United Nations A/AC.254/4/Add.2/Rev.3
General Assembly
Distr.: General
10 December 1999
Original: English
Ad Hoc Committee on the Elaboration of a
Convention against Transnational Organized Crime
Seventh session
Vienna, 17-28 January 2000
Revised draft Protocol against the Illicit Manufacturing
of and Trafficking in Firearms, Their Parts and Components
and Ammunition, supplementing the United Nations
Convention against Transnational Organized Crime1, 2
The States Parties to the present Protocol,
Option 1
(a) Bearing in mind that freedom from the fear of crime is fundamental to international cooperation and to the sustainable development of States and that international illicit trafficking in and criminal misuse of firearms have a harmful effect on the security of each State and endanger the well-being of peoples and their social and economic development,
Option 23
(a) Aware of the urgent need to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, [their parts and components and]4 ammunition, [ explosives and other related materials,]5 owing to the harmful effects of those activities on the security of each State and the region as a whole, endangering the well-being of peoples, their social and economic development and their right to live in peace,
Option 1
(b) Concerned by the [increase],6 at the international level, in the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]7 and other related materials and by the serious problems resulting therefrom,
Option 28
(b) Concerned that a sizeable portion of all transfers of firearms and ammunition is illicit, having destabilizing effects closely linked to other transnational criminal activities, the high levels of crime and violence in many cities and communities and the incidence of interstate conflict, and that the illicit manufacturing of and trafficking in firearms, ammunition and other related materials constitute serious obstacles to the culture of peace and to meaningful development cooperation,
Option 1
(c) Reaffirming that States Parties should give high priority to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]9 and other related materials because of the links of such activities with drug trafficking, terrorism, transnational organized crime and mercenary and other criminal activities,
Option 210
(c) Reaffirming that States Parties should give high priority to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition and other related materials and that there is an urgent need for all States, especially those States that produce, export and import arms, to take measures to achieve those goals and to continue to develop common approaches to solving those problems,
[(c) bis Concerned about the illicit manufacture of explosives from substances and articles that in and of themselves are not explosives and that are not dealt with in this Protocol, owing to their other lawful uses, but are used for activities related to drug trafficking, terrorism, transnational organized crime and mercenary and other criminal activities,]11
Option 1
(d) Considering the urgent need for all States, especially States that produce, export and import arms, to take the necessary measures to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]12 and other related materials,
Option 213
(d) Considering that immediate action should focus on preventing the illicit manufacturing of and trafficking in firearms, ammunition and other related materials, by exercising tighter control over their legal transfer, on strengthening pertinent laws and regulations, strictly enforcing laws and regulations concerning their use and civilian possession, and on increasing the capacity to combat their illicit possession and transfer, by improving mechanisms for the control of firearms, ammunition and other related materials at their manufacture, distribution, transfer and transit points, as well as by enhancing accountability, transparency and the exchange of information at the national, regional and global levels,
(e) Convinced that combating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]14 and other related materials requires international cooperation, the exchange of information, and other appropriate measures at the national, regional and global levels,
Option 1
[(e) bis Stressing the need, during a peace process and in a post-conflict situation, to maintain effective control of firearms, ammunition and other related materials in order to prevent them from entering the illicit market,]15
(f) Recognizing the importance of strengthening existing international law enforcement support mechanisms, such as the database established by the International Criminal Police Organization, the Interpol Weapons and Explosives Tracking System, [and the database established by the Customs Cooperation Council (known as the World Customs Organization), the Central Information System,]16 to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]17 and other related materials,
Option 218
[(f) bis Convinced that combating the illicit manufacturing of and trafficking in firearms, ammunition and other related materials requires international cooperation and the strengthening of existing international law enforcement support mechanisms such as the database established by the International Criminal Police Organization, the Interpol Weapons and Explosives Tracking System, in order to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials,]
(g) Stressing that the promotion of [harmonized import and export]19 [and in-transit]20 controls over the licit international movement of firearms, ammunition [, explosives]21 and other related materials, [in addition to a system of procedures for applying them,]22 is essential to the prevention of illicit [international]23 trafficking in firearms, their parts and components and ammunition,
[(g) bis Stressing the need, during a peace process and in a post-conflict situation, to maintain effective control of firearms, ammunition, explosives and other related materials in order to prevent them from entering the illicit market,
(g) ter Mindful of the pertinent resolutions of the General Assembly on measures to eradicate the illicit transfer of conventional weapons and on the need for all States to guarantee their security,]24
Option 1
(h) Recognizing that States have developed different cultural and historical uses for firearms and that the purpose of enhancing international cooperation to eradicate illicit transnational trafficking in firearms is not to discourage or diminish lawful leisure or recreational activities such as travel or tourism for sport shooting, hunting and other forms of lawful ownership and use of firearms that are recognized by States Parties,
Option 225
(h) Recognizing that some States have developed different cultural and historical uses for firearms, including leisure or recreational activities such as travel or tourism for sport shooting, hunting and other forms of lawful ownership and use that are recognized by such States,
Option 1
(i) Recalling that States Parties to the present Protocol have their own domestic laws and regulations on firearms, ammunition and other related materials and recognizing that this Protocol does not commit States Parties to enacting legislation or regulations pertaining to firearms ownership, possession or trade of a wholly domestic nature and that the States Parties will apply those laws and regulations in a manner consistent with this Protocol,
Option 226
(i) Recognizing also that States Parties have their respective domestic laws and regulations pertaining to firearms ownership, possession or trade of a wholly domestic character and that States Parties will apply their respective laws and regulations in a manner consistent with this Protocol,
[(i) bis Reaffirming the principles of sovereignty, non-intervention and the juridical equality of States,]27
Have agreed as follows:
[Article O
The provisions of this Protocol shall not be construed or applied either directly or indirectly to undermine the inalienable right to self-determination of peoples struggling against colonial or other forms of alien domination and foreign occupation, a right that is enshrined in the Charter of the United Nations and in the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.]28
Article 1
Relationship with the United Nations Convention against Transnational Organized Crime29
1. This Protocol supplements30 the United Nations Convention against Transnational Organized Crime, done at ... (hereinafter referred to as “the Convention”), and, as regards the States Parties to the Convention and to the Protocol, those two instruments shall be read and interpreted together as one single instrument.
2. With a view to combating the illegal activities carried out by criminal organizations in the areas of the illicit manufacturing of and trafficking in firearms, ammunition and other related materials, as well as their use for the purpose of facilitating their unlawful enterprises, the purpose of this Protocol is:
(a) To promote and facilitate cooperation among States Parties to the Protocol with respect to the illicit manufacturing of and trafficking in firearms, ammunition and other related materials;
(b) To prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials.31
Article 2
Definitions32
For the purpose of this Protocol, the following definitions shall apply:
(a) “Ammunition”: the complete round or its components, including cartridge cases, primers, propellant powder, bullets or projectiles that are used in a firearm [provided that those components are themselves subject to authorization in the respective State Party];33
[(b) “Controlled delivery”: the technique of allowing illicit or suspect consignments of firearms, ammunition and other related materials [or substance substituted for them]34 to pass out of, through or into the territory of one or more States, with the knowledge and under the supervision of the competent authorities, with a view to identifying persons involved in the commission of offences referred to in article 5 of this Protocol;]35
(c) “Firearm”:36
(i) Any [portable]37 [lethal]38 barrelled weapon that will or is designed to or may be readily converted to expel a shot, bullet, other missile39 or projectile [by the action of an explosive],40 [including any frame or receiver of such a weapon]41 [excluding air weapons]42 excluding antique firearms manufactured before the twentieth century or [their]43 replicas [that are not subject to authorization in the State Party concerned];44 and
[(ii) Any [other weapon or destructive device such as]45 an explosive, incendiary [bomb]46 or gas bomb, grenade, rocket, rocket launcher, missile, missile system or mine];47
(d) “Illicit manufacturing”: the manufacturing or assembly of firearms, [their parts and components,]48 ammunition [, explosives]49 and other related materials:
(i) From components or parts illicitly trafficked;
(ii) Without a licence or authorization from a competent authority of the State Party where the manufacture or assembly takes place;50 or
(iii) Without marking the firearms at the time of manufacturing;51
(e) “Illicit trafficking”:52, 53
(i) The import, export, acquisition, sale, delivery, movement or transfer of firearms, [parts and components,]54 ammunition [, explosives]55 and [other related materials] from or across the territory of one State Party to that of another State Party
Option 1
if the firearms are not marked in accordance with article 9 of this Protocol or if the transaction is not licensed or authorized in accordance with article 11 of this Protocol
Option 2
[if any one of the States Parties concerned has not legally authorised it]56
Option 3
[if any one of the States Parties concerned does not authorize it in accordance with the terms of this Protocol]57
Option 4
[without the authorization of or in violation of the legislation or regulations of either of the States Parties concerned;]58
[, or the brokering of such activities]59;
[(ii) The import of firearms without marking at the time of importation;]60
[(iii) The obliteration, removal or alteration of the serial number61 on a firearm62.]63
Option 1
(f) “Other related materials”:64 any components, parts or replacement parts of a firearm [that are essential to its operation]65 [or accessories]66 [that can be attached to a firearm]67 [and that enhance its lethality].68
Option 269
(f) “Parts and components”: any elements of a firearm [that are essential to its operation,]70 [such as] [including]71 a barrel, frame, cylinder or slide.
[(f) bis “Tracing”:72 the systematic tracking of firearms from manufacturer to purchaser (and/or possessor) for the purpose of aiding law enforcement officials in identifying suspects involved in criminal violations, establishing stolen status and proving ownership.]73
[(f) ter “Explosives”: any substances or articles that are made, manufactured or used to produce an explosion, detonation or propulsive or pyrotechnic effect, except:
(i) Substances and articles that are not in and of themselves explosives; or
(ii) Substances and articles listed in the annex to this Protocol.]74
Article 3
Purpose75
The purpose of this Protocol is:
(a) To promote and facilitate cooperation among States Parties to the Protocol and to the Convention with respect to the illicit manufacturing of and trafficking in firearms, [their parts and components and]76 ammunition [, explosives]77 [and other related materials];78, 79
Option 180
(b) To prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials.
Option 281
(b) To promote and facilitate cooperation and exchange of information and experience among States Parties82 to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, [their parts and components and]83 ammunition, [explosives] and [other related materials].84
Article 4
Scope85
Option 1
This Protocol applies to all classes of [commercially]86 traded [and manufactured]87 firearms, ammunition and other related materials but not to State-to-State transactions or transfers for purposes of national security.88
Option 289
This Protocol applies to all classes of firearm, including those which are commercially traded, and all classes of ammunition and related materials, but not to State-to-State transactions or transfers for the purpose of national security.
Option 390
This Protocol applies to all classes of firearms, ammunition and other related materials, except that it does not apply to State-to-State transactions or to transactions for purposes of national security.
Option 491
This Protocol applies to all classes of illegally manufactured and traded firearms, ammunition and other related materials, as defined in article 2 of this Protocol.
[Article 4 bis
Sovereignty
1. States Parties shall fulfil their obligations under this Protocol in a manner consistent with the principles of sovereign equality and territorial integrity of States and that of non-intervention in the domestic affairs of other States.
2. A State Party shall not undertake in the territory of another State Party the exercise of jurisdiction and performance of functions that are exclusively reserved to the authorities of that other State Party by its domestic law.]92
Article 5
Criminalization93
1. Each State Party shall adopt such legislative [and,]94 or other measures as may be necessary to establish as [criminal]95 offences [“serious crimes” as defined in article 2 bis, paragraph (b), of the Convention]96 under its domestic law [, when committed intentionally]97 [and in connection with a criminal organization]:98
(a) Illicit trafficking in firearms, [parts and components,] ammunition [, explosives]99 [and other related materials]; [and]100
(b) Illicit manufacturing of firearms, [parts and components,] ammunition [, explosives]101 [and other related materials];102
[(c) [Illicit] detention103 and use of [illicitly trafficked or manufactured] firearms, [parts and components,] ammunition and other related materials;]104
[(d) Importing, exporting and manufacturing of any explosive bomb, incendiary bomb, gas bomb, grenade, rocket, rocket launcher, missile system or mine without a licence or authorization from a competent authority of the State Party;]105 [and
(e) Obliterating, removing or altering the serial number on a firearm.]106, 107
[2. Subject to the respective constitutional principles and basic concepts of the legal systems of the States Parties,108 the criminal offences established pursuant to paragraph 1 of this article shall include participation in, association or conspiracy to commit such offences, attempts to commit such offences and aiding, abetting, facilitating [and counselling]109 the commission of said offences.]110
[3. States Parties that have not yet already done so shall adopt the necessary legislative or other measures to sanction criminally, civilly or administratively under their domestic law the violation of arms embargoes mandated by the Security Council.]111
Article 6
Jurisdiction112
Option 1
Each State Party shall adopt such measures as may be necessary [within its own national legislation]113 to establish its jurisdiction, in accordance with article 9 of the Convention, over the offences that it has established pursuant to this Protocol.
Option 2114
1. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the offence in question is committed in its territory.
2. Each State Party may adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the offence is committed by one of its nationals or by a person who habitually resides in its territory.
3. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the alleged criminal is present in its territory and it does not extradite such person to another country on the basis of the nationality of the alleged offender.
4. This Protocol does not preclude the application of any other rule of criminal jurisdiction established by a State Party under its domestic law.
Article 7
Confiscation or forfeiture115
1. States Parties shall undertake to confiscate or [forfeit]116 firearms, ammunition [, explosives]117 and other related materials that have been illicitly manufactured or trafficked, in accordance with article 7 of the Convention.
Option 1
[2. States Parties shall adopt the necessary measures to ensure that no firearms, ammunition [, explosives]118 and other related materials seized, confiscated or forfeited as a result of illicit manufacturing or trafficking fall into the hands of private individuals or businesses through auction [, sale]119 or other disposal.120]121
Option 2122
2. States Parties shall prevent illicitly manufactured and trafficked firearms and ammunition from falling into the hands of criminals by seizing and destroying such firearms and ammunition unless other disposal [that includes destroying them or rendering them unusable]123 has been officially authorized and the firearms and ammunition have been marked or recorded and their disposal also recorded.
Article 8
Record-keeping
1. Each State Party shall maintain124 for not less than [ten years]125 the information126 necessary to trace and identify illicitly manufactured and illicitly trafficked firearms to enable it to comply with its obligations [under this Protocol].127 [In cases involving the export, import, brokerage and transit of firearms, the record shall include in particular:
(a) The appropriate markings applied at the time of manufacture;
(b) The country and date of issuance, the date of expiration, the country of export, the country of import, the final recipient and the description and quantity of the articles.]128
2.129 [Records shall be kept for a period of not less than [ten]130 years after the last transaction effected under a [particular certificate].131]132 [States Parties shall identify to one another the agencies responsible for record-keeping.]133
Option 1
[3. States Parties shall use their best efforts to computerize their records for the purpose of enhancing one another’s effective access to such information.]134
Option 2135
3. States Parties shall use their best efforts to computerize their records. Upon request, those records should be open for confidential access by all States Parties.
Article 9
Marking of firearms136, 137
1. For the purposes of identifying and tracing firearms, [referred to in article 2, subparagraph (c) (I), of this Protocol,]138 States Parties shall:
(a) Require,139 at the time of manufacture of each firearm, the appropriate marking of the name of its manufacturer, its place of manufacture and its [serial number];140
(b) Require141 appropriate markings on each imported firearm142 [following its importation for the purpose of commercial sale within the importing country, or permanent private importation],143 permitting the identification of the importer’s name and address [and an individual serial number if the firearm does not bear one at the time of import]144 [so that the source of the firearm can be traced];145 and
(c) [Require]146 the appropriate marking of any firearm confiscated or forfeited pursuant to article 7 of this Protocol that is retained for official use.
[1 bis The firearms referred to in article 2, subparagraph (c) (ii), of this Protocol should be marked appropriately at the time of manufacture, if possible.]147
2. States Parties shall encourage the firearm manufacturing industry to develop measures against the removal of markings.148, 149
[Article 10
Preventing the reactivating of deactivated firearms
States Parties that have not already done so shall consider taking the necessary measures to prevent the reactivating of deactivated firearms, including through criminalization, if appropriate.150]151
Article 11
General requirements for export, import and
transit licensing or authorization systems152, 153
1. States Parties shall establish or maintain an effective system of export, import and international transit licensing or authorization154 for the transfer of firearms, ammunition [, explosives]155 and other related materials.156
Option 1157
2. States Parties, before issuing export licences or authorizations for the shipment of firearms, ammunition and other related materials for export, shall verify that the importing and transit158 States have issued licences or authorizations. Each export, import and in-transit licence or authorization shall contain the same information, which at a minimum shall identify the country and date of issuance, the date of expiration, the country of export, the country of import, the final recipient and the description and quantity of the article.
Option 2159
2. States Parties, before releasing shipments of firearms, ammunition [, explosives]160 and other related materials for export, shall ensure that the importing and transit States have issued the necessary licences or authorizations.
Option 1161
3. States Parties shall not permit the transit162 of firearms, ammunition [, explosives]163 and other related materials until the receiving States Parties issue the corresponding licences or authorizations.
Option 2164
3. States Parties, before issuing in-transit licences or authorizations and permitting the transit of firearms, ammunition and other related materials, shall verify that the receiving States Parties have issued the corresponding import licences or authorizations.
4. The importing State Party shall inform the exporting State Party, upon request, of the receipt of dispatched shipments of firearms, ammunition [, explosives]165 and other related materials.166
[5. Written approval from the exporting country must be obtained before a State Party may authorize the re-export, retransfer, trans-shipment or other disposition of firearms to any end-user, end use or destination other than as stated on the export licence or authorization.]167, 168
Article 12
Security measures
States Parties, in an effort to eliminate the [theft,]169 loss or diversion of firearms, ammunition [, explosives]170 and other related materials, shall undertake to adopt the necessary measures171 to ensure the security of firearms, ammunition [, explosives]172 and other related materials [imported into, exported from or in transit in their respective territories].173
Article 13
Strengthening of controls at export points174
Each State Party shall adopt such measures as may be necessary to detect and prevent illicit trafficking in firearms, ammunition [, explosives]175 and other related materials between its territory and the territories of other States Parties, by strengthening controls at export points.
Article 14
Exchange of information176
1. Without prejudice to articles 19 and 20 of the Convention, States Parties shall exchange among themselves [and with the relevant intergovernmental organizations];177 in conformity with their respective domestic laws and treaties applicable to them, relevant information on matters such as:
(a) Authorized producers, dealers, importers, exporters and, whenever possible, carriers of firearms, ammunition [, explosives]178 and other related materials;
(b) The means of concealment used in the illicit manufacturing of or trafficking in firearms, ammunition [, explosives]179 and other related materials, and ways of detecting them;
(c) Routes customarily used by criminal organizations engaged in illicit trafficking in firearms, ammunition [, explosives]180 and other related materials;
(d) Legislative experiences, practices and measures related to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]181 and other related materials; and
(e) Techniques, practices and legislation developed to combat money-laundering related to the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]182 and other related materials.
2. States Parties shall provide to or share with each other, [and with the relevant intergovernmental organizations,]183 as appropriate, relevant scientific and technological information useful to law enforcement authorities, in order to enhance one another’s ability to prevent, detect and investigate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]184 and other related materials and prosecute the persons involved in those illicit activities.
3. States Parties shall cooperate [among themselves and with the relevant inter-governmental organizations]185 in the tracing of firearms, ammunition [, explosives]186 and other related materials that may have been illicitly manufactured or trafficked. Such cooperation shall include the provision of prompt and accurate responses to requests for assistance in tracing such firearms, ammunition [, explosives]187 and other related materials.188
Article 15
Cooperation
1. States Parties shall cooperate at the bilateral, regional and international levels to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]189 and other related materials.
2. Each State Party shall identify a national body or a single point of contact190 to act as liaison between it and other States Parties [and between it and the relevant inter-governmental organizations]191 [on matters relating to this Protocol].192
[3. States Parties shall seek the support and cooperation of manufacturers, dealers, importers, exporters and commercial carriers of firearms, ammunition, explosives and other related materials to prevent and detect the illicit activities referred to in paragraph 1 of this article.]193
[Article 15 bis
Establishment of a focal point194
1. In order to attain the objectives of this Protocol, the States Parties shall establish a focal point within [the Secretariat of the United Nations]195 responsible for:
(a) Promoting the exchange of information provided for under this Protocol;
(b) Facilitating the exchange of information on domestic legislation and administrative procedures of the States Parties, including relevant international instruments or agreements on matters related to this Protocol;
(c) Encouraging cooperation between national liaison aut
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"Quis custodiet ipsos custodes" RKBA!
General Assembly
Distr.: General
10 December 1999
Original: English
Ad Hoc Committee on the Elaboration of a
Convention against Transnational Organized Crime
Seventh session
Vienna, 17-28 January 2000
Revised draft Protocol against the Illicit Manufacturing
of and Trafficking in Firearms, Their Parts and Components
and Ammunition, supplementing the United Nations
Convention against Transnational Organized Crime1, 2
The States Parties to the present Protocol,
Option 1
(a) Bearing in mind that freedom from the fear of crime is fundamental to international cooperation and to the sustainable development of States and that international illicit trafficking in and criminal misuse of firearms have a harmful effect on the security of each State and endanger the well-being of peoples and their social and economic development,
Option 23
(a) Aware of the urgent need to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, [their parts and components and]4 ammunition, [ explosives and other related materials,]5 owing to the harmful effects of those activities on the security of each State and the region as a whole, endangering the well-being of peoples, their social and economic development and their right to live in peace,
Option 1
(b) Concerned by the [increase],6 at the international level, in the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]7 and other related materials and by the serious problems resulting therefrom,
Option 28
(b) Concerned that a sizeable portion of all transfers of firearms and ammunition is illicit, having destabilizing effects closely linked to other transnational criminal activities, the high levels of crime and violence in many cities and communities and the incidence of interstate conflict, and that the illicit manufacturing of and trafficking in firearms, ammunition and other related materials constitute serious obstacles to the culture of peace and to meaningful development cooperation,
Option 1
(c) Reaffirming that States Parties should give high priority to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]9 and other related materials because of the links of such activities with drug trafficking, terrorism, transnational organized crime and mercenary and other criminal activities,
Option 210
(c) Reaffirming that States Parties should give high priority to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition and other related materials and that there is an urgent need for all States, especially those States that produce, export and import arms, to take measures to achieve those goals and to continue to develop common approaches to solving those problems,
[(c) bis Concerned about the illicit manufacture of explosives from substances and articles that in and of themselves are not explosives and that are not dealt with in this Protocol, owing to their other lawful uses, but are used for activities related to drug trafficking, terrorism, transnational organized crime and mercenary and other criminal activities,]11
Option 1
(d) Considering the urgent need for all States, especially States that produce, export and import arms, to take the necessary measures to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]12 and other related materials,
Option 213
(d) Considering that immediate action should focus on preventing the illicit manufacturing of and trafficking in firearms, ammunition and other related materials, by exercising tighter control over their legal transfer, on strengthening pertinent laws and regulations, strictly enforcing laws and regulations concerning their use and civilian possession, and on increasing the capacity to combat their illicit possession and transfer, by improving mechanisms for the control of firearms, ammunition and other related materials at their manufacture, distribution, transfer and transit points, as well as by enhancing accountability, transparency and the exchange of information at the national, regional and global levels,
(e) Convinced that combating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]14 and other related materials requires international cooperation, the exchange of information, and other appropriate measures at the national, regional and global levels,
Option 1
[(e) bis Stressing the need, during a peace process and in a post-conflict situation, to maintain effective control of firearms, ammunition and other related materials in order to prevent them from entering the illicit market,]15
(f) Recognizing the importance of strengthening existing international law enforcement support mechanisms, such as the database established by the International Criminal Police Organization, the Interpol Weapons and Explosives Tracking System, [and the database established by the Customs Cooperation Council (known as the World Customs Organization), the Central Information System,]16 to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]17 and other related materials,
Option 218
[(f) bis Convinced that combating the illicit manufacturing of and trafficking in firearms, ammunition and other related materials requires international cooperation and the strengthening of existing international law enforcement support mechanisms such as the database established by the International Criminal Police Organization, the Interpol Weapons and Explosives Tracking System, in order to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials,]
(g) Stressing that the promotion of [harmonized import and export]19 [and in-transit]20 controls over the licit international movement of firearms, ammunition [, explosives]21 and other related materials, [in addition to a system of procedures for applying them,]22 is essential to the prevention of illicit [international]23 trafficking in firearms, their parts and components and ammunition,
[(g) bis Stressing the need, during a peace process and in a post-conflict situation, to maintain effective control of firearms, ammunition, explosives and other related materials in order to prevent them from entering the illicit market,
(g) ter Mindful of the pertinent resolutions of the General Assembly on measures to eradicate the illicit transfer of conventional weapons and on the need for all States to guarantee their security,]24
Option 1
(h) Recognizing that States have developed different cultural and historical uses for firearms and that the purpose of enhancing international cooperation to eradicate illicit transnational trafficking in firearms is not to discourage or diminish lawful leisure or recreational activities such as travel or tourism for sport shooting, hunting and other forms of lawful ownership and use of firearms that are recognized by States Parties,
Option 225
(h) Recognizing that some States have developed different cultural and historical uses for firearms, including leisure or recreational activities such as travel or tourism for sport shooting, hunting and other forms of lawful ownership and use that are recognized by such States,
Option 1
(i) Recalling that States Parties to the present Protocol have their own domestic laws and regulations on firearms, ammunition and other related materials and recognizing that this Protocol does not commit States Parties to enacting legislation or regulations pertaining to firearms ownership, possession or trade of a wholly domestic nature and that the States Parties will apply those laws and regulations in a manner consistent with this Protocol,
Option 226
(i) Recognizing also that States Parties have their respective domestic laws and regulations pertaining to firearms ownership, possession or trade of a wholly domestic character and that States Parties will apply their respective laws and regulations in a manner consistent with this Protocol,
[(i) bis Reaffirming the principles of sovereignty, non-intervention and the juridical equality of States,]27
Have agreed as follows:
[Article O
The provisions of this Protocol shall not be construed or applied either directly or indirectly to undermine the inalienable right to self-determination of peoples struggling against colonial or other forms of alien domination and foreign occupation, a right that is enshrined in the Charter of the United Nations and in the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.]28
Article 1
Relationship with the United Nations Convention against Transnational Organized Crime29
1. This Protocol supplements30 the United Nations Convention against Transnational Organized Crime, done at ... (hereinafter referred to as “the Convention”), and, as regards the States Parties to the Convention and to the Protocol, those two instruments shall be read and interpreted together as one single instrument.
2. With a view to combating the illegal activities carried out by criminal organizations in the areas of the illicit manufacturing of and trafficking in firearms, ammunition and other related materials, as well as their use for the purpose of facilitating their unlawful enterprises, the purpose of this Protocol is:
(a) To promote and facilitate cooperation among States Parties to the Protocol with respect to the illicit manufacturing of and trafficking in firearms, ammunition and other related materials;
(b) To prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials.31
Article 2
Definitions32
For the purpose of this Protocol, the following definitions shall apply:
(a) “Ammunition”: the complete round or its components, including cartridge cases, primers, propellant powder, bullets or projectiles that are used in a firearm [provided that those components are themselves subject to authorization in the respective State Party];33
[(b) “Controlled delivery”: the technique of allowing illicit or suspect consignments of firearms, ammunition and other related materials [or substance substituted for them]34 to pass out of, through or into the territory of one or more States, with the knowledge and under the supervision of the competent authorities, with a view to identifying persons involved in the commission of offences referred to in article 5 of this Protocol;]35
(c) “Firearm”:36
(i) Any [portable]37 [lethal]38 barrelled weapon that will or is designed to or may be readily converted to expel a shot, bullet, other missile39 or projectile [by the action of an explosive],40 [including any frame or receiver of such a weapon]41 [excluding air weapons]42 excluding antique firearms manufactured before the twentieth century or [their]43 replicas [that are not subject to authorization in the State Party concerned];44 and
[(ii) Any [other weapon or destructive device such as]45 an explosive, incendiary [bomb]46 or gas bomb, grenade, rocket, rocket launcher, missile, missile system or mine];47
(d) “Illicit manufacturing”: the manufacturing or assembly of firearms, [their parts and components,]48 ammunition [, explosives]49 and other related materials:
(i) From components or parts illicitly trafficked;
(ii) Without a licence or authorization from a competent authority of the State Party where the manufacture or assembly takes place;50 or
(iii) Without marking the firearms at the time of manufacturing;51
(e) “Illicit trafficking”:52, 53
(i) The import, export, acquisition, sale, delivery, movement or transfer of firearms, [parts and components,]54 ammunition [, explosives]55 and [other related materials] from or across the territory of one State Party to that of another State Party
Option 1
if the firearms are not marked in accordance with article 9 of this Protocol or if the transaction is not licensed or authorized in accordance with article 11 of this Protocol
Option 2
[if any one of the States Parties concerned has not legally authorised it]56
Option 3
[if any one of the States Parties concerned does not authorize it in accordance with the terms of this Protocol]57
Option 4
[without the authorization of or in violation of the legislation or regulations of either of the States Parties concerned;]58
[, or the brokering of such activities]59;
[(ii) The import of firearms without marking at the time of importation;]60
[(iii) The obliteration, removal or alteration of the serial number61 on a firearm62.]63
Option 1
(f) “Other related materials”:64 any components, parts or replacement parts of a firearm [that are essential to its operation]65 [or accessories]66 [that can be attached to a firearm]67 [and that enhance its lethality].68
Option 269
(f) “Parts and components”: any elements of a firearm [that are essential to its operation,]70 [such as] [including]71 a barrel, frame, cylinder or slide.
[(f) bis “Tracing”:72 the systematic tracking of firearms from manufacturer to purchaser (and/or possessor) for the purpose of aiding law enforcement officials in identifying suspects involved in criminal violations, establishing stolen status and proving ownership.]73
[(f) ter “Explosives”: any substances or articles that are made, manufactured or used to produce an explosion, detonation or propulsive or pyrotechnic effect, except:
(i) Substances and articles that are not in and of themselves explosives; or
(ii) Substances and articles listed in the annex to this Protocol.]74
Article 3
Purpose75
The purpose of this Protocol is:
(a) To promote and facilitate cooperation among States Parties to the Protocol and to the Convention with respect to the illicit manufacturing of and trafficking in firearms, [their parts and components and]76 ammunition [, explosives]77 [and other related materials];78, 79
Option 180
(b) To prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition and other related materials.
Option 281
(b) To promote and facilitate cooperation and exchange of information and experience among States Parties82 to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, [their parts and components and]83 ammunition, [explosives] and [other related materials].84
Article 4
Scope85
Option 1
This Protocol applies to all classes of [commercially]86 traded [and manufactured]87 firearms, ammunition and other related materials but not to State-to-State transactions or transfers for purposes of national security.88
Option 289
This Protocol applies to all classes of firearm, including those which are commercially traded, and all classes of ammunition and related materials, but not to State-to-State transactions or transfers for the purpose of national security.
Option 390
This Protocol applies to all classes of firearms, ammunition and other related materials, except that it does not apply to State-to-State transactions or to transactions for purposes of national security.
Option 491
This Protocol applies to all classes of illegally manufactured and traded firearms, ammunition and other related materials, as defined in article 2 of this Protocol.
[Article 4 bis
Sovereignty
1. States Parties shall fulfil their obligations under this Protocol in a manner consistent with the principles of sovereign equality and territorial integrity of States and that of non-intervention in the domestic affairs of other States.
2. A State Party shall not undertake in the territory of another State Party the exercise of jurisdiction and performance of functions that are exclusively reserved to the authorities of that other State Party by its domestic law.]92
Article 5
Criminalization93
1. Each State Party shall adopt such legislative [and,]94 or other measures as may be necessary to establish as [criminal]95 offences [“serious crimes” as defined in article 2 bis, paragraph (b), of the Convention]96 under its domestic law [, when committed intentionally]97 [and in connection with a criminal organization]:98
(a) Illicit trafficking in firearms, [parts and components,] ammunition [, explosives]99 [and other related materials]; [and]100
(b) Illicit manufacturing of firearms, [parts and components,] ammunition [, explosives]101 [and other related materials];102
[(c) [Illicit] detention103 and use of [illicitly trafficked or manufactured] firearms, [parts and components,] ammunition and other related materials;]104
[(d) Importing, exporting and manufacturing of any explosive bomb, incendiary bomb, gas bomb, grenade, rocket, rocket launcher, missile system or mine without a licence or authorization from a competent authority of the State Party;]105 [and
(e) Obliterating, removing or altering the serial number on a firearm.]106, 107
[2. Subject to the respective constitutional principles and basic concepts of the legal systems of the States Parties,108 the criminal offences established pursuant to paragraph 1 of this article shall include participation in, association or conspiracy to commit such offences, attempts to commit such offences and aiding, abetting, facilitating [and counselling]109 the commission of said offences.]110
[3. States Parties that have not yet already done so shall adopt the necessary legislative or other measures to sanction criminally, civilly or administratively under their domestic law the violation of arms embargoes mandated by the Security Council.]111
Article 6
Jurisdiction112
Option 1
Each State Party shall adopt such measures as may be necessary [within its own national legislation]113 to establish its jurisdiction, in accordance with article 9 of the Convention, over the offences that it has established pursuant to this Protocol.
Option 2114
1. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the offence in question is committed in its territory.
2. Each State Party may adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the offence is committed by one of its nationals or by a person who habitually resides in its territory.
3. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offences that it has established in accordance with this Protocol when the alleged criminal is present in its territory and it does not extradite such person to another country on the basis of the nationality of the alleged offender.
4. This Protocol does not preclude the application of any other rule of criminal jurisdiction established by a State Party under its domestic law.
Article 7
Confiscation or forfeiture115
1. States Parties shall undertake to confiscate or [forfeit]116 firearms, ammunition [, explosives]117 and other related materials that have been illicitly manufactured or trafficked, in accordance with article 7 of the Convention.
Option 1
[2. States Parties shall adopt the necessary measures to ensure that no firearms, ammunition [, explosives]118 and other related materials seized, confiscated or forfeited as a result of illicit manufacturing or trafficking fall into the hands of private individuals or businesses through auction [, sale]119 or other disposal.120]121
Option 2122
2. States Parties shall prevent illicitly manufactured and trafficked firearms and ammunition from falling into the hands of criminals by seizing and destroying such firearms and ammunition unless other disposal [that includes destroying them or rendering them unusable]123 has been officially authorized and the firearms and ammunition have been marked or recorded and their disposal also recorded.
Article 8
Record-keeping
1. Each State Party shall maintain124 for not less than [ten years]125 the information126 necessary to trace and identify illicitly manufactured and illicitly trafficked firearms to enable it to comply with its obligations [under this Protocol].127 [In cases involving the export, import, brokerage and transit of firearms, the record shall include in particular:
(a) The appropriate markings applied at the time of manufacture;
(b) The country and date of issuance, the date of expiration, the country of export, the country of import, the final recipient and the description and quantity of the articles.]128
2.129 [Records shall be kept for a period of not less than [ten]130 years after the last transaction effected under a [particular certificate].131]132 [States Parties shall identify to one another the agencies responsible for record-keeping.]133
Option 1
[3. States Parties shall use their best efforts to computerize their records for the purpose of enhancing one another’s effective access to such information.]134
Option 2135
3. States Parties shall use their best efforts to computerize their records. Upon request, those records should be open for confidential access by all States Parties.
Article 9
Marking of firearms136, 137
1. For the purposes of identifying and tracing firearms, [referred to in article 2, subparagraph (c) (I), of this Protocol,]138 States Parties shall:
(a) Require,139 at the time of manufacture of each firearm, the appropriate marking of the name of its manufacturer, its place of manufacture and its [serial number];140
(b) Require141 appropriate markings on each imported firearm142 [following its importation for the purpose of commercial sale within the importing country, or permanent private importation],143 permitting the identification of the importer’s name and address [and an individual serial number if the firearm does not bear one at the time of import]144 [so that the source of the firearm can be traced];145 and
(c) [Require]146 the appropriate marking of any firearm confiscated or forfeited pursuant to article 7 of this Protocol that is retained for official use.
[1 bis The firearms referred to in article 2, subparagraph (c) (ii), of this Protocol should be marked appropriately at the time of manufacture, if possible.]147
2. States Parties shall encourage the firearm manufacturing industry to develop measures against the removal of markings.148, 149
[Article 10
Preventing the reactivating of deactivated firearms
States Parties that have not already done so shall consider taking the necessary measures to prevent the reactivating of deactivated firearms, including through criminalization, if appropriate.150]151
Article 11
General requirements for export, import and
transit licensing or authorization systems152, 153
1. States Parties shall establish or maintain an effective system of export, import and international transit licensing or authorization154 for the transfer of firearms, ammunition [, explosives]155 and other related materials.156
Option 1157
2. States Parties, before issuing export licences or authorizations for the shipment of firearms, ammunition and other related materials for export, shall verify that the importing and transit158 States have issued licences or authorizations. Each export, import and in-transit licence or authorization shall contain the same information, which at a minimum shall identify the country and date of issuance, the date of expiration, the country of export, the country of import, the final recipient and the description and quantity of the article.
Option 2159
2. States Parties, before releasing shipments of firearms, ammunition [, explosives]160 and other related materials for export, shall ensure that the importing and transit States have issued the necessary licences or authorizations.
Option 1161
3. States Parties shall not permit the transit162 of firearms, ammunition [, explosives]163 and other related materials until the receiving States Parties issue the corresponding licences or authorizations.
Option 2164
3. States Parties, before issuing in-transit licences or authorizations and permitting the transit of firearms, ammunition and other related materials, shall verify that the receiving States Parties have issued the corresponding import licences or authorizations.
4. The importing State Party shall inform the exporting State Party, upon request, of the receipt of dispatched shipments of firearms, ammunition [, explosives]165 and other related materials.166
[5. Written approval from the exporting country must be obtained before a State Party may authorize the re-export, retransfer, trans-shipment or other disposition of firearms to any end-user, end use or destination other than as stated on the export licence or authorization.]167, 168
Article 12
Security measures
States Parties, in an effort to eliminate the [theft,]169 loss or diversion of firearms, ammunition [, explosives]170 and other related materials, shall undertake to adopt the necessary measures171 to ensure the security of firearms, ammunition [, explosives]172 and other related materials [imported into, exported from or in transit in their respective territories].173
Article 13
Strengthening of controls at export points174
Each State Party shall adopt such measures as may be necessary to detect and prevent illicit trafficking in firearms, ammunition [, explosives]175 and other related materials between its territory and the territories of other States Parties, by strengthening controls at export points.
Article 14
Exchange of information176
1. Without prejudice to articles 19 and 20 of the Convention, States Parties shall exchange among themselves [and with the relevant intergovernmental organizations];177 in conformity with their respective domestic laws and treaties applicable to them, relevant information on matters such as:
(a) Authorized producers, dealers, importers, exporters and, whenever possible, carriers of firearms, ammunition [, explosives]178 and other related materials;
(b) The means of concealment used in the illicit manufacturing of or trafficking in firearms, ammunition [, explosives]179 and other related materials, and ways of detecting them;
(c) Routes customarily used by criminal organizations engaged in illicit trafficking in firearms, ammunition [, explosives]180 and other related materials;
(d) Legislative experiences, practices and measures related to preventing, combating and eradicating the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]181 and other related materials; and
(e) Techniques, practices and legislation developed to combat money-laundering related to the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]182 and other related materials.
2. States Parties shall provide to or share with each other, [and with the relevant intergovernmental organizations,]183 as appropriate, relevant scientific and technological information useful to law enforcement authorities, in order to enhance one another’s ability to prevent, detect and investigate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]184 and other related materials and prosecute the persons involved in those illicit activities.
3. States Parties shall cooperate [among themselves and with the relevant inter-governmental organizations]185 in the tracing of firearms, ammunition [, explosives]186 and other related materials that may have been illicitly manufactured or trafficked. Such cooperation shall include the provision of prompt and accurate responses to requests for assistance in tracing such firearms, ammunition [, explosives]187 and other related materials.188
Article 15
Cooperation
1. States Parties shall cooperate at the bilateral, regional and international levels to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, ammunition [, explosives]189 and other related materials.
2. Each State Party shall identify a national body or a single point of contact190 to act as liaison between it and other States Parties [and between it and the relevant inter-governmental organizations]191 [on matters relating to this Protocol].192
[3. States Parties shall seek the support and cooperation of manufacturers, dealers, importers, exporters and commercial carriers of firearms, ammunition, explosives and other related materials to prevent and detect the illicit activities referred to in paragraph 1 of this article.]193
[Article 15 bis
Establishment of a focal point194
1. In order to attain the objectives of this Protocol, the States Parties shall establish a focal point within [the Secretariat of the United Nations]195 responsible for:
(a) Promoting the exchange of information provided for under this Protocol;
(b) Facilitating the exchange of information on domestic legislation and administrative procedures of the States Parties, including relevant international instruments or agreements on matters related to this Protocol;
(c) Encouraging cooperation between national liaison aut
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