How to Guide Small Arms and Light Weapons Legislation

188 Pages·2008·1.2 MB·English

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