The Wassenaar Arrangement
on Export Controls for Conventional Arms and Dual-Use Goods and Technologies
Best Practice
Guidelines for Exports of Small Arms and Light Weapons (SALW)
I. Participating States of the
Wassenaar Arrangement,
Having regard
to the Initial Elements of the Wassenaar Arrangement; and in particular the
objectives of:
(i)
greater responsibility in transfers of conventional arms;
(ii)
the prevention of destabilising accumulations of such arms;
and
(iii)
the need to prevent the acquisition of conventional arms by
terrorist groups and organisations, as well as by individual terrorists;
Bearing in
mind the 2001 UN Programme of Action to Prevent, Combat and
Eradicate the Illicit Trade in SALW in All Its Aspects (UNPOA), and, where
appropriate, the relevant provisions of the 2000 OSCE Document and other regional initiatives that Participating
States are party to,
Affirm
that they apply strict national controls on the export of SALW, as well as on
transfers of technology related to their design, production, testing and
upgrading,
And agree that:
SALW exports will be evaluated carefully against the
Wassenaar Arrangement Initial Elements and the Wassenaar document ‘Elements for Objective Analysis and Advice
Concerning Potentially Destabilising Accumulations of Conventional Weapons’ and
any subsequent amendments thereto. In particular:
1. Each
Participating State will, in considering proposed exports of
SALW, take into account:
(a)
The need to avoid destabilising accumulations of arms,
bearing in mind the particular circumstances of the recipient country and its
region;
(b)
The internal and regional situation in and around the
recipient country, in the light of existing tensions or armed conflicts and
details of the recipient within that country;
(c)
The record of compliance of the recipient country with
regard to international obligations and commitments, in particular on the
suppression of terrorism, and on the non-use of force, and in the field of
non-proliferation, or in other areas of arms control and disarmament, and the
record of respect for international law governing the conduct of armed
conflict;
(d)
The nature and cost of the arms to be transferred in
relation to the circumstances of the recipient country, including its
legitimate security and defence needs and to the objective of the least
diversion of human and economic resources to armaments;
(e)
The requirements of the recipient country to enable it to
exercise its right to individual or collective self-defence in accordance with
Article 51 of the Charter of the United Nations;
(f)
Whether the transfers would contribute to an appropriate and
proportionate response by the recipient country to the military and security
threats confronting it;
(g)
The legitimate domestic security needs of the recipient
country;
(h)
The requirements of the recipient country to enable it to
participate in peacekeeping or other measures in accordance with decisions of
the United Nations, OSCE or other relevant regional organisations with a peacekeeping
mandate;
(i)
The respect for human rights and fundamental freedoms in the
recipient country;
(j)
The risk of diversion or re-export in conditions
incompatible with these Guidelines, particularly to terrorists.
2.
Each Participating State will avoid issuing licences for
exports of SALW where it deems that there is a clear risk that the small arms
in question might:
(a)
Support or encourage terrorism;
(b)
Threaten the national security of other States;
(c)
Be diverted to territories whose external relations are the
internationally acknowledged responsibility of another State;
(d)
Contravene its international commitments, in particular in
relation to sanctions adopted by the Security Council of the United Nations,
agreements on non-proliferation, small arms, or other arms control and
disarmament agreements;
(e)
Prolong or aggravate an existing armed conflict, taking into
account the legitimate requirement for self-defence, or threaten compliance
with international law governing the conduct of armed conflict;
(f)
Endanger peace, create an excessive and destabilising
accumulation of small arms, or otherwise contribute to regional instability;
(g)
Contrary to the aims of this
document, Bbe either re-sold (or otherwise diverted)
within the recipient country, re-produced without licence, or be re-exported contrary to
the aims of this document;
(h)
Be used for the purpose of repression;
(i)
Be used for the violation or suppression of human rights and
fundamental freedoms;
(j)
Facilitate organised crime;
(k)
Be used other than for the legitimate defence and security
needs of the recipient country.
Furthermore,
3. Participating States agree to ensure, as far as possible, without prejudice to the rights
of States to re-export SALW that they have previously imported, that the
original exporting Participating State, in accordance with bilateral
agreements, will be notified before re-export/re-transfer of those weapons.
4. Participating States agree that unlicensed
manufacture of foreign-origin SALW is inconsistent with these Best Practice
Guidelines.
5. Participating States will take especial care
when considering exports of SALW other than to governments or their authorised
agents.
II. In
addition, The Participating States of the Wassenaar Arrangement,
Recognising
that uncontrolled flows of illicit SALW pose a serious threat to peace and
security, especially in areas beset by conflicts and tensions;
And noting that
poorly managed stocks of SALW, which are particularly liable to loss through
theft, corruption or negligence, pose a similar threat;
Agree
that:
1.
Participating States will take into account, as far as possible, the
stockpile management and security procedures of a potential recipient,
including the recipient's ability and willingness to protect against
unauthorised re-transfers, loss, theft and diversion.
2.
Participating States will support the following provisions
concerning small arms marking, record keeping and co-operation:
(a) While it is for each Participating State to determine the exact nature of the marking system for SALW manufactured in or in use in its territory, Participating States agree to ensure that all small arms manufactured on their territory are marked in such a way as to enable individual small arms to traced. The marking should contain information which would allow, at a minimum, identification of the year and country of manufacture, the manufacturer and the small arm’s serial number which is unique to each weapon. All such marks should be permanent and placed on the small arms at the point of manufacture. Participating States will also ensure, as far as possible and within their competence, that all small arms manufactured under their authority outside their territory are marked to the same standard.
(b)
Should any unmarked small arms be discovered in the course
of the routine management of their current stockpiles, they will destroy them,
or, if those small arms are brought into service or exported, that they will
mark them beforehand with an identifying mark unique to each small arm.
(c)
Each Participating State will ensure that comprehensive and
accurate records of their own holdings of small arms, as well as those held by
manufacturers, exporters and importers of small arms within their territory,
are maintained and held as long as possible with a view to improving the traceability
of small arms.
(d)
Participating States resolve to assist each other, on
request, in their efforts to identify and trace SALW and ammunition, which have
been determined as illicit by the requesting State. Such co-operation will
occur on a confidential basis.
3.
Further, each Participating State will:
(a)
Ensure that these principles are reflected, as
appropriate, in their national
legislation and/or in its their national policy documents governing the
export of conventional arms and related technology.
(b)
Consider assisting other Participating States in the
establishment of effective national mechanisms for controlling the export of
SALW.
(c) Put in place and implement adequate laws or administrative procedures to control strictly the activities of those that engage in the brokering of SALW and ensure appropriate penalties for those who deal illegally in SALW.