United States Support for the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects

7/30/2019 United States Support for the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects

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United States Support for the United Nations

Programme of Action to Prevent, Combat and

Eradicate the Illicit Trade in Small Arms and LightWeapons in All Its Aspects

Last Revised and Updated August 3, 2012


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U.S. SUPPORT FOR THE UN PROGRAM OF ACTION ON SA/LW

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UN Programme of Action U.S. Laws and Policies Supportive of the UN POA U.S. Assistance and Programs Supportive of

the UN POA

U.S. Global/Regional Activity Supportive of

the UN POA

Section II, para 2

Section II, para 3

Domestic laws andprocedures to control

production and transfer

of SA/LW

Legislation to criminalize

illicit SA/LW activities

U.S. law requires that anyone engaged in the businessof commercial manufacturing, dealing in or importingof firearms must be licensed under the Gun Control

Act of 1968 (GCA). The GCA provides criminal andcivil penalties for firearms violations, ranging fromlicense revocation to fines and imprisonment for tenyears. U.S. legislation adopted in 2004 substantiallyincreased criminal penalties, including longmandatory jail sentences and severe monetarypenalties, for the unlawful possession, export, import,or transfer of man-portable air defense systems(MANPADS). The Arms Export Control Act(AECA) also requires that a U.S. person engaged inthe business of manufacturing, exporting, ortemporarily importing defense articles and services toinclude Category I/II of the U.S. Munitions List(USML) must be registered with Department of State(DOS). The National Firearms Act (NFA) similarlyimposes restrictions and registration requirements forcertain types of weapons covered by the Act, withprescribed penalties for violations of the Act.

Not applicable (N/A) N/A

Section II, para 4

National coordinating

agencies responsible forresearching and

monitoring illicit SA/LW

trade

In the U.S. Government, responsibility for researchingand monitoring the illicit SA/LW trade is shared bythe Bureau of Alcohol, Tobacco, Firearms, and

Explosives (ATF) (domestic), DOS (international anddomestic from export, temporary import, andbrokering perspectives), Department of Defense(DOD), Department of Homeland Security (DHS),and the Commerce Department. ATF also regulatesthe interstate commerce of firearms throughenforcement of the GCA, AECA, and NFA, and tracesfirearms for domestic and international lawenforcement through its National Tracing Center(NTC).

N/A N/A


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the UN POA

Section II, para 5

Appointment of a

national point of contactto act as liaison on

matters relating to UNPOA implementation

For the United States:Mr. Sho J. MorimotoPolicy Adviser (SA/LW)

Office of Weapons Removal and AbatementBureau of Political-Military AffairsU.S. Department of State

2121 Virginia Ave, N.W.PM/WRA, SA-3 Room 6100Washington, D.C. 20520E-mail: [email protected]: 202-663-0101

N/A N/A

Section II, para 6

Identify groups and

individuals associated

with illicit SA/LW

activities

U.S. law enforcement agencies cooperate with each

other and with their international counterparts tocombat the illicit manufacturing of and trafficking inSA/LW.

In the U.S., firearm dealers are required to conductbackground checks on potential buyers through theNational Instant Criminal Background Check System(NICS), operated by the Federal Bureau ofInvestigation (FBI).

Through diplomatic channels, the United States

regularly works with other nations to identifyand prevent illicit and/or potentiallydestabilizing transfers of arms.

The NTC traces firearms for U.S. andinternational law enforcement agencies that areof U.S. origin and have been used in orsuspected to have been used in criminalactivities. ATF also assists law enforcementagencies in recovering obliterated or alteredserial numbers.

Upon request and consistent with U.S. law, the

U.S. shares information on such groups orindividuals with Interpol, Europol and withappropriate law enforcement agencies of othergovernments.


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Section II, para 7, 8

Section III, para 12

Marking of all SA/LW attime of manufacture

Measures to prevent

manufacture, transfer,

possession of unmarked

SA/LW

Exchange on marking

practices

(continued)

At the request of the U.S. Southern Command(SOUTHCOM) and the Department of State,the DTRA SALW Branch organized the

Combating Illicit Trafficking of SALW in theCaribbean: Stockpile Management andDestruction Conference at SOUTHCOMHeadquarters from July 19-21, 2011.Conference attendees included representativesfrom Antigua and Barbuda, Dominica,Dominican Republic, Grenada, Guyana, Haiti,Jamaica, St. Kitts and Nevis, St. Lucia, St.Vincent and the Grenadines, Suriname, andTrinidad and Tobago. The Conference agendaalso included presentations from the DOS,DHS, ATF, the OAS, the CARICOMImplementation Agency for Crime andSecurity, and the United Nations RegionalCentre for Peace, Disarmament andDevelopment in Latin America and theCaribbean (UNLiREC).


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the UN POA


the UN POA



Destruction of surplus,confiscated, seized and

collected SA/LW

(continued)

The U.S. drafted and worked for the consensusadoption of the 2005 OAS resolution onDenying MANPADS to Terrorists, which

(among other things) called upon states todestroy surplus MANPADS and secureremaining stocks.

Under a mandate from the Summit of theAmericas, the U.S. hosted an Experts Meetingon Confidence and Security Building Measuresin February 2003, which issued a finaldeclaration calling on members states toidentify and secure excess stocks of SA/LW,as well as seized SA/LW, and, in accordance

with their national laws and the internationalagreements to which they are a party, to defineprograms for the destruction of said weaponsand to invite international representatives toobserve their destruction.

The U.S. co-drafted, with Canada and theNetherlands, a Best Practices Guide on SA/LWdestruction, which is part of the OSCEs 2003"Handbook of Best Practices on SA/LW."


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Management and security

of national stockpiles(continued)

At the request of PM/WRA, DTRA SALWBranch provided an expert to discussMANPADS threats and physical security and

stockpile management best practices at theU.S.-Kenya bilateral MANPADS BrokeringSeminar in April 2011 and the U.S.-Ugandabilateral MANPADS Brokering Seminar inApril 2011. The workshops were organizedand hosted by the RECSA and PM/WRA.Other experts from PM/WRA and ATF werealso present. The objectives of the seminarswere to follow up on the 2008 regionalseminars on MANPADS and brokering, sharebest practices, offer a forum to discuss the

findings and recommendations of the reviewsof existing guidelines and administrativeprocedures for regulating MANPADS andbrokering, and recommend appropriate legaland institutional responses to identified gaps.

Section II, para 18

Regular review of States

stocks, identification of

surplus, safe storage,

disposal/destruction

DOD oversees the management and security ofnational military weapons stockpiles as outlinedabove. In addition, annual reconciliation of all smallarms in the registry is performed.

Stocks maintained by public security forces are keptunder strict control and internal accounting byindividual police departments, requiring registrationof NFA weapons with ATF, which maintains anational registry of such weapons.

The U.S. assists countries in the destruction ofexcess and illicit SA/LW stocks and canprovide assessments and seminars related tophysical security and stockpile management ofnational holdings (see previous).

N/A


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Section II, para 22

Special needs of children

in armed conflict,rehabilitation, and

reintegration

N/A Under USAIDs Displaced Children andOrphans Fund (DCOF), the United Statesoffers major support to programs that work to

address the physical, social, and emotionalneeds of children affected by war inAfghanistan, Armenia, Belarus, Burundi,Georgia, Guatemala, Liberia, Moldova,Mozambique, Nepal, the Philippines, SriLanka, and Thailand. The InternationalDisability and Victims of Landmines, CivilStrife and Warfare Assistance Act of 2002authorizes wide-ranging assistance to victimsof civil strife and war in foreign countries.

N/A

Section II, para 23

Voluntary submissions on

destruction and illicit

trade; transparency in

laws and regulations

U.S. laws and regulations on import, export,manufacture, dealing, brokering and marking ofSA/LW are available on the Internet(www.pmddtc.state.gov & www.atf..gov).

Through the ILEAs and other venues, ATFdisseminates information on trafficking routes andinterdiction techniques to abate firearms trafficking.

ATF regularly presents its firearms traffickingtechniques course at the ILEAs and through itsAttach offices in the Western Hemisphere.ATF also disseminates firearms traffickingintelligence to police organizations during thecourse of their investigations.

The U.S. has provided information on U.S.laws and regulations regarding import, export,and manufacture of SA/LW, as well asinformation on the destruction of excessSA/LW to the UN, OSCE, OAS, otherinternational and regional organizations, andNGOs. A list of U.S. debarred (prohibitedfrom obtaining export licenses) individuals andentities is available athttp://pmdtc.org/debar059.htm.

Section II, para 24

Designation of regional

and sub-regional POC on

POA implementation

For the United States:Mr. Sho J. MorimotoPolicy Adviser (SA/LW)Office of Weapons Removal and AbatementBureau of Political-Military AffairsU.S. Department of State

2121 Virginia Ave, N.W.

PM/WRA, SA-3 Room 6100Washington, D.C. 20520E-mail: [email protected]: 202-663-0101

N/A N/A


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Encourage, where

appropriate, negotiationor strengthening of

regional instruments to

combat illicit trade

N/A Through the EXBS Program, the U.S.promotes regional cooperation in improvingexport/border controls to detect and interdict

illicit transfers of controlled items.

On April 19, 2009, President Obamaannounced his commitment to seek theratification of CIFTA and urged the U.S.

Senate to act. The Administration includedCIFTA on its Treaty Priority List sent to theU.S. Senate on October 5, 2011, andemphasized the importance of ratification in theJuly 2011 U.S. Strategy to CombatTransnational Organized Crime.

The U.S. and Caribbean states at the FirstCaribbean-U.S. Security Cooperation Dialogue,held in May 2010, emphasized the importanceof mutually addressing illicit trafficking in

arms in the Action Plan and Declaration ofPrinciples issued at the end of the high levelmeeting

The U.S. also supports the ECOWASMoratorium, the Nairobi Protocol, SADCProtocol, and other regional initiatives. InDecember 2000, the United States and SADCcompleted the U.S.-SADC Declaration on UNSanctions and Restraint in Sale and Transfer ofConventional Arms to Regions of Conflict inAfrica. In July 2007, SICA member states andthe U.S. issued a joint declaration on securityissues. The 7 Central American states and theU.S. pledged to combat illicit trafficking inSA/LW by undertaking several specificmeasures. The declaration can be found at:http://www.state.gov/p/wha/rls/89863.htm


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the UN POA


Encourage, whereappropriate, negotiation

or strengthening of

regional instruments to

combat illicit trade

(continued)

In 2010, U.S. and Argentina hosted in BuenosAires a workshop for South American countries

on combating arms trafficking, with the goal ofincreasing states capacity to effectivelyaddress the illicit manufacturing and traffickingof firearms

In September 2009, the OSCE reviewed itsDocument on Small Arms and Light Weaponsand its supplementary Decisions. Extensivediscussions allowed for detailed review ofimplementation and suggestions towardexploring possible further actions. In May

2010 the OSCE Plan of Action on SA/LW wasadopted to facilitate the full implementation ofcommitments outlined in the OSCE Documenton Small Arms and Light Weapons. OSCEStates have used this product to focus theirefforts at strengthening regional instruments tocombat illicit trade in SA/LW, among otherthings. The OSCE held an experts meetingMay 22-23, 2012, to review implementation ofthe SA/LW Plan of Action.

The U.S. supported adoption in the WassenaarArrangement of the French initiative to combatillicit transport by air of SA/LW in violation ofUN arms embargoes. The U.S. participated inthe March 2007 OSCE seminar on thisinitiative and assisted in development of bestpractices.

Since 2005, the U.S. has sponsored OASGeneral Assembly Resolutions calling on OAS

states to implement the POA. The U.S. alsoparticipates actively in OAS HemisphericSecurity Committee as well as CIFTAConsultative Group meetings.


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Section II, para 31

Encourage regional

transparency

N/A N/A The U.S. supports transparency instrumentssuch as the UN Register of ConventionalArms, its group of Governmental Experts,

OSCE SA/LW information exchange, theWassenaar Arrangement and effortsundertaken within the OAS.

Section II, para 33

Provide voluntary

reports to UN DDA on

progress on

implementing the POA

The United States provides voluntary reports to UNDDA per UNGA resolution 56/24V.

N/A The U.S. has regularly complied with UNGAresolutions calling on the provision of annualimplementation reporting on the UNPOA.

Section II, para 35

Encourage UNSC, where

applicable, to include

DDR for peace

operations

N/A N/A The U.S. supported and joined consensus on

Guineas March 2003 UNSC PresidentialStatement recognizing the importance of DDRactivities in post-conflict situations The U.S.also supported the 2007 UNSC PresidentialStatement on small arms (S/PRST/2007/24)recognizing that illicit trade of SA/LW poses agrave threat against international security andencouraging further implementation of thePOA and continued arms embargoes. TheU.S. joined other Security Council membersin encouraging DDR programs in UNSCRs

1952, 1962, 1964, 1996, 2000, 2021, and2031.


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Section II, para 39

Develop common

understanding on illicitbrokering and work to

combat the same

The U.S. has brokering laws and regulations in effectand encourages the adoption of effective brokeringlaws and regulations by other states.

DOS/DDTC regularly briefs industry on ITARcompliance and illicit brokering, often using casestudies.

The EXBS program (discussed above in SectionII, para 11 of this matrix) and others provideassistance in developing effective strategic trade

control laws that address arms brokering andenforcement mechanisms.

The U.S. actively participated in the GGE onIllicit Brokering, which concluded its work inJune 2007. In June 2002, the U.S. sponsored

an OASGA resolution calling for thedevelopment of model brokering regulationsand the preparation of a study on armsbrokering. The U.S. participated in the April2003 OAS CICAD Firearms Experts Groupmeeting that drafted model brokeringregulations (adopted by the OASGA in 2004).The U.S. also supported the 2003 Wassenaaragreement on Elements for EffectiveLegislation on Brokering.

In June 2004, OAS AG/RES. 1997, drafted bythe U.S., urged OAS member states to adoptbrokering regulations based on the CICADmodel regulations in the area.


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Section III, para 5

Develop and strengthen

partnerships to share

resources and

information on the illicittrade in SA/LW in all its

aspects.

N/A See throughout this matrix. The United Statesstrongly advocates for partnership incoordination and cooperation to most effectivelyshare resources and information.

See throughout this matrix. The U.S. worksthrough regional instruments and multilateralfora, including the G-8, APEC, the OECD, theCouncil of Europe, and the OAS, and throughG-8 regional partnerships such as the MiddleEast Good Governance for Development inArab States.

On December 3, 2007 CARICOM and theU.S. issued the joint initiative CARICOM U.S. Partnership to Combat Illicit Traffickingin Arms. The U.S. and CARICOM MemberStates pledged to enhance regionalcooperation to prevent, combat, and eradicate

the illicit trafficking in SA/LW in the region.The joint initiative can be found at:http://www.state.gov/r/pa/prs/ps/2007/dec/96143.htm

Since 2005, the U.S. has sponsored an OASGeneral Assembly Resolution calling on OASstates to implement the POA. The U.S. alsoparticipates actively in OAS HemisphericSecurity Committee as well as CIFTAConsultative Group meetings. In 2006, the

DOS Bureau of Western Hemisphere Affairsprovided a financial contribution to the OASFund established for stockpile managementand destruction efforts, as well as relatedtraining programs

Section III, para 7

Information exchange

among experts

N/A See throughout this matrix. Various, including expert groups, meetings,conferences, bilateral exchanges, NGOmeetings, regional seminars, experts studies,etc.


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UN Programme of Action U.S. Laws and Policies Supportive of the UN

POA

U.S. Assistance and Programs Supportive of

the UN POA


the UN POA


Address development concerns

as they relate to SA/LW

proliferation

N/A The U.S. is working to integrate SA/LWdestruction with DDR programs whereappropriate (e.g. Angola and Afghanistan).

As the lead U.S. agency providing developmentassistance overseas, USAID works closely withhost governments and local communities toidentify priorities for assistance programs.

N/A


Develop and support research

aimed at facilitating betterunderstanding of the nature

and scope of the problems

associated with the illicit trade

in SA/LW in all its aspects.

For the problem of illicit trade, responsibility inthe U.S. for researching and monitoring theillicit SA/LW trade is generally shared by

Justice/ATF, DOS, DOD, and DHS pursuant totheir various statutory and regulatoryauthorities.

DOJ works through its components to educateand provide research grants to study illicittrafficking.

The U.S. has provided and continues to providemany SA/LW grants and research opportunities.Past research grants have looked into stockpile

security, state holdings of SA/LW, andimplementation of SA/LW marking projects.

See throughout this matrix.

Section IV, para 1

Review conference by 2006;

biennial meetings onimplementation of POA; UN

study on tracing; further steps

to combat illicit brokering

N/A N/A The U.S. actively participated in the 2003,2005, and 2010 biennial meetings and the2006 Review Conference on implementing the

POA. The U.S. actively participated in 2011open-ended meeting of government experts.

The U.S. actively participated in all threesessions of the GGE on Brokering, whichbegan with the first session in November 2006and finished with the third session in June of2007. The U.S. fully supports the consensusReport that was adopted at the completion ofthe third session.



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AcronymsAECA Arms Export Control ActAPEC Asia Pacific Economic Cooperation ForumATF Bureau of Alcohol, Tobacco, Firearms and Explosives (DOJ)

AVC Bureau of Arms Control, Verification and Compliance (DOS)CARICOM Caribbean CommunityCICAD Inter-American Drug Control CommissionCICTE Inter-American Committee Against TerrorismCIFTA Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives,

and Other Related MaterialsDDR Disarmament, Demobilization, and ReintegrationDDTC Directorate of Defense Trade Controls (DOS)DEA Drug Enforcement Administration

DHS Department of Homeland SecurityDOD Department of DefenseDOJ Department of JusticeDOS Department of StateDSCA Defense Security Cooperation Agency (DOD)DTRA Defense Threat Reduction Agency (DOD)ECOWAS Economic Community of West African StatesEXBS Export Control and Related Border SecurityFBI Federal Bureau of Investigation

FSC Forum for Security Cooperation (OSCE)GCA Gun Control Act of 1968GGE Group of Government ExpertsIADB Inter-American Defense BoardICE Immigration and Customs Enforcement (DHS)ILEA International Law Enforcement AcademyINL Bureau of International Narcotics and Law Enforcement Affairs (DOS)INS Immigration and Naturalization ServiceISN Bureau of International Security and Nonproliferation (DOS)ITAR International Traffic in Arms RegulationsITI International Tracing Instrument



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LOGSA Logistical Support Agency (U.S. Army)MANPADS Man-Portable Air Defense SystemsMSAG Multi-national Small Arms and Ammunition GroupNFA National Firearms Act

OAS Organization of American StatesOASGA Organization of American States General AssemblyOSCE Organization for Security and Cooperation in EuropePM Bureau of Political-Military Affairs (DOS)POA United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light

Weapons in All Its AspectsPSSM Physical Security and Stockpile ManagementRECSA Regional Center on Small Arms for the Great Lakes and the Horn of AfricaRLA Regional Legal Advisor

RFA Regional Firearms AdvisorSADC Southern African Development CommunitySASP Small Arms Serialization Program (DOD)SICA Central American Integration SystemUN DDA United Nations Department for Disarmament AffairsUNGA United Nations General AssemblyUSAID U.S. Agency for International DevelopmentUSML U.S. Munitions ListVCI Bureau of Verification, Compliance and Implementation (DOS)

WCO World Customs Organization

U.S. SA/LW online resources:

U.S. Department of StateBureau of Political-Military Affairs (PM)Office of Weapons Removal and Abatement (WRA)http://www.state.gov/t/pm/wra/

Bureau of Arms Control, Verification and Compliance (AVC)http://www.state.gov/t/avc/



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Directorate of Defense Trade Controls (DDTC)http://www.pmddtc.state.gov

Bureau of International Narcotics and Law Enforcement Affairs (INL)

http://www.state.gov/g/inl/

The EXBS Program: Export Control and Related Border Securityhttp://exportcontr.web123.discountasp.net/

U.S. Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF)http://www.atf.gov/firearms/index.htm

U.S. Agency for International Development (USAID)Office of Transition Initiativeshttp://www.usaid.gov/hum_response/oti/

OTI Special Focus Areas: Overviewhttp://www.usaid.gov/hum_response/oti/focus/focus1.html

OTI/Sierra Leone Conflict Diamonds

http://www.usaid.gov/hum_response/oti/country/sleone/confdiam.html

Anti-Corruption Resource Centerhttp://www.usaid.gov/democracy/anticorruption/index.html

U.S. Department of DefensePhysical Security of Sensitive Conventional Arms, Ammunition and Explosiveshttp://www.dtic.mil/whs/directives/corres/pdf/510076m_0800/p510076m.pdf

Defense Threat Reduction Agency SALW Physical Security and Stockpile Management (PSSM) Assistance Programhttp://www.dtra.mil/salw

Documents

United States Support for the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects