EUROPEAN COMMISSION

Brussels, 13.6.2018

JOIN(2018) 17 final

JOINT COMMUNICATION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL

Elements towards an EU Strategy against illicit Firearms, Small Arms & Light Weapons and their Ammunition
"Securing Arms, Protecting Citizens"

1.Introduction

Illicit firearms and small arms and light weapons (SALW) continue to contribute to instability and violence in the European Union, in its immediate neighbourhood, and in the rest of the world. Illicit weapons are fuelling global terrorism and conflicts, thwarting the EU’s development and crisismanagement, humanitarian and stabilisation efforts in parts of the EU’s neighbourhood and Africa. Within the EU, illicit firearms have a clear impact on internal security, by fuelling organised crime and providing terrorists with means to carry out attacks on European soil.

The 2016 United Nations SecretaryGeneral’s report on the illicit trade in small arms and light weapons in all its aspects 1 stated that the number of civil wars in the world had tripled over the previous decade. Armed conflict, often fuelled by the proliferation of illicit SALW, is a key factor in depriving almost 800 million people of sufficient food.

Illicit firearms facilitate trafficking in drugs and human beings through intimidation and coercion, fuel turf conflicts between urban gangs and empower terrorists. Terrorist attacks in Europe have illustrated the link between organised crime and terrorism, notably in the trafficking of firearms, and are a clear indicator of a multidimensional threat involving various areas of crime. Europol’s 2017 Serious and organised crime threat assessment (SOCTA) 2 noted that recent terrorist attacks both inside the EU and elsewhere, carried out by jihadist terrorists using trafficked firearms, had demonstrated the lethal consequences of this illicit trade.

In 2005, the European Council adopted an EU strategy to combat illicit accumulation and trafficking of SALW and their ammunition 3 in support of the UN Programme of Action to prevent, combat and eradicate the illicit trade in small arms and light weapons in all its aspects, as adopted on 20 July 2001. 4 The Commission's 2015 European Agenda on Security 5 identified illicit trafficking in firearms as one of the priorities under the overarching objective of disrupting the activities of terrorists and serious organised crime groups. It was followed by an EU action plan against illicit trafficking in and use of firearms and explosives 6 and a revision of the Union’s regulatory framework on the legal acquisition and possession of firearms. 7

In order to step up at international level to prevent, combat and eradicate illicit trade in SALW in all its aspects, this Joint Communication from the Commission and the High Representative of the Union for Foreign Affairs and Security Policy presents elements for a revised SALW strategy, taking into account the evolving security context, the guiding principles of the 2016 EU Global Strategy, 8 developments in conventional arms control (such as the entry into force of the Arms Trade Treaty (ATT) in December 2014) 9 and actions within the EU implementing the 2015 European Agenda on Security, in order to progress towards a genuine and effective Security Union.

The purpose of a revised strategy is to guide integrated, collective and coordinated European action to prevent and curb illicit SALW and their ammunition by terrorists, criminals and other unauthorised actors, and to promote accountability and responsibility with regard to the legal arms trade.

While the trade in civilian firearms is regulated at EU level 10 , Member States align their positions on the export of SALW, as war materials, under the common foreign and security policy (CFSP) 11 . The legal distinction between civilian and militarygrade firearms becomes irrelevant once they are diverted into the illegal circuit. In order to address this threat in a comprehensive way, this Communication covers both civilian and military-grade firearms.

Military weapons have an indispensable role in the preservation of security, freedom and peace, provided they are used in accordance with International Law, including Human Rights Law and International Humanitarian Law. At the same time, weapons of war are by definition capable of inflicting death and destruction. This ambivalence means that governments that control such weapons must ensure that they are traded in a responsible and accountable way, and prevent their diversion to terrorists, criminals and other unauthorised users in violation of arms embargoes and end-user agreements.

For the purpose of this Communication, the term ‘SALW’ 12 is used when focusing on militarygrade weapons and the term ‘firearms’ 13 is used expressly to include civilian firearms.

2.Countering illicit firearms and SALW: objectives and actions

The effective countering of the illicit manufacture, diversion, trade and trafficking of firearms/SALW and their ammunition requires norm and rule setting, implementation, enforcement and communication by government agencies and national, regional and global actors. It requires action addressing all phases in the lifecycle of firearms/SALW and ammunitions: manufacture, export, stockpiling and disposal.

In line with the Global Strategy for the European Union’s Foreign and Security Policy and its principles 14 as well as the European Agenda on Security, the EU seeks to preserve and protect a peaceful and secure environment for its citizens, and support security and foster development in its neighbourhood and the wider world. To this end, this strategy is guided by the following principles:

·unity – taking a joined-up and coordinated approach across external policies, between Member States and the EU, and between internal and external policies;

·promoting cooperation and partnership at all levels;

·taking responsibility in relation to priority regions, especially those likely to pose a threat to the EU’s security and most likely to benefit from EU action;

·promoting a global rules-based cooperative order with multilateralism as its key principle and the UN at its core, based on respect for International Law, including Human Rights and International Humanitarian Law, with a view to creating a peaceful and sustainable world; and

·incorporating gender and diversity aspects in SALW-control projects and actions.

2.1    Strengthening the normative framework for curbing illicit firearms and SALW

2.1.1.    UN Programme of Action on SALW and International Tracing Instrument

The UN Programme of Action on SALW (UN PoA) 15 continues to provide a comprehensive instrument as the only universal framework to cope with the threat posed by illicit SALW. The International Tracing Instrument (ITI) 16   is a politically binding instrument outlining requirements and providing a global standard on marking, record-keeping, and tracing of SALW. The main objective of the revised EU strategy remains the full and effective implementation of the UN PoA and the ITI at national, regional and global levels. This Communication therefore puts forward measures to improve implementation of the UN PoA at national and regional levels in the EU. It also proposes cooperation and assistance in other regions of the world and at global level.

2.1.2    Arms Trade Treaty

The Arms Trade Treaty (ATT) 17 establishes the highest possible international standards for regulating, or improving the regulation of, international trade in conventional arms (including SALW) and aims to prevent and eradicate illicit trade in conventional arms and prevent their diversion.

2.1.3    UN Firearms Protocol

The purpose of the UN Firearms Protocol 18 is to facilitate and strengthen cooperation in order to prevent, combat and eradicate the illicit manufacture of and trafficking in firearms. The Commission negotiated and signed the protocol on behalf of the EU in 2002. After adopting stronger rules on transfers of civilian firearms both within the Union and elsewhere, the EU was able to ratify it in 2014. 19

2.1.4    UN Sustainable Development Goals

The illicit and uncontrolled spread of SALW threatens to fuel and prolong armed conflicts and armed violence, with adverse effects on good governance, law and order, access to education, healthcare, justice and other civil rights. The links between armed violence, conflict and poor development are well established. With target 16.4 of the UN Sustainable Development Goals (SDGs)  21 states have committed, by 2030, to significantly reduce illicit financial and arms flows, strengthen the recovery and return of stolen assets and combat all forms of organized crime. Therefore, the strategy should aim to mitigate and prevent negative effects on sustainable development from the illicit trade in SALW and their ammunition.

2.1.5     Stronger EU norms

Besides the existing EU norms, the Council is invited to consider a new decision, including improving the traceability of SALW, to improve end-use documentation in SALW export control and to exchange information on diversion. The EU will also continue to propose a standard clause on SALW control in its partnership and trade agreements with other countries. The clause could be updated in line with the new strategy.

2.2    Implementation of norms in the different lifecycle phases of firearms/SALW

2.2.1    Control on firearms and SALW manufacturing

In the EU, the manufacture of firearms and SALW, their parts, accessories and ammunition is well regulated and the rules governing the storage of SALW and their ammunition are designed to minimise diversion risks.

Developments in the design of firearms and SALW such as the increased use of polymer frames and modular design risk undermining the International Tracing Instrument (ITI) which is the global standard on SALW-marking. Action should be undertaken to update the ITI in light of these developments.

The EU encourages and supports research and development on technology and design features aimed at mitigating the risk of firearms and SALW and ammunition diversion, trafficking and unauthorised use. It promotes the application of new technologies for more effective SALW stockpile management, use-control, marking, tagging, recordkeeping and tracing.

2.2.2    Controls on the export of SALW and their ammunition

The EU and its Member States support the implementation and universalisation of the Arms Trade Treaty. Building on the implementation of the Arms Trade Treaty, the EU counters diversion by supporting capacities for identifying points of diversion by means of tracing, making better use of information-exchange systems and mitigating the risk of further diversion by cutting supply to identified diverters in the framework of arms export control.

Unregulated brokering remains a source of SALW diversion. The transnational nature of brokering activities requires international cooperation.

2.2.3    Secure SALW and ammunition stockpile management

The secure management of national small arms and ammunition stockpiles is instrumental in curbing illicit proliferation. Poor stockpile security is a key factor allowing arms and ammunition to be diverted from the licit to the illicit markets. Stockpile security is especially precarious in states affected by violent conflict or weak governance.

2.2.4    Responsible disposal of SALW and their ammunition

Surpluses of SALW and ammunition arise when stockpiles exceed immediate and projected needs. Also, illicit arms that are seized or collected in the context of voluntary collection or disarmament, demobilisation and re-integration campaigns often end up in stockpiles. The only way to eliminate the risk of these surpluses being diverted is to dispose of them responsibly, preferably by destruction as deactivation can be reversible if not performed according to appropriate standards. Before destroying seized and collected firearms their marking must be recorded in order to allow tracing or other investigations into their origins. The Commission has adopted common guidelines on deactivation standards and techniques 27 which can usefully serve as a global template for the secure and irreversible deactivation of firearms.

2.2.5    Cross-cutting issues

The EU and its Member States are committed to improving the coordination of their actions and initiatives in the fight against firearms trafficking, in order to exploit synergies, enhance interoperability between relevant databases and other information systems, and prevent duplication of effort.

Improved information sharing, research, data collection and analysis on the various aspects of firearms trafficking and gun crime are essential to compile a good intelligence picture and to keep up-to-date with evolving security needs. There is a need to improve the use of existing tools and assess possible synergies and interoperability between existing EU and international lawenforcement databases to monitor the trafficking of SALW, inter alia by collecting, analysing and sharing relevant information. Europol and the European Border and Coast Guard Agency (EBCGA) can play a role in this area and further use of the iARMS system should also be encouraged.

2.3    Compliance through monitoring and enforcement

The EU is uniquely placed to help disrupt criminal markets through its legislative and operational work, including police and customs cooperation and funding streams, and through cooperation and engagement with other countries and international organisations in the field of law enforcement 32 . Europol and the European Border and Coast Guard Agency (EBCGA) can play a role in this area.

Operational cooperation is one of the pillars of EU action under the European Agenda on Security. The Europol multiannual policy cycle for organised and serious international crime includes since the 2014-2017 cycle the fight against firearms trafficking among the priority crime areas in which to enhance lawenforcement cooperation. 33 The new (2018-2021) policy cycle for organised and serious international crime has maintained this priority. 34 In 2017, Europol’s weapons and explosives analysis project received substantially more contributions than in 2016, thus proactively supporting investigative action.

Intelligence on firearm/SALW trafficking is also shared through reports from the EU Intelligence Analysis Centre (EU-INTCEN).

2.4    International cooperation and assistance

2.4.1    At international level

At international level, the EU supports effective cross-border cooperation between judicial and lawenforcement agencies to ensure authorities’ full participation in exchanging information with Europol in the area of firearms trafficking. It aims to avoid duplication of efforts, ensure coordination with other bilateral, regional and multilateral initiatives, and improve cooperation in investigations of trans-border crimes. The EU is a top donor for SALW-control cooperation and assistance to other countries and regional organisations through its Council Decisions and dedicated support through the Instrument contributing to Stability and Peace (IcSP) 35 and other instruments. The EU supports the implementation of the UN Programme of Action against illicit SALW, the Arms Trade Treaty and the Firearms Protocol. Although genderbased violence with firearms and SALW in any case constitutes a violation of human rights law and international humanitarian law, the Arms Trade Treaty contains explicit provisions to address the risks of firearms being used in that context. UN Security Council resolutions 36 specifically call for the empowerment of women in efforts to prevent, combat and eradicate the illicit transfer, destabilising accumulation and misuse of SALW.

The EU already supports the monitoring of illicit SALW flows in conflictaffected areas, in order to identify the most effective ways to cut the supply. Data obtained through the identification and tracing of illicit SALW and ammunition helps improve arms export control, inter alia through improved risk assessment, end-user certification and end-use monitoring.

2.4.2     At regional level

At regional level, the EU and its Member States will strengthen lawenforcement capabilities in order to identify, disrupt and interdict trafficking networks and prevent firearms from reaching terrorists and criminals via the illicit market, inter alia by blocking the illicit financing and transport of arms and enhancing the role of border police, customs and port authorities in tackling illicit arms flows by maritime transport. Due to the cross-border nature of arms trafficking, it is particularly important to involve neighbouring countries, even if they are not directly affected.

The EU will encourage links between lawenforcement actors dealing with arms trafficking and arms trade and export control authorities, to ensure that information on the major routes of illicit flows into Europe is shared, in order to prompt preventive or remedial action. Action will include fostering information exchange, direct communication between investigative bodies, jointly planned investigations and swift implementation of cooperation requests, all within the established legal framework. There will be a particular focus on transborder cooperation with the southern and eastern neighbourhoods.

Europol will give special consideration to support for efforts by Member States’ police and customs authorities, and Union bodies, nonEU countries and international organisations to prevent and combat the forms of criminality within its mandate associated with the illicit activities of criminal organisations and individuals involved in the illegal possession of and trafficking in SALW, including ammunition, parts and components.

The EU will strengthen its dialogue and cooperation with regional organisations working on SALW control, by aligning its activities with regional strategies and action plans.

Western Balkans

In line with the strategic goals set out in the Commission’s Communication on 'A credible enlargement perspective for and enhanced EU engagement with the western Balkans' (Flagship initiative 2; security and migration), 37 the EU will continue its support for the UNDP SouthEastern and Eastern Europe Clearinghouse for the control of Small Arms and Light Weapons (SEESAC), maintain cooperation with relevant regional organisations in the field of SALW control and take into account regional initiatives such as the Roadmap addressing illicit SALW in the Western Balkans. More broadly, it will continue to invest in the prevention and resolution of regional conflicts through a broad range of instruments and policies. This strategy focuses on conventional arms control, which is an essential component of broader conflict prevention and counterterrorism policies.

While significant progress has been made in recent years, especially in southeast Europe, the scale of accumulation of SALW and ammunition, inadequate storage conditions, widespread illicit possession and gaps in implementation continue to limit the effectiveness of firearms/SALW control efforts in parts of the western Balkans. In order to address more effectively the supply of illicit firearms and the large stockpile of weapons, priority will be given to surplus destruction, the documenting and tracing of illicit SALW, information-sharing through the use of European, regional and global information exchange channels (e.g. Europol, Interpol), and the setting-up and conduct of joint operations.

Eastern Neighbourhood

The current instability in Eastern Europe has raised the level of illicit trafficking of firearms in various countries in the region, such as Ukraine. This presents a significant longterm security threat to both Ukraine and the EU. Cooperation between the EU and Ukraine on this issue is thus of mutual interest. The EU is pursuing its bilateral engagement with Ukraine and other countries in the region and systematically integrates the fight against illicit SALW into any dialogue on security matters with partner countries in the neighbourhood.

Southern Neighbourhood

The protracted armed conflicts with wide regional repercussions in the Middle East and North Africa (MENA) continue to be fuelled by diversion and trafficking of SALW. Illicit SALW in this region have many sources, including poorly secured stockpiles and SALW originating from EU Member States’ licit production and authorised export and subsequently diverted to unauthorised end-users

The EU’s 2018-2021 policy cycle for organised and serious international crime includes specific operational actions in those regions to improve cooperation on the illicit trafficking of firearms. Deeper bilateral cooperation is essential to counteracting more effectively the transnational dimension of illegal trafficking in firearms across the region. EU-MENA coordination in this field should therefore be encouraged, bearing in mind the need to avoid duplication of effort and to ensure coherence and coordination with existing initiatives supported or funded by the EU.

Americas

3.Follow-Up and Conclusion

This Joint Communication presents elements for a shared understanding and a common way forward for the EU on how to address the threat of illicit firearms and SALW and their ammunition, a set of actions to be taken by the EU and its Member States within the EU's borders, and proposals for cooperation and assistance for SALW control in the EU’s neighbourhood and the rest of the world.

The Commission and the High Representative of the Union for Foreign Affairs and Security Policy invite the Council to adopt an EU Strategy against illicit firearms and small arms and light weapons (SALW) and their ammunition, that covers both civilian and military-grade firearms to address the threat comprehensively, based on the elements presented in this Joint Communication.

The EEAS and the Commission will produce annual progress reports on the implementation of the Strategy.

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(1)

      https://s3.amazonaws.com/unoda-web/wp-content/uploads/2016/10/english.pdf

(2)

      https://www.europol.europa.eu/socta/2017/  

(3)

     Council 5319/06 http://register.consilium.europa.eu/doc/srv?l=EN&f=ST%205319%202006%20INIT

(4)

     A/CONF.192/15.

(5)

     The European Agenda on Security, Commission Communication to the European Parliament and the Council (COM(2015) 185 final, 28.4.2015).

(6)

     Implementing the European Agenda on Security: EU action plan against illicit trafficking in and use of firearms and explosives, Commission Communication to the European Parliament and the Council (COM(2015) 624 final, 2.12.2015).

(7)

      Directive 91/477/EEC on control of the acquisition and possession of weapons (OJ L 256, 13.9.1991, p. 51) and Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations’ Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition (OJ L 94, 30.3.2012, p. 1).

(8)

      https://europa.eu/globalstrategy/en/global-strategy-foreign-and-security-policy-european-union  

(9)

     http://treaties.un.org/doc/Treaties/2013/04/20130410%2012-01%20PM/Ch_XXVI_08.pdf#page=21 

(10)

     See footnote 7

(11)

Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports

of military technology and equipment. The intra-EU transfer of military technology and equipment is subject

to Directive 2009/43/EC

(12)

Small arms and light weapons (SALW) and their ammunition are militarygrade weapons; they include:

(a)    small arms: assault rifles; militarygrade semi-automatic rifles and carbines; militarygrade revolvers and self-loading pistols; light machine guns; sub-machine guns, including machine pistols;

(b)    light weapons: heavy machine guns; cannons, howitzers and mortars of less than 100 mm calibre; grenade launchers; recoilless guns; shoulder-fired rockets and other anti-tank and air defence systems that fire projectiles, including MANPADS, all on condition they are man- or crewportable;

(c)    SALW parts;

(d)    SALW accessories (such as night scopes, sound suppressors, etc.); and

(e)    SALW ammunitions.

This definition does not prejudge any future internationally agreed definition of SALW.

(13)

     The term ‘firearms’ has a broader scope that covers both civilian and militarygrade firearms. The UN firearms protocol defines a firearm as any portable barrelled weapon that expels, is designed to expel or may be converted to expel a shot, bullet or projectile by the action of an explosive, excluding antique firearms or their replicas. It should be noted that some light weapons, such as rocket launchers, are not firearms. Hence the term ‘firearms’ does not cover all SALW.

(14)

      https://europa.eu/globalstrategy/sites/globalstrategy/files/pages/files/eugs_review_web_13.pdf

(15)

      http://www.un.org/events/smallarms2006/pdf/192.15%20(E).pdf  

(16)

      http://www.poa-iss.org/InternationalTracing/InternationalTracing.aspx

(17)

  https://www.un.org/disarmament/att/

(18)

     Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the UN Convention against transnational organised crime (UNTOC);    
http://www.unodc.org/unodc/en/firearms-protocol/the-firearms-protocol.html  

(19)

     OJ L 89, 25.3.2014, p. 7.

(20)

     COM(2018) 2197 final.

(21)

      https://www.un.org/sustainabledevelopment/sustainable-development-goals/  

(22)

  Art.13.5 of the Directive 91/477 requires the adoption of this implementing act by 14 September 2018.

(23)

     Article 10.4 to be adopted by 14 September 2018 of Directive (EU) 2017/853 of the European Parliament and of the Council of 17 May 2017 amending Council Directive 91/477/EEC on control of the acquisition and possession of weapons (OJ L 137, 24.5.2017, p. 22).

(24)

   COM(2017) 737 final of 12.12.2017.

(25)

     Online platform for information exchange between Member States' Export Control authorities established under the COARM Council Working Party on Arms Exports. The Working Party on Conventional Arms Exports handles work concerning export controls for conventional arms. It also works as a forum, where the member states communicate and share information on their export policies to non-EU countries, and on national denials of applications for export licenses to non-EU countries.

(26)

  C(2018) 2197 final of 17.4.2018

(27)

     Commission Implementing EU) 2018/337 of 5 March 2018 amending Implementing Regulation (EU) 2015/2403 establishing common guidelines on deactivation standards and techniques for ensuring that deactivated firearms are rendered irreversibly inoperable (OJ L 333, 19.12.2015, p. 62).

(28)

   Stronger and smarter information systems for borders and security, Commission Communication to the European Parliament and the Council (COM(2016) 205 final, 6.4.2016).

(29)

      https://www.interpol.int/Crime-areas/Firearms-trafficking/INTERPOL-Illicit-Arms-Records-and-tracing-Management-System-iARMS  

(30)

EU action plan against illicit trafficking in and use of firearms and explosives, 2nd December 2015,

COM(2015), 624 final

(31)

     https://ec.europa.eu/home-affairs/financing/fundings/security-and-safeguarding-liberties/internal-security-fund-police_en

(32)

     For the purpose of this strategy, the term ‘law enforcement’ refers to the activity of police, border and coast guards, and customs.

(33)

     Council conclusions on the creation and implementation of an EU policy cycle for organised and serious international crime (doc. 15358/10 COSI 69 ENFOPOL 298 CRIMORG 185 ENFOCUSTOM 94, 10.6.2011).

(34)

     Council conclusions on the implementation of an EU policy cycle for organised and serious international crime (2014-2017) (doc.12095/13, 7.6.2013).

(35)

     Regulation (Eu) No 230/2014 of the European Parliament and of the Council of 11 March 2014

(36)

     UN Security Council Resolution 1325 (2000) and subsequent resolutions on women, peace and security, e.g. UNSCR 2242 (2015).

(37)

     COM(2018) 65 final of 6.2.2018 and annex

(38)

     EMPACT – European Multidisciplinary Platform against Criminal Threats.

(39)

   The conclusions referred to ‘the need for effective and intense regional and international cooperation, including with Europol and Eurojust, without prejudice to Member States’ positions on status’.

(40)

   CFSP-funded programme, 2017-2019, EUR 6 508 136.

(41)

     IPA 2017-2019, EUR 13 million: Deutsche Gesellschaft für internationale Zusammenarbeit (GIZ).

(42)

     IPA 2015-2019, EUR 2 million: UNODC.

(43)

     Joint proposal for a Council Decision on the Union position within the Association Council set up by the Euro-Mediterranean Agreement establishing an association between the European Communities and their Member States, of the one part, and the Kingdom of Morocco, of the other part, with regard to the adoption of a recommendation on the implementation of the EU-Morocco action plan implementing the advanced status (2013-2017) (/* JOIN/2013/06 final - 2013/0107 (NLE)).

(44)

     https://www.euromed-police.eu/

(45)

     https://www.conflictarm.com/itrace

(46)

     http://www.g5sahel.org/

(47)

     https://issafrica.org/pscreport/uploads/AU%20Roadmap%20Silencing%20Guns%202020%20pdf%20en.pdf

(48)

     http://www.un.org/en/africa/osaa/pdf/au/cap_smallarms_2000.pdf

(49)

     https://www.unrec.org/docs/Strategy%20Final.pdf

(50)

     According to a 2013 UNODC study, intentional homicide caused the deaths of almost half a million (437 000) people across the world in 2012. Over a third of those (36 %) occurred in the Americas. Almost half of all homicide victims are aged 15-29 and the use of firearms is particularly prevalent in the region, where two thirds (66 %) of homicides are committed with guns.