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How to Guide Small Arms and Light Weapons Legislation PDF

188 Pages·2008·1.2 MB·English
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United Nations Development Programme How to Guide Small Arms and Light Weapons Legislation Bureau for Crisis Prevention and Recovery July 2008 Advocacy Series How to Guide Small Arms and Light Weapons Legislation Acknowledgments This document has been developed with the contributions of various agencies and individuals with substantial knowledge and experience working on SALW legislation. We would like to thank in particular Mr. Angus Urquhart and Ms. Cate Buchanan for their valuable contributions, as well as all the people who have extensively reviewed this guide. Photos: IRIN - humanitarian news and analysis - www.irinnews.org Contacts: For questions, further information or to receive copies of this publication in English, French, Spanish, Arabic and Russian please contact Contents Acronyms ..................................................................................................................................................vi Foreword ...................................................................................................................................................vii Introduction .............................................................................................................................................1 Chapter 1 Introduction .........................................................................................................................1 1.1 About this How to Guide ...............................................................................................................2 1.2 Structure and content ....................................................................................................................3 1.3 Defnitions ..........................................................................................................................................6 Chapter 2: Reviewing Legislation to Regulate Small Arms and Light Weapons: Key Issues and Process ....................................................................................................7 2.1 Information collection ..................................................................................................................8 2.2 Objective setting .............................................................................................................................10 2.3 Policy development .......................................................................................................................10 2.4 Gauging the extent of the review .............................................................................................11 2.5 Consultation processes ..................................................................................................................12 2.6 Enforcement and implementation ............................................................................................13 2.7 Training ..............................................................................................................................................13 2.8 Awareness raising and communications .................................................................................13 2.9 Monitoring and evaluation ...........................................................................................................16 2.10 Further information and resources ............................................................................................17 Chapter 3: Regulating arms in the Hands of Civilians ...............................................................19 3.1 Defnitions and scope.....................................................................................................................20 3.2 Purpose of controls ........................................................................................................................20 3.3 Emerging international standards and norms ......................................................................21 3.4 Legislative measures ......................................................................................................................24 3.5 Implementation and enforcement ...........................................................................................37 3.6 Checklist of elements .....................................................................................................................39 3.7 Further information and resources ...........................................................................................42 Chapter 4: Controls on the International Transfer of Small Arms and Light Weapons .....43 4.1 Defnitions and scope.....................................................................................................................44 4.2 Purpose of controls .........................................................................................................................46 4.3 Emerging international standards and norms .......................................................................48 4.4 Legislative measures ......................................................................................................................57 4.5 Enforcement and implementation .............................................................................................78 4.6 Checklist ............................................................................................................................................80 4.7 Further information and resources ............................................................................................83 SALW Legislation iii Chapter 5: Manufacturers, Dealers and Gunsmiths.....................................................................85 5.1 Defnitions and scope.....................................................................................................................86 5.2 Purpose of controls .........................................................................................................................87 5.3 Emerging international standards and norms .......................................................................88 5.4 Legislative Measures .......................................................................................................................91 5.5 Enforcement and implementation .............................................................................................99 5.6 Checklist .............................................................................................................................................99 5.7 Further information and resources ............................................................................................100 Chapter 6: Marking and Record Keeping ........................................................................................101 6.1 Defnitions and scope.....................................................................................................................103 6.2 Purpose of controls .........................................................................................................................103 6.3 Emerging international standards and norms .......................................................................104 6.4 Legislative measures .......................................................................................................................108 6.5 Enforcement and implementation .............................................................................................117 6.6 Checklist .............................................................................................................................................118 6.7 Further information and resources ............................................................................................120 Chapter 7: State-owned Small Arms and Light Weapons .........................................................121 7.1 Defnitions and scope.....................................................................................................................122 7.2 Purpose of controls .........................................................................................................................123 7.3 Emerging international standards and norms .......................................................................124 7.4 Legislative measures .......................................................................................................................127 7.5 Enforcement and implementation .............................................................................................133 7.6 Checklist .............................................................................................................................................133 7.7 Further information and resources ...........................................................................................134 Annex 1 Regional and international instruments .......................................................................136 1 Introduction ......................................................................................................................................136 2 Instruments .......................................................................................................................................137 2.2 Multi-lateral Instruments...............................................................................................................143 2.3 Regional Instruments .....................................................................................................................153 Annex 2 List of abbreviated titles ....................................................................................................178 Annex 3 List of international instruments requiring limitations of SALW based on use 180 iv How to Guide Boxes Box 1: Issue: National surveys and mappings .....................................................................................10 Box 2: National example: The development of South Africa’s gun laws ....................................11 Box 3: National example: Consultations on Kenya’s National Policy ..........................................12 Box 4: Issue: Harmonisation of legislation............................................................................................14 Box 6: Issue: Gender aspects of civilian possession and use ..........................................................27 Box 7: Issue: Demonstrating genuine need for ownership – Pacifc Island Forum Weapons Control Bill...............................................................................28 Box 8: National example: Reducing armed violence in San Martin, El Salvador .....................29 Box 9: National example: Sporting shooters – Australia ................................................................30 Box 10 : National example: Owner licensing – South Africa .........................................................32 Box 11 : National example: Checking the mental health of licence applicants – Canada ...33 Box 12: National example: Competency testing – Macedonia ......................................................33 Box 13: Issue: Regulating Private Security Companies .....................................................................36 Box 14: Issue: Foreign Licensed Production (FLP) ..............................................................................47 Box 15: Key instruments: International transfer controls ................................................................51 Box 16: Key instruments: Brokering controls .......................................................................................53 Box 17: National example: United States’ brokering registration system .................................61 Box 18: National example: South Africa – application and scope ................................................65 Box 19: National examples: EU Member States – Criteria for export licensing .......................67 Box 20: Key instrument: Criteria on regulating brokering controls .............................................68 Box 21: Key instruments: Regional approaches to arms export controls – Codes of Conduct on arms transfers (EU and SICA) ..............................................................70 Box 22: National example: Sweden – End-use certifcation ..........................................................72 Box 23: National example: United States Blue Lantern Programme – End-use verifcation, ......................................................................................................................75 Box 24: National example: United Kingdom – Transparency and accountability .................77 Box 25: Issue: Small-scale Craft Production .........................................................................................88 Box 26: Key instruments: OSCE Handbook of Best Practices and Nairobi Protocol Best Practice Guidelines ................................................................................................................89 Box 27: National example: Australia – Dealers, Conditions and Record Keeping ...................96 Box 28: Key instruments: International Tracing Instrument and ECOWAS Convention .........105 Box 29: National example: Argentina – Marking requirements ...................................................110 Box 30: Issue: Establishing a national database .................................................................................114 Box 31: Regional example: Sub-regional tracing mechanism – ECOWAS Convention .........115 Box 32: Issue: International tracing – Interpol Weapon Electronic Tracing System (IWeTS) .118 Box 33: Issue: Losses of state-owned SALW .........................................................................................124 Box 34: Key instruments: Nairobi Protocol Best Practice Guidelines and PIF Weapons Control Bill ......................................................................................................................125 Box 35: National example: South Africa – Authorisation and conditions for possession ....129 Box 36: Regional example: Pacifc Islands Forum Weapons Control Bill .....................................130 SALW Legislation v Acronyms ATT Arms Trade Treaty CASAC Central America Small Arms Control Project CICAD Inter-American Drug Abuse Control Commission CIFTA Inter-American Convention Against the Illicit Manufacturing of and Trafcking in Firearms, Explosives and other related materials COARM Working Party on Conventional Arms Exports DTCC Ofce of Defence Trade Controls Compliance ECOWAS Economic Community of West African States EU European Union EUC End-User Certifcate FLP Foreign Licensed Production GGE Group of Governmental Experts IANSA International Action Network on Small Arms ICRC International Committee of the Red Cross Interpol International Criminal Police Organization MANPADS Man-Portable Air Defense Systems NATO North Atlantic Treaty Organization NCACA National Conventional Arms Control Act OAS Organization of American States ODA Ofcial Development Assistance OSCE Organization for Security and Co-operation in Europe PoA UN Programme of Action PSC Private Security Companies RECSA Regional Centre on Small Arms SADC South African Development Community SALW Small Arms and Light Weapons SEESAC South Eastern and Eastern Europe Clearing House for the Control of Small Arms and Light Weapons SICA Central American Integration System TMSD Framework Treaty on Democratic Security UN United Nations UNDP United Nations Development Programme UN-LiREC UN Centre for Peace, Disarmament and Development in Latin America and the Caribbean UNODA United Nations Ofce for Disarmament Afairs UNODC United Nations Ofce on Drugs and Crime WA Wassenaar Arrangement vi How to Guide Foreword Armed violence is now widely recognized as having a signifcant negative impact on long-term sustainable development and human security. One of the main contributing factors toward the prevalence, severity and longevity of armed violence, is the widespread, uncontrolled proliferation and illicit trafcking of small arms and light weapons (SALW). Over the last decade, however, important progress has been made - both at the policy and programmatic levels – to strengthen controls over and reduce the availability of SALW. At the policy level, a range of international and regional initiatives and agreements have been concluded that commit Member States to a series of regulatory and control measures to tackle the proliferation of SALW. At the programmatic level, dealing with the widespread availability of SALW has become a priority for many States, particularly for those in the developing world which have been most severely afected by SALW. An increasing number of States have now developed (or are in the process of developing) national strategies and action plans to address the uncontrolled proliferation and illicit trafcking of SALW. The existence and enforcement of comprehensive legislative and regulatory frameworks are critical for the control of SALW. Many States, however, have legislation that is out-of-date or limited in scope, which reduces the efectiveness of eforts undertaken. In this context, the review and strengthening of the legislative and regulatory frameworks have become a priority for many governments, but a successful review process is reliant on signifcant technical expertise and fnancial resources, which are not always available. Recognizing that the uncontrolled presence of SALW and the armed violence which often ensue constitute major threats to sustainable development, the United Nations Development Programme (UNDP) has played a signifcant role over the last decade in assisting governments to address the proliferation and illicit trafcking of SALW efectively and comprehensively. Our primary emphasis is on support to national authorities for the review and amendment of existing SALW legislation. The set of guidelines contained in this How to Guide seeks to assist national authorities, as well as practitioners, in developing an efective and comprehensive legal framework to regulate the manufacturing, possession, transfer and tracing of SALWs. It is our hope that this Guide on SALW Legislation, together with the Guide on the Establishment and Functioning of National SALW Commission published by UNDP in 2008, will enable national authorities to develop appropriate legislative and institutional frameworks to address efectively the issue of SALW proliferation. Kathleen Cravero Assistant Administrator and Director Bureau for Crisis Prevention and Recovery, UNDP SALW Legislation vii viii How to Guide Chapter 1 Introduction Chapter 1 Introduction 1.1 About this How to Guide 1.1.1 Purpose and objectives This How to Guide is designed for national law makers tasked with supporting or leading the review of SALW legislation, in addition to others, such as UN staf in-country or civil society organizations, who may engage in, or support a review process. It is intended to provide practical information on the process to review SALW legislation, on key issues and factors that should be considered and to outline the measures that states may consider when reviewing their legislation. The specifc objectives of the guide are therefore to help practitioners to: • Understand the basic requirements and recommendations of international and regional SALW instruments; • Assess the relevance and comprehensiveness of their respective national legal frameworks governing SALW; • Assess whether all legal issues governing the possession, use, production, sale and transfer (import, export and transit) of SALW are covered, or at least, considered in the framing of legislation; and • Address defciencies within existing legal frameworks. 1.1.2 Scope This guide focuses on the range of issues relating to SALW. It addresses: • Regulating small arms in the hands of civilians (including by private security companies); • Transfer controls (including the import, export, transfer, brokering, transit and transhipment of SALW); • Controls on manufacturers, dealers and gunsmiths; • Marking and record keeping; and • Controls on state-owned SALW. The focus of this guide is limited only to those legal controls that relate specifcally to SALW. It does not touch upon connected issues of legal control that may contribute directly or indirectly to addressing the proliferation of SALW. For example, whilst this guide addresses the control of SALW in possession of Private Security Companies (PSC), it is beyond the purview of this guide to consider the general regulation of PSCs, even if employees from PSCs are sometimes committing crime and may be a cause of insecurity which fuels the demand for arms for self protection. 2 How to Guide – SALW Legislation

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