolled spread of small arms. With adequate national control, The legal trade does not, by definition, contribute to the problem. But, nNational control of manufacture is essential to the combating of illicit trafficking. In addition, the proper marking of small arms, coupled with accurate, sustained record-keeping and transparency about their transferexchanges of information outlined within this document, will help relevant investigative authorities to trace illicit small arms and, if a legal transfer has been diverted into the illegal market, to identify the point at which the diversion took place.

2. This section therefore sets out the norms, principles and measures covering manufacture, marking and record-keeping of small arms.

(A) National cControl over manufacture of small arms and light weapons

1. The participating States agree to ensure effective national control over the manufacture of small arms through the issue, regular review and renewal of licences and authorizations for manufacture. Licences and authorizations should be revoked if the conditions under which they were granted are no longer met. The participating States will ensure that those engaged in illegal production can can, and will, be prosecuted under appropriate penal codes.

(B) Marking small arms and record keeping

1. While it is for each participating State to determine the exact nature of the marking system for small arms manufactured or in use on its territory, the participating States agree to ensure that all small arms manufactured on their territory after 30 June 2001 are marked in such a way as to enable individual small arms to be traced. The marking should, at a minimum, should contain information which would allow the investigating authorities to determine, at a minimum, the year and country of manufacture, the manufacturer and the weapon’s serial number. This combination of information will provides an identifying mark which is unique to each small arm. All such marks should be permanent and placed on the small arm at the point of manufacture. Participating States will also ensure as far as possible and within their competence that all small arms manufactured under their authority outside their authority territory are marked to the same standard.

 

2. As a confidence building measure and to assist the relevant authorities in tracing illicit small arms, the participating States agree to conduct an information exchange by [date] on their national marking systems used in the manufacture and/or import of small arms. Participating States will further ensure that such information is regularly up-dated to reflect any changes in their national marking systems.

32. In addition, participating States agree that, if they haveshould any unmarked small arms be discovered in the course of the routine management of in their current stockpiles, they will destroy them, or if those small arms are brought into service or exported, that they will mark them beforehand with an identifying marka unique to each small armidentification number.

(C) Record keeping

4.1. The participating States will ensure that comprehensive and accurate records of their own holdings of small arms, as well as those held by manufacturers, exporters and importers of small arms within their territory, are maintained and held as long as possible with a view to improving the traceability of small arms. The participating States will ensure that comprehensive and accurate records are d,kept of their own holdings of small arms, as well as those held by manufacturers, exporters and importers of small arms within their territory. All such records should be held for as long as possible, but for no less than ten years.

(D) Transparency measures

1. As a confidence-building measure and to assist the relevant authorities in tracing illicit small arms, the participating States agree to conduct an information exchange by [date]30 June 2001 on their national marking systems used in the manufacture and/or import of small arms. They will also exchange with each other available information on national procedures for the control of the manufacture of small arms. Participating States will further ensure that such information is regularly up-dated, as and when necessary, to reflect any changes in their national marking systems and in their procedures for the control of manufacture..

 

SECTION III: COMBATING ILLICIT TRAFFICKING IN ALL ITS ASPECTS:
COMMON EXPORT CRITERIA AND EXPORT CONTROLS

Introduction

1. The establishment and implementation of effective criteria governing the export of small arms will help meet the shared objective of preventing the destabilizing accumulation and uncontrolled spread of small arms, as will national controls covering export documentation and procedures, and the activities of international brokers. Co-operation on law enforcement is also essential to the combating of illicit trafficking. This section sets out the norms, principles and measures aimed at fostering responsible behaviour with regard to the transfer of small arms and, thereby, reducing opportunities to engage in illicit trafficking.

(A) Common export criteria

1. The participating States agree to the following criteria to govern exports of small arms and technology related to their design, production, testing and upgrading, which are based on the OSCE document on "Principles Governing Conventional Arms Transfers".

2.(a) Each participating State will, in considering proposed exports of small arms, take into account:

(i) The respect for human rights and fundamental freedoms in the recipient country;

(ii) The internal and regional situation in and around the recipient country, in the light of existing tensions or armed conflicts;

(iii) The record of compliance of the recipient country with regard to international obligations and commitments, in particular on the non-use of force, and in the field of non-proliferation, or in other areas of arms control and disarmament, and the record of respect for international law governing the conduct of armed conflict;

(iv) The nature and cost of the arms to be transferred in relation to the circumstances of the recipient country, including its legitimate security and defence needs and to the objective of the least diversion of human and economic resources to armaments;

(v) The requirements of the recipient country to enable it to exercise its right to individual or collective self-defence in accordance with Article 51 of the Charter of the United Nations;

(vi) The question of whether the transfers would contribute to an appropriate and proportionate response by the recipient country to the military and security threats confronting it;

(vii) The legitimate domestic security needs of the recipient country;

(viii) The requirements of the recipient country to enable it to participate in peacekeeping or other measures in accordance with decisions of the United Nations or the OSCE.

(b) Each participating State will avoid issuing licences for exports where it deems that there is a clear risk that the small arms in question might:

(i) Be used for the violation or suppression of human rights and fundamental freedoms;

(ii) Threaten the national security of other States;

(iii) and of Be diverted to territories whose external relations are the internationally acknowledged responsibility of another State;

(iiiv) Contravene its international commitments, in particular in relation to sanctions adopted by the Security Council of the United Nations, decisions taken by the OSCE, agreements on non-proliferation, small arms, or other arms control and disarmament agreements;

(iv) Prolong or aggravate an existing armed conflict, taking into account the legitimate requirement for self-defence, or threaten compliance with international law governing the conduct of armed conflict;

(vi) Endanger peace, create an excessive and destabilizing accumulation of small arms, or otherwise contribute to regional instability;

(vii) Be either re-sold (or otherwise diverted) within the recipient country or re-exported for purposes contrary to the aims of this document;

(viii) Be used for the purpose of repression;

(viiiix) Support or encourage terrorism;

(ix) Facilitate organized crime;

(xi) Be used other than for the legitimate defence and security needs of the recipient country.

(c) In addition to these criteria, participating States will take into account the stockpile management and security procedures of a potential recipient country.

3. Participating States will make every effort within their competence to ensure that licensing agreements for small arms production concluded with manufacturers located outside their territory will contain, where appropriate, a clause applying the above criteria to any exports of small arms manufactured under licenselicence in that agreement.

4. Further, each participating State will:

(i) Ensure that these principles are reflected, as necessary, in its national legislation and/or in its national policy documents governing the export of conventional arms and related technology;

(ii) Consider assisting other participating States in the establishment of effective national mechanisms for controlling the export of small arms.

(B) Import, export and transit procedures

1. The participating States agree to follow the procedures described below on the import, export and international transit of small arms.

2. The participating States agree to ensure that all shipments of small arms imported into, or exported from, their territory are subject to effective national licensing or authorization procedures which allow the participating State concerned to retain adequate control over such transfers and to prevent the diversion of the small arms to any party other than the declared recipient. Each participating State will decide whether to apply appropriate national procedures to small arms in transit through its territory en route to a final destination outside its territory, in order to maintain effective control over that transit.

3. Before a participating State permits a shipment of small arms to another State, that participating State will ensure that it has received from the importing State the appropriate import licence or some other form of official authorization. When a participating State is asked to act as a transit point for shipments of small arms between the exporting and importing States, the exporter, or the authorities in the exporting state, will ensure that where the State of transit requires a shipment to be authorized, the appropriate authorization has been issued.

4. At the request of either of the two participating States engaged in a transaction to export and import a shipment of small arms, the States will inform each other when the consignment has been dispatched from the exporting State and when it has been received by the importing State.

5. Without prejudice to the right of participating States to re-export small arms that they had previously imported, participating States will make every effort within their competence to encourage the insertion of a clause within contracts for the sale or transfer of small arms requiring that the original exporting State be advised before the re-transfer of those small arms.

6. In order to prevent the illegal diversion of small arms, the participating States are encouraged to establish appropriate procedures that would permit the exporting State to assure itself of the secure delivery of transferred small arms. These procedures could, where appropriate, include a physical check of the shipment of small arms at the point of delivery.

7. The participating States will not allow any transfer of unmarked small arms. In addition they will only transfer or re-transfer small arms which bear an identifying mark unique to each small arm.   

8. The participating States agree to ensure that the appropriate national mechanisms are in place to enhance the co-ordination of policy and co-operation between their agencies involved in the import, export and transit procedures for small arms.

(C) Import, export and transit documentation

1. The participating States agree to observe the following key standards underpinning export documentation: that no export licence is issued without an authenticated end-user certificate, or some other form of official authorization (for example, an International Import Certificate) issued by the receiving State; that the number of government officials entitled to sign or otherwise authorize export documentation is kept to a minimum consistent with the current practice of each participating State; and that import, export and transit documentation contains a common minimum standard of information which will be explored by participating States with a view to developing recommendations based on the best practice"best practice" among participating States.

2. The participating States agree to ensure that comprehensive and accurate records of small arms transactions effected under a particular license or authorization are maintained and held for as long as possible with a view to improving the traceability of small armsfr. They also agree that the relevant information contained in these records, together with any other information required to trace and identify illegal small arms, is made available in accordance with the procedures in paragraphs (EF) 3. and 4 below.

(D) Control over international arms-brokering

1. The regulation of the activities of international brokers in small arms is a critical element in a comprehensive approach to combating illicit trafficking in all its aspects. Participating States will consider the establishment of national systems for regulating the activities of those who engage in such brokering. Such a system could include measures such as:

(i) Requiring registration of brokers operating within their territory;

(ii) Requiring licensing or authorization of brokering; or

(iii) Requiring disclosure of import and export licenses or authorizations, or accompanying documents, and of the names and locations of brokers involved in the transaction.

(E) Improving co-operation in law enforcement

1. In order to enforce its international commitments on small arms, each participating State should ensure that it has an effective capability to enforce those commitments through its relevant national authorities and judicial system.

2. Each participating State will treat any transfer of small arms that is in violation of a United Nations Security Council arms embargo as a crime, and will, if it has not yet done so, reflect this in its domestic law.

3. The participating States agree to enhance their mutual legal assistance and other mutual forms of co-operation in order to assist investigations and prosecutions conducted and pursued by other participating States in relation to the illicit trafficking of small arms. For this purpose, they will endeavour to conclude relevant agreements with each other.

4. The participating States agree to co-operate with each other on the basis of customary diplomatic procedures or relevant agreements and with intergovernmental organizations such as Interpol, in tracing illegal small arms. Such co-operation will include making available, upon request, relevant information to the investigating authorities of other participating States. They will also encourage and facilitate regional, subregional and national training programmes and joint training exercises for law enforcement, customs and other appropriate officials in the small arms field.

5. The participating States agree to consider appropriate technical, financial and consultative assistance to other participating States to increase the capacity of enforcement agencies.

6. The participating States agree to share, in conformity with their national laws, and on a confidential basis through appropriate and established channels (for example Interpol, police forces or customs agencies) information in the following areas:

(i) Duly authorized manufacturers and international arms brokers;

(ii) Seizures of illicitly trafficked small arms, including the quantity and type of weapons seized, their markings and details of their subsequent disposal;

(iii) Information on individuals or corporations convicted for violations of national export control regulations;

(iv) Information on their enforcement experiences and the measures that they have found effective in combating illicit trafficking in small arms. This might include, but need not be limited to, scientific and technological information; information on means of concealment and the methods used to detect them; routes used for illicit trafficking and information on embargo violations.

(F) Exchanges of information and other transparency measures

1. The participating States will, as a first step, conduct an information exchange among themselves and on an annual basis, not later than 30 June, beginning in 2002, about their small arms exports to, and imports from, other participating States during the previous calendar year. The information exchanged will also be provided to the Conflict Prevention Centre (CPC). The format for this exchange is set out in the Annex to this document. Participating States also agree to study ways to further improve the information exchange on transfers of small arms.

2. The participating States will exchange with each other, by 30 June 2001, available information on relevant national legislation and current practice on export policy, procedures, documentation and on control over international brokering in small arms in order to use such an exchange to spread awareness of best practice"best practice" in these areas. They will also submit updated information when necessary.

 

SECTION III: COMMON EXPORT CRITERIA AND EXPORT CONTROLS COMBATING ILLICIT TRAFFICKING IN ALL ITS ASPECTS:
COMMON EXPORT CRITERIA AND EXPORT CONTROLS

Introduction

1. The establishment and implementation of effective criteria governing the export of small arms will help meet the shared objective of preventing the destabilizing accumulation and uncontrolled spread of small arms, as will national controls covering export documentation and procedures, and the activities of international brokers and dealers. Co-operation on law enforcement is also essential to the combating of illicit trafficking. This section sets out the norms, principles and measures aimed at fostering responsible behaviour with regard to the transfer of small arms and, thereby, reducing opportunities to engage in illicit trafficking.

(A) Common export criteria

1. The participating States agree to the following criteria to govern exports of small arms and technology related to their production, testing and upgrading, which are based on the OSCE document on "Principles Governing Conventional Arms Transfers".

2.(a) Each participating State will, in considering proposed exports of small arms, take into account:

(i) The respect for human rights and fundamental freedoms in the recipient country;

(ii) The internal and regional situation in and around the recipient country, in the light of existing tensions or armed conflicts;

(iii) The record of compliance of the recipient country with regard to international commitments, in particular on the non-use of force, and in the field of non-proliferation, or in other areas of arms control and disarmament, and the record of respect for those international laws governing the conduct of armed conflict;

(iv) The nature and cost of the arms to be transferred in relation to the circumstances of the recipient country, including its legitimate security and defence needs and to the objective of the least possible diversion of human and economic resources to armaments;

(v) The requirements of the recipient country to enable it to exercise its right to individual or collective self-defence in accordance with Article 51 of the Charter of the United Nations;

(vi) The question of whether the transfers would contribute to an appropriate and proportionate response by the recipient country to the military and security threats confronting it;

(vii) The legitimate domestic security needs of the recipient country;

(viii) The requirements of the recipient country to enable it to participate in peacekeeping or other measures in accordance with decisions of the United Nations or the OSCE.

(b) Each participating State will avoid issuing licences for exports where it deems that there is a clear risk that the small arms in question might:

(i) Be used for the violation or suppression of human rights and fundamental freedoms;

(ii) Threaten the national security of other States and of territories whose external relations are the internationally acknowledged responsibility of another State;

(iii) Contravene its international commitments, in particular in relation to sanctions adopted by the Security Council of the United Nations, decisions taken by the OSCE, agreements on non-proliferation, including any covering small arms, or other arms control and disarmament agreements;

(iv) Prolong or aggravate an existing armed conflict, taking into account the legitimate requirement for self-defence, or threaten compliance with those international laws governing the conduct of armed conflict;

(v) Endanger peace, create an excessive and destabilizing accumulation of small arms , or otherwise contribute to regional instability;

(vi) Be diverted within the recipient country or re-exported for purposes contrary to the aims of this document;

(vii) Be used for the purpose of repression;

(viii) Support or encourage terrorism;

(ix) Facilitate international crime;

(x) Be used other than for the legitimate defence and security needs of the recipient country.

(c) In addition to these criteria, participating States will take into account the stockpile management and security procedures of a potential recipient State.

3. Participating States will make every effort to ensure that licensed small arms production agreements concluded with manufacturers located outside their own territory will contain, where appropriate, a clause applying the aforementioned criteria to any exports of small arms manufactured under that agreement.

4. Further, each participating State will:

(i) Ensure that these principles are reflected, as necessary, in its national legislation and/or in its national policy documents governing the export of conventional arms and related technology;

(ii) Consider assisting other participating States, as set out later in this document, in the establishment of effective national mechanisms for controlling the export of small arms.

5. The participating States will export small arms only to foreign State actors or entities duly licensed by those State actors.

(B) Exchanges of information and other transparency measures

1. The participating States will, as a first step, exchange information among themselves and on an annual basis, as from [date], with regard to their exports and imports of small arms. The information exchanged will also be provided to the Conflict Prevention Centre (CPC). The format for this exchange is set out in Annex A. They also agree to share information with other participating States about their national export criteria with a view to establishing a better understanding of what constitutes "best practice".

2. Participating States also agree to study ways to further improve transparency in relation to small arms.

(DC) Import, export and transit procedures

1. The participating States agree to follow the procedures described below on the import, export and international transit of small arms.

2. The participating States agree to ensure that all shipments of small arms imported into, or exported from, their territory are subject to effective national licensing or authorization procedures which allow the participating State concerned to retain adequate control over such transfers. Each participating State will decide whether such procedures will also need to apply to small arms in transit through its territory en route to a final destination outside its territory, in order to maintain effective control over that transfer and to prevent the diversion of the small arms to any party other than the declared recipient.

3. Before an export licence for a shipment of small arms is granted by a participating State, that State will ensure that it has received from the importing State the corresponding import licence or some other form of official authorization. When a participating State is asked to act as a transit point for shipments of small arms between the exporting and importing States, the exporter, or the authorities in the exporting state, will ensure that where the State of transit requires a shipment to be authorized, the appropriate authorization has been issued.

4. At the request of either of the two participating States engaged in a transaction to export and import a shipment of small arms, the States will inform each other when the consignment has been dispatched from the exporting State and when it has been received by the importing State.

5. Without prejudice to the right of participating States to re-export small arms that they had previously imported, participating States will make every effort within their competence to encourage the insertion of a clause within contracts for the sale or transfer of small arms requiring that the original exporting State be advised before the re-export of those small arms.

6. In order to prevent illegal diversion of small arms, the participating States agree to make every effort to ensure that contracts for the sale or transfer of small arms to non-participating States, where permitted and in accordance with the laws of the receiving State, include a clause allowing the exporting State to conduct a physical check of the shipment of small arms at the point of delivery.

7. The participating States are also encouraged to offer a physical check in the case of shipments between participating States. Any check should be made within a time period agreed upon by the two parties, which would normally be no more than 30 days after the importing State has confirmed receipt of the shipment of small arms.

8. The participating States will not allow the import, export and re-export, or the transit through their territory, of small arms which either have no markings or whose markings do not meet the standards described in [Section II CB, paragraph 1 above].

9. The participating States agree to ensure that the appropriate national mechanisms are in place to enhance the co-ordination of policy and co-operation between those of their domestic agencies involved in the import, export and transit procedures for small arms.

(D) Import, export and transit documentation

1. The participating States agree to observe the following key standards underpinning export documentation: that no export licence is issued without an authenticated end-user certificate, or some other form of official authorization (for example, an International Import Certificate) issued by the receiving State; that the number of government officials entitled to sign or otherwise authorize export documentation is kept to a minimum consistent with the current practice of each participating State; and that import, export and transit documentation contains a minimum standard of information. The minimum standard of information required will be agreed upon between the participating States, who also agree to contribute to the harmonization of that documentation.

2. The participating States agree to ensure that the records of small arms transactions effected under a particular licence or authorization are maintained for as long as possible, but for no less than ten years. They also agree that these records, together with any other information required to trace and identify contraband small arms, are made available at the request of the investigating authorities of other participating States.

(E) Control over international arms-brokering and dealing activities

1. To regulate the activities of international arms brokers, dealers and agents acting on behalf of manufacturers, suppliers or recipients, the participating States will apply standards that should include, as a minimum a requirement that they are licensed in the countries in which they do business. The participating States are encouraged also to seek registration of arms brokers and dealers who are their nationals, wherever located, and all foreign arms brokers and dealers resident on their territory. AndThe participating States will ensure that each small arms transaction is licensed by the appropriate national authority.

(F) Improving law enforcement/co-operation measures

1. In order to enforce its own regulations and its international commitments on small arms, each participating State should ensure that it has an effective capability to enforce those commitments through its criminal courts and relevant national agencies.

2. Each participating State will treat any transfer of small arms that is in violation of a United Nations Security Council arms embargo as a crime, and will, if it has not yet done so, reflect this in its domestic law.

3. The participating States agree to enhance their mutual legal assistance and other mutual forms of co-operation in order to assist investigations and prosecutions conducted and pursued by other participating States in relation to the illicit trafficking of small arms. For this purpose, they will endeavour to conclude relevant agreements with each other.

4. The participating States agree to co-operate with each other on the basis of customary diplomatic procedures or relevant agreements and with intergovernmental organizations such as Interpol, in tracing illicit small arms by making available, upon request, relevant information to the investigating authorities of other participating States. They will also encourage and facilitate regional, subregional and national training programmes and joint training exercises for law enforcement, customs and other appropriate officials in the small arms field.

5. The participating States agree to consider appropriate technical, financial and consultative assistance to other participating States to increase the capacity of enforcement agencies.

(G) Transparency measures

1. The participating States will exchange with each other, on an annual basis as from [date], available information pertaining to small arms in the following areas:

(i) Relevant national legislation and current practice on export procedures and documentation in order to use such an exchange to spread awareness of best practice in these areas;

(ii) National procedures for the control of the manufacture of small arms.

2. The participating States agree to share information, through appropriate and established international channels (for example their police forces, customs agencies or Interpol), in the following areas:

(i) Duly authorized manufacturers and international arms brokers, dealers and agents acting on behalf of manufacturers, suppliers or recipients;

(ii) Seizures of illicitly trafficked small arms, including the quantity and type of weapons seized, their markings and details of their subsequent disposal., after due legal proceedings are complete.

3. The participating States agree to use these established channels to share information on their enforcement experiences and the measures that they have found effective in combating illicit trafficking in small arms. This might include, but need not be limited to, scientific and technological information; information on means of concealment and the methods used to detect them; routes used and information on embargo violations. The same channels may be used for the exchange of information on individuals or corporations successfully prosecuted for violations of national export control regulations.

 

SECTION IV: MANAGEMENT OF STOCKPILES, AND REDUCTION OF SURPLUSES AND DESTRUCTION

Introduction

1. Effective action to reduce the global surplus of small arms, coupled with proper management and security of national stockpiles, is central to the reduction of destabilizing accumulations and uncontrolled spread of small arms and the prevention of illicit trafficking. This section sets out the norms, principles and measures through which participating States will effect reductions where applicable and promote "best practice"best practice"" in managing national inventories and securing stockpiles of small arms.Effective action to reduce the global surplus of small arms, coupled with proper management and security of national stockpiles, is central to the reduction of destabilizing accumulations of small arms and the prevention of illicit trafficking. This section sets out the norms, principles and measures through which participating States will demonstrate restraint, effect reductions where applicable and promote best practice in managing national inventories and securing stockpiles of small arms.

(A) Indicators of a surplus

1. It is for each participating State to assess in accordance with its legitimate security needs whether its holdings of small arms include a surplus.

2. When assessing whether it has a surplus of small arms, each participating State could take into account the following indicatorsWhen assessing whether a surplus of small arms exists, the following indicators could be taken into account:

(i) The size, structure and operational concept of the military and security forcesThe size, character and operational concept of the military and security forces;

(ii) The geopolitical and geostrategic context including the size of the State’s territory and population;

(iii) The internal or external security situation;

(iv) International cCommitments including to international peacekeeping support operations;

(v) Small arms no longer used for military purposes in accordance with national regulations and practicesSmall arms no longer used for military purposes in accordance with national practices.

3. The participating States should carry out regular reviews and in particular in connection withThe participating States will carry out regular reviews in connection with:

(i) Changes of national defence policies, in particular in post conflict situations;

(ii) The reduction or re-structuring of military and security forces;

(iii) The modernization of small arms stocks or the acquisition of additional small arms.

(B) Improving national stockpile management and security

1. The participating States recognize that proper national control over their stockpiles of small arms (including any stockpiles of decommissioned or deactivated weapons) is essential in order to prevent loss through theft, corruption and neglect. To that end, they agree to ensure that their own stockpiles are subject to proper national inventory accounting and control procedures and measures. These procedures and measures, the selection of which is at the discretion of each participating State, could include:

(i) Tthe appropriate types of storage buildings (including appropriate locations) characteristics for stockpile locationssThe participating States recognize that proper national control over their stockpiles of surplus small arms (including any stockpiles of decommissioned or deactivated weapons) is essential in order to prevent loss through theft, corruption and neglect. To that end, they agree to ensure that their own stockpiles are subject to proper national inventory accounting and control procedures and to identify, no later than [date], by means of an exchange of information of a general nature, on their national stockpile management and security procedures, which will enable the OSCE to draw up a "best practice" guide, designed to promote effective stockpile management and security, and guarantee a multi-level safety system for weapons storage. These measures, the selection of which is at the discretion of each participating State, should include , inter alia:

(i) The appropriate locations for stockpiles;

(ii) Access control measures;

(iii) The forces measures needed to provide adequate protection in emergency situations;

(iv) Lock-and-key and other physical security measures;

(v) Inventory management and accounting control procedures;

(vi) The sanctions to be applied in the event of loss or theft;

(vii) The procedures for the immediate reporting of any loss;

(viii) The procedures to maximize the security of small arms transport;

(ix) The security training of stockpile staff.

 

2. To allow the "best practice" guide described above to be kept up to date, the participating States will, after the initial exchange of information, submit updated information when necessary.

(C) Destruction and, deactivation and decommissioning

1. The participating States agree that the preferred method for the disposal of small arms is destruction. Destruction should render the weapon both permanently disabled and physically damaged. Any small arms identified as surplus to a national requirement should, by preference, also be destroyed. However, if their disposal is to be effected by export from the territory of a participating State, such an export will only take place in accordance with the transferexport criteria set out in [Section III A, paragraphs 1 and 2] of this document.

2. Destruction will generally be used to dispose of illicitly trafficked weapons seized by national authorities, once the legal due process is complete. In the event that such weapons are identified as originally having been stolen from the holdings of a State, consideration could be given to returning them to that State.

3. The participating States agree that the deactivation of small arms will be carried out only in such a way as to render all essential parts of the weapon permanently inoperable and therefore incapable of being removed, replaced or modified in a way that might permit the weapon to be reactivated.

(D) Financial and technical assistance

1. The participating States agree to consider, on a voluntary basis and in co-operation with other international organizations and institutions, technical, financial and consultative assistance with the control or the elimination of surplus small arms to other participating States that request it.assistance with the control or the elimination of surplus small arms on their territory.

2. The participating States agree to support, in co-operation with other international efforts and in response to a request from a participating State,, with other international efforts, stockpile management and security programmes, training and on-site confidential assessments.

(E) Transparency measures

1. The participating States agree to share available information on an annual basis not later than 30 June, beginning in 2002 on the category, sub-category and quantity of small arms that have been identified as surplus and/or seized and destroyed on their territory during the previous calendar year.

2. The participating States will, by 30 June 2002, exchange information of a general nature about their national stockpile management and security procedures. They will also submit updated information when necessary. The Forum for Security Co-operation will consider developing a "best practice" guide, designed to promote effective stockpile management and security and to guarantee a multi-level safety system for the storage of small arms taking into account the work of other international organisations and institutions.

3. The participating States also agree to exchange information by 30 June 2001 on their techniques and procedures for the destruction of small arms. They will also submit updated information when necessary. The Forum for Security Co-operation will consider developing a "best practice" guide, of techniques and procedures for the destruction of small arms taking into account the work of other international organizations and institutions.

4. As a confidence-building measure participating States agree to consider on a voluntary basis invitations to each other, particularly in a regional or subregional context, to observe the destruction of small arms on their territory.

1. As part of the information exchange described in [sub section B, paragraph 1] above the participating States also agree to set out their techniques and procedures for the destruction of small arms, in order to enable the OSCE to draw up a "best practice guide" which those participating States contemplating such destruction could draw on.

2. The participating States agree to share information on an annual basis as from [date] on the type category and quantity of surplus small arms destroyed on their territory.

3. As a confidence-building measure, particularly in a regional or subregional context, participating States agree to consider on a voluntary basis invitations to each other to observe the destruction of small arms on their territory.

 

SECTION V: EARLY WARNING, CONFLICT PREVENTION, CRISIS MANAGEMENT AND POST-CONFLICT REHABILITATION

Introduction

1. The problem of small arms should be an integral part of the OSCE’s wider efforts in the areas of early warning, conflict prevention, crisis management and post-conflict rehabilitation. The destabilizing accumulation and uncontrolled spread of small arms is oneare of the elements which can impede conflict prevention, exacerbate conflicts, can impede conflict prevention and, where peaceful settlements have been attained, can impede both peace-building and social and economic development. In some cases, it may contribute to a breakdown in order, fuel terrorism and criminal violence or lead to a resumption of conflict. This section sets out the norms, principles and measures which the participating States agree to follow.

(A) Early warning and conflict prevention

1. The identification of a destabilizing accumulation or the uncontrolled spread of small arms that might contribute to a deteriorating security situation could be a major element in early warning and, therefore, conflict prevention. It is for each participating State to identify potentially destabilizing accumulations or uncontrolled spreads of small arms linked to its security situation. Each participating State may raise within the OSCE at the Forum for Security Co-operation or the Permanent Council its concerns about such accumulations or spreads.

1. The identification of a destabilizing accumulation or uncontrolled spread of small arms that might contribute to a deteriorating security situation could be a major element in early warning and, therefore, conflict prevention. It is for each participating State to identify potentially destabilizing accumulations of small arms on its territory and in neighbouring border regions as part of its overall assessment of the security situation. It is, however, open to each participating State to raise within the OSCE its concerns about such accumulations linked directly to its security situation.

(B) Post-conflict stabilization rehabilitation

1. The participating States recognize that an accumulation, and the uncontrolled spread, of small arms can contribute to the destabilization of the security environment in a post-conflict situation. It is therefore necessary to consider the value of small arms collection and control programmes in these circumstances.

2. The participating States recognize that a stable security situation, including public confidence in the security sector, is essential for any successful small arms collection and control programme (combined with, as appropriate, amnesties) and other important post-conflict programmes related to DD and R, such as those on the disposal of small arms.The participating States recognize that a stable security situation, including public confidence in the security sector, is essential for any successful weapons collection programme (including, as necessary, amnesties) and other important post-conflict programmes related to disarmament, demobilization and reintegration (DD and R), such as those on the disposal of small arms.

(C) Procedures for assessments and recommendations

1. The participating States agree that an assessment by the Forum for Security Co-operation or the Permanent Council in conflict prevention or a post-conflict situation should include the role (if any) played in that situation by small arms taking into account, as necessary, the indicators found in Section IV (A) paragraph 2, and of the need to address that issue.

The participating States agree that action by the Permanent Council in a conflict prevention or post-conflict situation could and should include an assessment of the role (if any) played in that situation by small arms and of the need to address that issue.

2. As appropriate, the Permanent Council should encourage the heads of existing OSCE field missions and presences should be encouraged to cover the small arms situation in their regular reports, provided this can be done within existing resources.

32. As necessary, at the request of the host participating State, the participating States could be invited to make available, including, if appropriate and in accordance with a decision of the Permanent Council, through the Rapid Expert Assistance and Co-operation Teams (REACT) programme, individuals with relevant expertise in small arms issues. These experts should work with national governments and relevant organizations to ensure a comprehensive assessment of the security situation before providing recommendations for action by the OSCE.

. As necessary, at the request of the host participating State and in accordance with a decision of the Permanent Council, the participating States could be invited to second including, if appropriate, through the REACT programme, individuals with relevant expertise in small arms accumulations to a relevant OSCE field mission or presence. These experts should work with national governments and other relevant organizations survey all available sources to ensure a comprehensive assessment of the security situation before providing recommendations for action by the OSCE.

4. In addition the participating States agree that the mandates of future OSCE missions should, as appropriate, include the capacity to advise, assist in, and monitor small arms collection and destruction programmes and other small arms related DD and R measures. Such OSCE missions could include a suitably qualified person tasked with developing, in conjunction with peace support operations, national authorities and other international organizations and institutions, a series of measures related to small arms.

(D) Measures

1. In response to recommendations from experts, the Permanent Council should consider a range of measures including:

(i) Responses to requests for assistance on the security and management of stockpiles of small arms;

(ii) Assistance with, and possible monitoring of, the reduction and disposal of small arms in the State in question;

((iii) The encouragement of and, as necessary, the provision of advice or mutual assistance to implement and reinforce border controls to reduce illicit trafficking in small arms;

(iv) Assistance with small arms collection and control programmes;

(v)) As appropriate, the eExpansion of the mandate of an OSCE field mission or presence to cover small arms issues;.

(vi) Consultation and co-ordination, in accordance with the OSCE Platform for Co--operative Security, with other international organizations and institutions.

2. In addition the participating States agree that the mandates of future OSCE missions adopted by the Permanent Council and any peacekeeping operations conducted by the OSCE shcould, as appropriate, include the capacity to advise, contribute to, implement and monitor small arms collection and destruction programmes and small arms related DD and R measures. Such OSCE missions could include a suitably qualified person tasked with developing, in conjunction with peacekeeping operations, national authorities and other international organizations and institutions, a series of measures related to small arms..

Consultation with other international organizations and institutions.

1. As a supporting measure, the participating States willcould also promote subregional co-operation in such circumstances, in particular in areas such as border control in order to prevent the re-supply of small arms through illicit trade.

2. The participating States will promote stable security situations and ensure, within their competence that small arms collection programmes and small arms related DD and R measures are included in any peace agreements and, as appropriate, in the mandates of any peacekeeping operations. Participating States will promote the destruction of all small arms thus collected as the preferred method of disposalThe participating States will promote stable security situations and ensure, within their competence that small arms collection programmes are included in any peace agreements and in the mandates of any operations in support of peace. Participating States will promote the destruction of all small arms thus collected as the preferred method of disposal.

3. As a supporting measure, the participating States could also promote subregional co-operation, in particular in areas such as border control in order to prevent the re-supply of small arms through illicit trade.

4. The participating States will consider sponsoring, on a national level, public education and awareness programmes highlighting the negative aspects of small arms. They will also consider providing within available financial and technical resources appropriate incentives to encourage the voluntary surrender of illegally held small arms. Participating States will consider providing support for all appropriate post-conflict programmes related to DD and R, such as those on the disposal and destruction of surrendered or seized small arms and ammunition.The participating States will consider sponsoring, on a national level, public education and awareness programmes highlighting the negative aspects of small arms. They will also consider providing within available financial and technical resources appropriate incentives to encourage the voluntary surrender of surplus or illegally held small arms by civilians, including former combatants. Participating States will consider providing support for all appropriate post-conflict programmes related to DD and R, such as those on the disposal and destruction of surrendered or seized small arms and ammunition.

(E) Stockpile management and reduction in post conflict rehabilitation

1. Because of the specific vulnerability of small arms storage and management in post conflict situations, the participating State(s) concerned and/or the participating States involved in a peace process will give priority to ensuring that:

(i) Safe storage and stockpile management issues are dealt with in peace processes and are included, as appropriate, in peace agreementsBecause of the specific vulnerability of small arms storage and management in post conflict situations, the participating States involved will give priority to ensuring that:

(i) Safe storage and stockpile management measures are included as an integral part of peace agreements;

(ii) To enhance security, stockpile sites are concentrated in as few locations as possible;

(iii) Where they are to be destroyed, cCollected and confiscated small arms are stored for as short a time as necessary compatible with legal due process before destruction;

(iv) Administrative management procedures give priority to and do not delay the small arms reduction and destruction processes.

(F) Further Work

1. The Forum for Security Co-operation will consider developing a "best practice" handbook on small arms DD and R measures taking into account the work of other international organizations and institutionsThe OSCE, working in co-operation with other international organizations and institutions, will develop a "best practice" handbook on small arms DD and R measures.

2. The rRequests for small arms destruction monitoring and technical assistance will be co-ordinated through the Conflict Prevention Centre (CPC), taking into account the work of other international organizations organizations and institutionsinstitutions.

 

SECTION VI: POINTS OF CONTACT AND REVIEWFINAL PROVISIONS

1. The participating States agree to the establishment of a list of small arms contact points in delegations to the OSCE and in capitals, to be held and maintained by the CPC. The CPC should be designated as thewill be the main point of contact on small arms issues between the OSCE and other international organizations and institutions.

2. The participating States agree that the Forum for Security Co-operation will review regularly including, as appropriate, through annual review meetings, the implementation of the norms, principles and measures in this document and will consider specific small arms issues raised by participating States. In addition, and as necessary, they may convene meetings of national experts on small arms. The participating States agree that the Forum for Security Co-operation will periodically review the implementation of these principles and measures. They also agree to establish a mechanism whereby ad hoc meetings of national experts on small arms can be convened to consider specific small arms issues raised by participating States.

3. The participating States also agree to keep the scope and content of this document under regular review. In particular they agree to work on the further development of the document in the light of its implementation and of the work of the United Nations and of other international organizations and institutions.

4. The text of this document will be published in the six official languages of the Organization and disseminated by each participating State.

5. The Secretary General of the OSCE is requested to transmit the present document to the Governments of the Partners for Co-operation Japan, and the Republic of Korea, and Thailand and of the Mediterranean Partners for Co-operation (Algeria, Egypt, Israel, Jordan, Morocco and Tunisia).

6. The norms, principles and measures in this document are politically binding. Unless otherwise specified they will take effect on the adoption of the document.

7. The principles and measures in this document are politically binding and will come into force on xxx, unless specified otherwise.

 

[Placeholder: reference to future development of the document]

 

INFORMATION EXCHANGE ON SMALL ARMS AND LIGHT WEAPONS

 

(Restricted information when completed)

 

 

Reporting Country: Report for Calendar year:

Date of submission:

Original language:

 

 

EXPORTS

EXPORTS

 

 

Category and sub-category of small arm or light weapon

Final importer State

Number of items

State of origin (if not exporter)

Intermediate location (if any)

Comment on the transfer

 

 

 

         

 

 

IMPORTS

 

Category and sub-category of small arm or light weapon

Exporter State

Number of items

State of origin

Intermediate location

(if any)

End user certificate numbers or reference

Comment on the transfer

 

 

 

           

 

INFORMATION EXCHANGE ON SALW

 

 

Reporting Country: Report for Calendar year:

 

Original language: Date of report:

 

Remarks:

 

 

EXPORTS

 

 

Category of weapon

Quantity

Final importing State

State of origin (if not exporter)

Intermediate location (if any)

Comment on the transfer

 

 

 

 

         

 

 

 

IMPORTS

 

 

Category of weapon

Quantity

Exporting State

State of origin

Intermediate location
(if any)

End user certificate numbers or reference

Comment on the transfer

 

 

 

 

           

 

 



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