Marking, Record-keeping, and Tracing
The International Tracing Instrument, adopted by the UN General Assembly in December 2005, defines small arms tracing as ‘the systematic tracking of illicit small arms and light weapons found or seized on the territory of a State from the point of manufacture or the point of importation through the lines of supply to the point at which they became illicit’.
The first step in any tracing operation is to uniquely identify the weapon on the basis of its physical characteristics and markings. Then, with the cooperation of the states that previously manufactured and imported the weapon, changes in ownership are tracked using available documentary records. The ultimate, but often elusive, goal of tracing is to identify the point in the transfer chain at which the (typically) legal weapon entered the illicit market. The three pillars of marking, record-keeping, and cooperation are essential to successful tracing.
The International Tracing Instrument commits all UN member states to specific marking and record-keeping standards and establishes common rules for tracing cooperation. It does not apply to ammunition, however. Ammunition tracing still relies on an incomplete system of stamping and a patchwork of national regulations.
Small Arms Survey Publications
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Weapons Tracing and Peace Support Operations: Theory or Practice?, March 2012. Issue Brief No. 4
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Ammunition Marking: Current Practices and Future Possibilities, December 2011. Issue Brief No. 3
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The Method behind the Mark: A Review of Firearm Marking Technologies, December 2010. Issue Brief No. 1
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Revealing Provenance: Weapons Tracing during and after Conflict, by James Bevan, 2009. In Small Arms Survey, Small Arms Survey 2009: Shadows of War (Also available in Arabic).
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Ammunition Tracing Kit: Protocols and Procedures for Recording Small-calibre Ammunition, developed by James Bevan, June 2008 (also available in French).
More information
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Conventional Ammunition Marking, by Pablo Dreyfus, 2008. In James Bevan, ed. Conventional Ammunition in Surplus: A Reference Guide, co-published with BICC, FAS, GRIP, and SEESAC with support from the German Federal Foreign Office.
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Conventional Ammunition Tracing, by James Bevan 2008. In James Bevan, ed. Conventional Ammunition in Surplus: A Reference Guide, co-published with BICC, FAS, GRIP, and SEESAC with support from the German Federal Foreign Office.
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Following the Lethal Trail: Identifying Sources of Illicit Ammunition, by Holger Anders, 2006. In Stéphanie Pézard and Holger Anders, eds. Targeting Ammunition: A Primer.
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Connecting the Dots: The International Tracing Instrument, by Glenn McDonald, 2006. In Small Arms Survey, Small Arms Survey 2006: Unfinished Business.
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McDonald, Glenn. 2006. The International Tracing Instrument: Challenges and Opportunities. Paper Presented at PrepCom Side Event (2006 Small Arms Review Conference). United Nations, New York, 13 January.
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Other Publications
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Batchelor, Peter and Glenn McDonald. 2006. Too Close for Comfort: An Analysis of the UN Tracing Negotiations. In Disarmament Forum, 2005/4 - 2006/1. Geneva: UNIDIR.
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Berkol, Ilhan. 2004. Marquage, enregistrement et traçage des armes légères et de petit calibre: projet de convention. Brussels: GRIP.
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Greene, Owen. 2001. Enhancing Traceability of Small Arms and Light Weapons Flows: Developing an International Marking and Tracing Regime. Biting the Bullet. Briefing 5. London and Washington, D.C.: BASIC, International Alert, and Saferworld.
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Berkol, Ilhan. 2000. Marquage et traçage des armes légères: vers l'amélioration de la transparence et du contrôle. Brussels: GRIP.
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WFSA (World Forum on the Future of Sport Shooting Activities). 2000. Firearms Marking: Model Standards and Common Serial Number Codes. Report of the Workshop held in Baia Sardinia (Olbia), Island of Sardinia, Italy, 22-24 June.
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Instruments and Documents
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OSCE (Organization for Security and Co-operation in Europe). 2008. OSCE Handbook of Best Practices on Conventional Ammunition. Vienna: OSCE.
More information
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OAS (Organization of American States). 2007. Model Legislation On The Marking And Tracing Of Firearms. Approved by the Consultative Committee on 19 April.
More information
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UNGA (United Nations General Assembly). 2005. International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (‘International Tracing Instrument’). A/60/88. 27 June (annexe).
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Organization for Security and Co-operation in Europe (OSCE). 2003. Best Practice Guide on Marking, Record-keeping and Traceability of Small Arms and Light Weapons. Handbook of Best Practices on Small Arms and Light Weapons. 19 September. FSC GAL/64/03/Rev 2.
More information
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UN (United Nations). 2003. Final Report by the Group of Governmental Experts on Tracing Illicit Small Arms and Light Weapons. A/58/138. 11 July.
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