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.