UNITED NATIONS. National Report Concerning the Application of the

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1 Federal Department of Defence, Civil Protection and Sport DDPS Swiss Armed Forces Staff of the Chief of the Armed Forces Staff SCAF UNITED NATIONS National Report Concerning the Application of the 'Programme of Action to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All Its Aspects' and the Implementation of the 'International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons' Switzerland 31 January 2010

2 Introduction: In accordance with the invitation of the Office for Disarmament Affairs of the 11 December 2009 (ODA/ /SALW-BMS) Switzerland has the honor to present its national report on the implementation of the named document. The structure of the present report is based on the report of Switzerland On the Implementation of the International Instrument submitted on 21 April 2008 and the report of Switzerland On the application of the United Nations Programme submitted on 31 December It provides information on the following points: 1. Point of Contact 2. On the implementation of the International Instrument to enable States to identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons: a) Measures taken to appropriately mark all small arms and light weapons (SALW) in the possession of government armed and security forces for their own use b) Measures taken by the manufacturers of SALW under the jurisdiction of the reporting State to hinder the removal or alteration of markings c) Measures taken to ensure that accurate and comprehensive records are established for all marked SALW within the territory of the reporting State, as foreseen in the relevant paragraphs of the Instrument d) Existing or newly adopted regulations and administrative procedures needed to ensure the effective implementation of the Instrument e) Difficulties encountered by the reporting State and support needed for the implementation of the Instrument f) Updated national marking practices related to markings used to indicate country of manufacture and/or country of import as applicable g) Cooperation in tracing h) Cross-cutting issues 3. On the application of the United Nations Programme of Action to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All Its Aspects. 2/37

3 1. Point of Contact The Multilateral Peace Policy Section within the Federal Department of Foreign Affairs acts as Point of Contact for the implementation of the UN PoA. Tel: Fax: On the implementation of the International Instrument to enable States to identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons a) Measures taken to appropriately mark all small arms and light weapons (SALW) in the possession of the government armed and security forces for their own use Since SALW of the police forces fall within the scope of cantonal authorities, this information exchange refers only to SALW of the Swiss Armed Forces. Cf. annex 1 i. Introductory Remarks As a rule, Personal Firearms are defined as small arms given to the members of the Swiss Armed Forces as part of personal equipment, such as the 9 mm model 49 pistol, the 9 mm model 75 pistol, the 7.5 mm model 57 assault rifle or the 5.6 mm model 90 assault rifle. The Swiss Armed Forces also provide small arms to Armed Forces personnel for private use in shooting clubs, to approved shooting clubs for instruction (e.g. young marksmen course) and to participants in shooting sports events in accordance with the Ordinance of the DDPS on Target Practice of 11 December 2003 (SR ). This is notably the case with the 7.5 mm model 57 and the 5.6 mm model 90 assault rifles, as well as the 9 mm model 75 pistol. Collective Firearms" are small arms or light weapons handed over for temporary use to military training schools, military units and formations for engagement in training or missions (e.g. submachine guns, machine guns, portable missile launchers, MANPADS etc.). ii. Basic markings The serial number for "personal long guns or handguns", as well as for "collective long guns or handguns" - which above all consist of pistols and assault rifles is based on the General Staff Directives of 1977, which were published at the time of the acquisition of the 9 mm model 75 pistol. This numbering enables the identification of a weapon exclusively by means of the weapon s number (first digit), without knowledge of the type of weapon. Furthermore, this numbering simplifies the registration of weapons. These directives were also applied, mutatis mutandis, at the time of the acquisition of 5.6 mm model 90 assault rifles. But they did not apply to the purchase of the following light weapons: - For the 40 mm grenade launcher for the 5.6 mm model 90 assault rifle a separate directive called for the application of a 5-digit number. - For the 9 mm model HK5 sub-machine gun (Heckler und Koch) the weapon number was applied by the manufacturer. iii. Additional marking In order to be able to identify SALW of the Armed Forces without any risk of error, the Defense 3/37

4 Procurement Agency called for new markings to distinguish Swiss Armed Forces' pistols and assault rifles, in addition to the weapon number. These markings provide information on four other issues, namely: - The letter A for Armed Forces - The shield with the Swiss cross (= service weapon) - The letters W+K (= weapon approved by the Federal Weapons Control Agency) - The proof firing stamp These additional markings have been applied to 9 mm pistols (models 49 and 75), the 7.5 mm model 57 and the 5.6 mm model 90 assault rifles. The decision on the specific marking method is taken by armasuisse in consultation with the Armed Forces Planning Staff, taking into account the following factors: - The quantity of weapons to be manufactured - The manufacturer s marking and numbering - The possibility of applying markings at the time of manufacture (including cost) The final decision concerning a particular marking technique (die stamping, engraving, laser, etc.) is taken by the Armed Forces Planning Staff. armasuisse is responsible for its application throughout the acquisition process. The weapons are supplied to the Armed Forces together with a statement of account. Once the weapons have been introduced, the Armed Forces Logistics Organization, or in special cases the Air Force Logistics, has the overall responsibility for accounting as well as for the maintenance and repair of defective markings. b) Measures taken by the manufacturers of SALW under the jurisdiction of the reporting State to hinder the removal or alteration of markings Article 18a, para. 1 of the Weapons Act (WA), 1 which entered into force on 12 December 2008, requires manufacturers of firearms, essential components thereof, and weapons accessories to mark such items individually and thus render them identifiable and traceable. Article 18a, para. 2 WA also covers imported firearms, requiring them to be marked individually. Under article 33, para. 1(f) WA, manufacturers and arms traders not observing the legal marking requirement are liable to imprisonment not exceeding three years or a fine. If done with intent and profit, such acts are punishable by imprisonment not exceeding five years. Art. 20 of the WA prohibits the alteration or removal of markings and foresees the concurrent sanction according to art. 33, para. 1(a). All arms belonging to the Swiss Armed Forces have been marked in a way that can only be altered or removed by mechanical methods. c) Measures taken to ensure that accurate and comprehensive records are established for all marked SALW within the territory of the reporting State, as foreseen in the relevant paragraphs of the Instrument Generally, RUAG Components a state owned company - is the contractor for destruction of SALW of the Armed Forces and is charged for record keeping by the executive agency armasuisse; the overall responsibility for life cycle management remains within the Armed Forces Planning. Generally, these records are kept for ten years after destruction, after which the records are eliminated in accordance and with the permission of armasuisse. This data is stored in electronic and paper form and is accessible only to authorized personnel of RUAG Components and arma- 1 Federal Act on Weapons, Weapons Accessories and Ammunition (Weapons Act, WA; SR ) 4/37

5 suisse. Hence, military offices do not have direct access to this information. According to art. 21 WA manufacturers are required to keep records of manufacture, acquisition and transfer of SALW for ten years, and to hand over the record books to cantonal authorities after this period of time. Non-compliance with this obligation is sanctioned in accordance with art. 33, para. 1 (d) WA. Each canton has a competent authority which grants permission to individuals for the acquisition of weapons. Information about the weapons, purchaser and seller are kept in a computerized database. Data regarding the transfer of SALW of the Armed Forces to private property is kept for 20 years. d) Existing or newly adopted regulations and administrative procedures needed to ensure the effective implementation of the Instrument See remarks under 2 b. It is foreseen that on 28 July 2010 a revision of the weapons act will enter into force and will bring further improvements regarding marking, registration and recordkeeping of firearms. Switzerland is currently adapting its WA to the requirements of the Schengen Agreement. e) Difficulties encountered by the reporting State and the support needed for the implementation of the Instrument N/A f) Updated national marking practices related to markings used to indicate country of manufacture and/or country of import as applicable Obligation to mark (see remarks under 2 b). Article 31, para. 1 of the Weapons Ordinance (WO) 2 specifies the marking. It must consist of a unique numeric or alphanumeric code and must provide the country of manufacture or the name of the manufacturer and the year of manufacturing. It is foreseen that the revision will enter into force on 28th July g) Cooperation in tracing See the Report of Switzerland UNPoA National Report on the Implementation of the 'United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects', Switzerland, 31 December 2009, see hereafter under point 3. h) Cross-cutting issues See the Report of Switzerland UNPoA National Report on the Implementation of the 'United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects', Switzerland, 31 December 2009, see hereafter under point 3. 2 Ordinance on Weapons, Weapons Accessories and Ammunition (Weapons Ordinance, WO; SR ). 5/37

6 3. On the application of the United Nations Programme of Action to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All Its Aspects Executive Summary Switzerland has always been very active in preventing, combating and eradicating the Illicit trade in small arms and light weapons in all its aspects. It is active on the international level within the UN (e.g. at the Third Biennial Meeting of States to Consider the Implementation of the Programme of Action), in regional fora such as the OSCE (i.e. the OSCE Document on Small Arms and light Weapons and the OSCE Document on Stockpiles of Conventional Ammunition as well as OSCE Best Practice Guides) as well as on a bilateral basis. Switzerland is implementing pertinent international agreements. It has provided substantial financial help, and has developed and offered different training courses for SALW-experts. A) NATIONAL LEVEL 1. National coordination agency The Multilateral Peace Policy Section within the Federal Department of Foreign Affairs acts as national coordination agency for the implementation of the UN PoA. Phone: Fax: pa4-multilaterale-friedenspolitik@eda.admin.ch 2. National point of contact The Multilateral Peace Policy Section within the Federal Department of Foreign Affairs acts as national point of contact for the implementation of the UN PoA. Phone: Fax: pa4-multilaterale-friedenspolitik@eda.admin.ch 3. Legislation, regulations, administrative procedures i) What national laws, regulations and administrative procedures exist to exercise effective control over SALW in the following areas? (PoA, II.2) Since SALW in holdings of police forces are subjected to cantonal authority, this information exchange refers only to SALW of the Swiss Armed Forces and firearms subject to Federal Acts. Therefore, SALW held by the various police forces of the cantons are excluded. 6/37

7 National Laws, Regulations and Decrees Area Law/Regulation/Decree Date General Federal Act on Weapons, Weapons Accessories and Ammunition (Weapons Act, WA) Ordinance on Weapons, Weapons Accessories and Ammunition (Weapons Ordinance, WO) Federal Act on War Material (WMA) Ordinance on War Material (WMO) Federal Act on the Control of Goods (CGA) Ordinance on the Control of Goods (CGO) 20 June July December February December June Production The production of firearms falls within the scope of WA and is subject to an arms trading license. Arms traders are required by law to keep manufacturing and sales data on record for ten years. Records are to be handed over to the responsible cantonal authorities. Arms manufacturers are required by law to mark items individually, and arms traders must keep records on the sale of arms. These records must be kept for ten years, after which time they are to be handed over to the competent cantonal authorities. The manufacture of SALW which are not firearms falls within the scope of WMA. Anyone who wishes to manufacture SALW under WMA on Swiss territory requires an initial license. The initial license is granted to natural or legal persons if the applicant offers the required guarantee for the proper conduct of their business affairs and if the intended activity is not contrary to national interest. If at any time these conditions are no longer met, the license may be revoked. 7/37

8 Export In accordance with WMA, the authorization requirements for the export of SALW consist of an initial license for general access to this activity and a specific license for each individual case. Specific export licenses are granted by the State Secretariat for Economic Affairs (SECO) after consultation of the Federal Department of Foreign Affairs (FDFA), which evaluates whether all necessary peace and human rights criteria foreseen in WMO have been met (see point 7i). In general, such authorization is granted only in case of deliveries to a foreign government or a company employed by a foreign government, and only if the latter has submitted an end-user certificate. As a general rule, an export license may be granted only if a declaration is provided by the foreign government stating that the material will not be re-exported (non-re-export declaration). In important cases SECO stipulates the right to conduct Post-Shipment Verification (PSV). The checks shall ensure that the war material arrived at the intended destination and is used for the purposes stated in the export license. Certain firearms (i.e. hunting and sports weapons) are not subject to the WMA. Exports of such firearms destined to Schengen member states fall within the scope of the CGA. If the end-user is neither a state entity nor a company acting on behalf of a foreign government, the exporter has to demonstrate according to the WMO, that either an import license has been issued by the country of final destination or that no such license is required. Additionally, for certain SALW (assault rifles, grenade launchers, sub-machine guns, and light machine guns; from 50 items upwards) a confirmation is required that the transferred weapons are to be sold only on the domestic market. Import The licensing authority for the import of SALW which are not firearms, such as heavy machine guns, is SECO. The import of war material requires a specific import license and shall be authorized if it is not contrary to international law or national interests. Both the commercial and non-commercial importation of firearms into Switzerland is subject to license. The licensing authority for the import is the Federal Office of Police (fedpol). Such a license is awarded only if applicants are authorized to acquire the weapons in question. Likewise, firearms destined for importation into Switzerland must be marked individually. Depending on the kind of SALW to be imported, applications for importation authorization must be accompanied by various documents: Weapons purchase permit or written contract of sale; excerpt from judicial criminal records; copy of a valid passport or piece of ID; official confirmation attesting to the purchaser's right to purchase abroad. Transit The transit of SALW is regulated in a manner similar to export under the legislation on war material and on the control of goods. WMA stipulates that such transit is subject to authorization in the same way as exports and under the same conditions. The authorization criteria are identical to those which apply to decisions on exports. Exceptions to the normal procedures include persons travelling by air carrying firearms for their personal use and security agents accompanying official visits. GCO prohibits the transit of SALW in cases where their export is restricted by the country of origin. SECO shall also prohibit transit if there is reason to assume that transit violates the international control measures supported by Switzerland. 8/37

9 Retransfer (Re-Export) As a general rule, an export license may be granted only if a declaration is provided by the foreign government stating that the material will not be re-exported (non-reexport declaration). In important cases SECO stipulates the right to conduct PSV. The checks shall ensure that the war material arrived at the intended destination and is used for the purposes stated in the export license. Administrative Procedures Area Administrative Procedures In place since Production See above (National Laws, Regulations and Decrees) Export See above Import See above Transit See above Retransfer (Re-Export) See above ii) What national measures exist to prevent the manufacture, stockpiling, transfer and possession of unmarked or inadequately marked SALW? How have these been implemented? (PoA, II.8) Article 18a, para. 1 WA requires manufacturers of firearms, essential components thereof, and weapons accessories to mark such items individually and thus render them identifiable and traceable. Article 18a, para. 2 WA also governs imported firearms, requiring them to be marked individually. Under article 33, para. 1(f) WA, manufacturers not observing the legal marking requirement are liable to imprisonment not exceeding three years or a fine. iii) Please describe how national laws, regulations and procedures that impact on the prevention, combating and eradication of the illicit trade in SALW in all its aspects are made public. (PoA, II.23) The pertinent Swiss laws are issued in three official languages (German, French and Italian) - some texts additionally in English and are available online at The public is kept informed on amendments of laws and regulations at various points in time, for example, when the Federal Council adopts the text of a law or regulation, after Parliament has considered amendments, and by the time amendments become law. The homepage of fedpol contains links to ample information on weapons legislation at 4. Law enforcement/criminalization i) What national legislative or other measures exist to make the illegal manufacture, possession, stockpiling and trade of SALW criminal offences under domestic law? How have these measures been implemented? (PoA, II.3) 9/37

10 National criminal offences relating to illicit SALW Area Law / other measure Date General Violations of the WA will be prosecuted according to article 33, para. 1(a) WA. Among other offences, the illegal manufacture of, possession of, and trafficking in firearms and their components will be punished by imprisonment not exceeding three years or a fine. If done with intent and profit, such acts are punishable by imprisonment not exceeding five years. Violations of the WMA will be prosecuted according to article 33 WMA. Criminal sanctions provided are imprisonment up to 3 years or fines up to 1 million Swiss francs. In serious cases, the penalty is imprisonment up to 10 years, which may be combined with a fine up to 5 million Swiss francs. Any form of willful aiding and abetting will also be penalized by imprisonment and/or a fine. If the act is committed through negligence, the penalty is imprisonment for up to 6 months or a fine of up to Swiss francs. Manufacture See above Possession See above Stockpiling See above Trade See above ii) Have those groups and individuals engaged in the illegal manufacture, trade, stockpiling, transfer, possession, as well as financing for acquisition, of illicit SALW been identified, where applicable? What action has been taken under appropriate national law against such groups and individuals? (PoA, II.6) Enforcement of the WA falls within the competence of the cantons. Investigations concerning illegal manufacture, trade, possession, stockpiling (among others), are carried out by the competent cantonal authorities (i.e. police, prosecutors etc.). The Central Office for Weapons of fedpol within the Federal Department of Justice and Police (FDJP) operates a database of persons with confiscated weapons. iii) What national measures have been taken, including legal or administrative means, against activity that violates a United Nations Security Council arms embargo in accordance with the Charter of the United Nations? (PoA, II.15) UN arms embargoes are implemented by sanctions ordinances which are based on the Federal Act on the Implementation of International Sanctions of 22 March 2002 (Embargo Act). The Embargo Act is a framework legislation whereas the individual sanctions ordinances adopted by the Federal Council (the Swiss government) stipulate the specific measures and prohibitions in place against certain countries, certain individuals, groups or entities. There are currently eleven ordinances implementing UN arms embargoes. 10/37

11 National measures for the enforcement of UN Security Council arms embargoes Area Legal means Date Enforcement of UNSC arms embargoes Federal Act on the Implementation of International Sanctions (Embargo Act) Implementing sanctions ordinances 22 March 2002 (adopted) 1 January 2003 (entered into force) In general, the embargoes stipulated in the ordinances prohibit the sale, supply and transfer of all arms and related material to the targets as well as all services related to such sale, supply and transfer and to the manufacture, maintenance or use of such arms, as well as all services related to military activities. The Sanctions Unit within SECO informs the export licensing units of SECO as well as the Federal Customs Administration (FCA) on arms embargoes in effect. The FCA instructs the custom border posts to intercept embargoed items. Violations of arms embargoes carry a maximum penalty of 10 years imprisonment. All sanctions ordinances and changes to them are published in the Official Corpus of Federal Law which is available online and in hardcopy. A list of embargoed targets can be found at: 5. Stockpile management and security i) What national standards and procedures exist for the management and security of SALW stocks held by armed forces, police or other authorized bodies? (PoA, II.17) The stockpile location criteria are defined in the Federal Department of Defence, Civil Protection and Sport (DDPS) security concept, and are based on a systematic analysis of all active and passive risks (earthquake zone, threat situation, exposure, etc.) and the resulting planning and implementation of measures. In addition, costs and efficiency have to be optimized as far as possible. Stockpile locations may be underground or on the surface, and may be located in central, protected zones or in outlying areas. As a general rule, arsenals (including depots) are equipped with a specially constructed security room (20 cm reinforced concrete walls, armor-plated doors, no other apertures and a calculated resistance time), in which pistols, assault rifles, sub-machine guns, machine guns up to a maximum caliber of 9 mm, and 40 mm gun sights are stored. The applicable legal provisions are those of the Federal Act on the Protection of the Environment (Environmental Protection Act, EPA, article 10) dated 7 October They stipulate that, for facilities that may cause severe harm to human beings or the environment as a result of extraordinary occurrences, the necessary safety distance has to be maintained and technical safety precautions have to be taken. Furthermore, monitoring of the facilities has to be guaranteed, and regulations for dealing with emergencies have to be in place. ii) How often are stocks of SALW held by armed forces, police and other authorized bodies reviewed? (PoA, II.18) See 5. i). Stocks of SALW can be controlled at any time. 11/37

12 iii) How are those stocks of SALW held by armed forces, police and other authorized bodies that are surplus to requirements identified? (PoA, II.18) On federal level (i.e. SALW of the Armed Forces) the Armed Forces Staff (AFS) is responsible for the management of the entire life cycle of SALW of the Armed Forces, from the definition phase right up to the actual disposal. Therefore, the AFS is the government agency authorized to define and identify SALW surplus stocks based on military criteria. On behalf of the AFS, armasuisse (formerly the Defence Procurement Agency), a departmental unit of the DDPS, supervises system management throughout the entire life cycle, including the disposal process after decommissioning. 6. Collection and disposal i) Please give details of any national programmes that have been established and implemented for the responsible disposal of surplus stocks of SALW held by armed forces, police and other authorized bodies. (PoA, II.18) On federal level (i.e. SALW of the Armed Forces) the Armed Forces Planning is the responsible agency for the entire life cycle management of SALW of the Armed Forces, from the definition phase right up to the actual disposal (see picture). Therefore, the Armed Forces Planning is the government agency authorized to define and identify SALW surplus stocks based on military criteria. On behalf of the Armed Forces Planning, armasuisse (formerly the Defence Procurement Agency), a departmental unit of the DDPS, supervises system management throughout the entire life cycle, including the disposal process after decommissioning. armasuisse entrusts the task of eliminating SALW of the Armed Forces either to RUAG Components disposing the specific SALW at a civilian private certified recycling company under the supervision of its representatives and keeps a protocol on destruction, or in case of special SALW to RUAG Land Systems. Generally SALW will be shredded. However, not all SALW seized by the police forces are necessarily destroyed because there are also other procedures of disposal. Disposal Process of Identified SALW Surplus Guidelines / Recommendations (e.g. OSCE BPG) National Prerogative International Regulations Norms, Definitions (e.g. OSCE, EU Joint Action) Seized and Confiscated (EJDP) Legitimate Surplus Surplus Identified & Awaiting Destruction Effective / Real Surplus not Needed but not yet Identified Stockpile Management Disposal Process Stockpile Management Destruction Sale Upgrade / Transformation Conversion Transfer to Private Property Melting Shredding Deforming Cutting 12/37

13 ii) Is destruction the means used to dispose of such stocks? (PoA, II.18) See 6 i) iii) What national measures exist to safeguard such stocks prior to their disposal? (PoA, II.18) See 5. i). iv) Subject to the exceptions set out in paragraph II.16 of the UN Programme of Action, are all confiscated, seized or collected SALW destroyed? (PoA, II.16) See 6 i) v) What methods has your country used to destroy surplus stocks of SALW designated for destruction? (If appropriate, please make reference to the report of the UN Secretary-General (S/ /1092) of 15 November ) (PoA, II.19) See 6.i). vi) Please give details of any information on SALW confiscated or destroyed within your jurisdiction that is submitted to relevant regional and international organizations. (PoA, II.23) The WA does not contain regulations concerning the method of destruction of confiscated SALW. In Switzerland, confiscated weapons are generally shredded. Information about illegal arms trafficking, - transfer and ways are exchanged within the European Firearms Expert Group (EFE) of which the Central Office Weapons of fedpol is a member. 7. Export controls i) Please describe the system of export and import licensing or authorization, as well as measures on international transit, used by your country for the transfer of all SALW. (PoA, II.11) In accordance with WMA, the authorization requirements consist of an initial license for general access to the activity and a specific license for each individual case. Anyone who wishes to manufacture war material on Swiss territory or wishes to trade or broker war material on a professional basis requires an initial license. The initial license is granted to natural or legal persons if the applicant offers the required guarantee for the proper conduct of their business affairs and if the intended activity is not contrary to national interest. Specific licenses are required for the import, export, transit, brokerage and trading of war material. In addition, there is also a specific license required to enter into agreements relating to the transfer of intellectual property, including know-how, or the granting of rights thereto. ii) Please describe the national laws, regulations and administrative procedures used by your country to ensure effective control over the export and transit of SALW. How are these measures implemented? (PoA, II.12) Within the scope of WMA (recipients abroad), SECO is the licensing authority for trade in war material, manufacture, brokerage, import, export and transit of war material. SECO is also the licensing authority for the transfer of intellectual property, including know-how. The export of SALW under WMA requires, in addition to an initial license, a specific export license 13/37

14 which is granted by SECO after consultation of the FDFA (article 14 para. 2 WMO). If the offices involved do not reach an agreement, the license application will be submitted to the Swiss Federal Council for decision (article 14 para. 4 WMO). In addition, the Federal Council decides on applications that are of substantial importance to foreign or security policy (article 29 para. 2 WMA, article 14 para. 3 WMO). To grant specific licenses the following criteria listed in article 5 WMO are taken into account: - maintenance of peace, international security and regional stability; - the situation in the country of destination, in particular with regard to respect for human rights and the non-use of child soldiers; - the efforts made by Switzerland in the area of development cooperation; - the conduct of the country of destination towards the international community, in particular with regard to compliance with international law; - the attitude of the countries which are participating with Switzerland in international export control regimens. According to article 5 para. 2 WMO licenses shall not be granted for export, trade and for contracts under article 20 WMA if: - the country of destination is involved in an internal or international armed conflict; - the country of destination violates human rights in a systematic and serious manner; - the country of destination is listed as one of the least developed countries on the current OECD-DAC list of countries in receipt of development aid; - in the country of destination there is a high risk that the exported weapons will be used against the civilian population; or - in the country of destination there is a high risk that the exported weapons will be passed on to an undesirable end recipient. In general, such authorization is granted only in case of deliveries to a state entity or a company acting on behalf of a foreign government, and only when the latter has submitted an end-user certificate. In case of exports to non-governmental entities, the exporter must prove the existence of the import authorization of the country of final destination, or that such authorization is not required. As a general rule, an export license may be granted only if a declaration is provided by the foreign government stating that the material will not be re-exported (non-re-export declaration). In important cases SECO stipulates the right to conduct PSV. The checks shall ensure that the war material arrived at the intended destination and is used for the purposes stated in the export license. The transit of SALW is regulated in a manner similar to export under the legislation on war material and on the control of goods. WMA stipulates that such transit is subject to authorization in the same way as exports and under the same conditions. The authorization criteria are identical to those which apply to decisions on exports. Exceptions to the normal procedures include persons travelling by air carrying firearms for their personal use and security agents accompanying official visits. A license is also required in order to enter into a contract for the transfer of intellectual property including know-how that is essential for the manufacture or the use of war material from Switzerland to a natural person or legal entity with domicile or registered office abroad. The same applies to entering into a contract that grants rights to such intellectual property and know-how. If the country of destination is listed in Annex 2 3 WMO, no specific license is required. As for SALW that fall within the scope of the legislation on the control of goods, the export requirements are slightly different than in the case of exports governed by the legislation on war material. The CGO stipulates that anyone wishing to export goods listed in Annexes 3 and 5 (list of 3 Annex 2 WMO lists countries that (like Switzerland) take part in all four export control regimes (Australia Group, Missile Technology Control Regime, Nuclear Suppliers Group, Wassenaar Arrangement). 14/37

15 specific military goods), requires an export license from SECO for each country of destination. Specific licenses are issued only to private individuals or legal entities that are resident or have a registered office on Swiss customs territory or in a Swiss customs free zone. The office issuing the license may make exceptions in cases where there is justification. For exports destined to certain countries (states that participate in all non-binding international control measures supported by Switzerland listed in Annex 4) the authorization procedure is simplified. SECO may issue a standard general export license (Swiss abbreviation OGB) for the export of goods listed in Annexes 3 and 5 CGO. Furthermore, SECO may issue a special general export license (Swiss abbreviation AGB) for the export of goods listed in Annexes 3 and 5 CGO to states other than those listed in Annex 4. When shipments of SALW cross the border, the customs authorities check the documentation and, if necessary, conduct a physical inspection, paying particular attention to the export or transit permit issued by SECO. When these permits expire, the original is returned to SECO. This procedure is an important means of control and provides the authorities with an assurance that expired licenses will not be used in an illegal manner. iii) Does your country use authenticated end-user certificates for this purpose? (PoA, II.12) Switzerland uses authenticated end-user certificates (EUC). EUCs are an important aspect of Switzerland's efforts to prevent diversion of military equipment and to ensure comprehensive export controls. According to article 18 WMA an export license may generally only be granted if it relates to a delivery to a foreign government or to a company acting on behalf of a foreign government, and if a declaration is provided by the government stating that the material will not be re-exported. The End-Use Certificate for war material is required when a potential exporter is applying for an export license for SALW considered war material. The EUC has to be written on the letterhead of the consignee as well as signed and stamped by the end-user or the government official. The enduser certifies not to use the weapons for other than the declared purposes and not to re-export them, whether in whole or in part, without the prior written consent of SECO. Additionally, SECO may request a clause granting Switzerland the right to verify the end-use and end-use location of any supplied item at any time on its demand. If the end-user is neither a state entity nor a company acting on behalf of a foreign government, the exporter has to demonstrate that either an import license has been issued by the country of final destination or that no such license is required. Additionally, for certain SALW (assault rifles, grenade launchers, sub-machine guns, and light machine guns; from 50 items upwards) a confirmation is required that the transferred weapons are to be sold only on the domestic market. The verification of information in EUCs is not regulated by law but subject to an internal directive on this matter. SECO relies on the expertise of the FDFA and its representatives abroad. The question of whether or not to launch a verification procedure is decided on a case-by-case basis. iv) Does your country notify the original exporting State when re-exporting or retransferring previously imported SALW? (PoA, II.13) The Directorate General of Customs of the Federal Customs Organization within the Federal Department of Finance (FDF) publishes anonymous trade statistics. It does not notify the original exporting State of re-exporting or retransferring previously imported SALW. 15/37

16 8. Brokering What national legislation or administrative procedures exist to regulate the activities of those who engage in SALW brokering within national jurisdiction and control? (E.g. registration of brokers, licensing or authorization of brokering transactions and appropriate penalties) (PoA, II.14) Brokering activities of legal entities and persons domiciled in Switzerland intending to trade in firearms for business purposes are required to obtain a general trader's license (article 17 WA). Brokering activities for recipients abroad fall within the scope of the WMA. Brokering on Swiss territory (regardless of nationality) of war material on a professional basis for recipients abroad, irrespective of the location of the war material, requires an initial license (article 9 para. 1 WMA). No initial license is required for those acting as professional brokers for hand guns and small arms and holding therefore a general trading license under the legislation on weapons. In addition to the initial license in terms of article 9 WMA or the general trading license under the legislation on weapons, any brokering activity of war material on Swiss territory for a recipient abroad requires a specific authorization for each individual case (article 15 para. 1 WMA). No specific authorization is required, if the person engaged in brokering activities operates his own production plant for the manufacture of the war material involved in the brokerage in Switzerland (article 6 para. 1 WMO). In any case, the brokering of war material destined to the countries listed in Annex 2 to the WMO is not subject to a specific authorization (article 6 para. 2 WMO). All SALW brokers are registered either by fedpol or by SECO. Categorization of war material is based on the Munitions List (ML) of the Wassenaar Arrangement (article 2 and Annex 1 WMO). Accordingly, SALW are either subject to War Material Category 1 (hand guns of all calibers) or War Material Category 2 (weapons of all calibers except hand guns listed in category 1). Nevertheless, the latter category does not exclusively include SALW. 9. Marking, record keeping and tracing i) Does your country require licensed manufacturers of SALW to apply an appropriate and reliable marking on each weapon as an integral part of the production process? (PoA, II.7) Article 18a, para. 1 WA requires manufacturers of firearms, essential components thereof, and weapons accessories to mark such items individually and thus render them identifiable and traceable. Article 18a, para. 3 WA also governs imported firearms, requiring them to be marked individually. ii) Is this marking unique? (PoA, II.7) Yes (see answer 9i and Annex 1) iii) Does this marking identify the country of manufacture? (PoA, II.7) Yes, though indirectly: the manufacturer must be stated. iv) How does this marking otherwise allow concerned authorities to identify and trace the relevant weapon? (PoA, II.7) See answer to 9v. 16/37

17 v) How long are records kept on the manufacture, holding and transfer of SALW under your jurisdiction? (PoA, II.9) Article 21 WA provides that manufacturers, brokers and others keep records on the manufacture, acquisition and transfer of SALW for 10 years which have to be handed over to the cantonal authorities after this period of time. Non-compliance with this obligation is sanctioned in accordance with article 33, para 1(d) WA. The competent cantonal authorities electronically store information on weapons purchases and related matters. The statutory preservation period varies from one canton to another canton. Article 17 WMO stipulates a bookkeeping obligation for SALW. Brokers have to keep relevant documents available for inspection for a period of 10 years in order to substantiate records. On the part of the authorities, all granted licenses are kept in paper form for at least 30 years either by SECO or the Swiss Federal Archives (SFA). In addition, since 1998 all data are recorded electronically. According to article 21 GCO all essential documents relating to the export of goods must be retained for 5 years from the date of customs clearance and must be submitted to the responsible authorities on request. vi) What national measures exist for tracing SALW held and issued by the State? (PoA, II.10) SALW of the Armed Forces, the military administration as well as the border and police forces are not subject to WA (article 2). The responsibility is regulated in the respective legislation and regulations of the Armed Forces, the Supreme Customs Directorate and the various cantonal police authorities. Tracing of firearms falls within the competence of the cantons. vii) Please give details of any steps taken by your country to cooperate in tracing illicit SALW, including the strengthening of mechanisms based on the exchange of relevant information. (PoA, III.11) After implementing into Swiss national law the EU 91/477/EEC Council Directive on Control of the Acquisition and Possession of Weapons, the information exchange especially with Schengen member states has improved. Information about the illegal trade of arms is exchanged within the EFE. 10. Disarmament, demobilization and reintegration (DDR) i) Please describe any disarmament, demobilization and reintegration (DDR) programmes your country has developed and implemented, including the effective collection, control, storage and destruction of SALW. (PoA, II.21) Switzerland is not carrying out any programs of disarmament, demobilization and reintegration on its own territory. However, Switzerland has supported various programs abroad (see below). ii) Please describe how your country has addressed the special needs of children affected by armed conflict, in particular the reunification with their family, their reintegration into civil society and their appropriate rehabilitation. (PoA, II.22) The issue of children in armed conflict and child soldiers in particular is one of the main concerns of the Section for Human Rights Policy of Political Affairs Division IV (PD IV) of the FDFA. In the Swiss strategy paper Protection of civilians in armed conflict ( ), the protection of the Rights of the Child is defined as a priority of Swiss policy in this regard. On a multilateral level, Switzerland actively follows the issue in the UN General Assembly and the open debates of the UN Security Council. Switzerland has advocated increased protection of children in armed conflict, namely in the debate on the extension of the criteria for the UN Secretary-General s listings of armed groups that recruit child soldiers. Furthermore, Switzerland will 17/37

18 second a JPO expert to the Office of the Special Representative of the UN Secretary-General on Children and Armed Conflict (OSRSG CAAC) in Switzerland also supports the nongovernmental organizations Coalition to stop the Use of Child Soldiers and Watch list on Children and Armed Conflict that have effectively established themselves as leading civil society actors in this field. iii) Please describe any DDR programmes or activities that your country has supported. (PoA, II.30, 34) The DDR strategy of Switzerland is a comprehensive approach at the individual country level. It is associated to peace building and development programmes. In Burundi, Switzerland has been very active in the peace negotiations between the Palipehutu- FNL (FNL) and the Burundian Government. Switzerland contributed financing to the national DDR process. Switzerland also supports a project assisting the Burundian Government in the implementation of articles 6,7 and 8 of the Nairobi Protocol aiming to reduce the availability of SALW and thereby help to create a safer environment and enable sustainable development. Additionally, Switzerland intends to remove surplus SALW stockpiles from Burundian provinces, destroy obsolete stockpiles, upgrade physical security of stockpiles and build local capacity. Finally, Switzerland supports a UNDP project in Burundi with the objective to control SALW and advance civilian disarmament. In Colombia, Switzerland provided financial support to the First International Congress on DDR in Cartagena which was held from May 4 to May 6 in Furthermore, Switzerland is contributing to a project of the Organization of American States (OAS) in Colombia aiming, inter alia, to demobilize the Autodefensas de Colombia (AUC) and accompany its combatants and their receiving communities in this process. In West Africa, Switzerland strove to enhance the capacities of African peace operators, with a particular emphasis on civilian components of peace support operations. To this aim, Switzerland has co-operated actively with the Peacekeeping School Alioune Blondin Beye in Bamako (EMP). In Mali, Switzerland supported a DDR-course of the Geneva Centre for Security policy (GCSP) at the École pour le maintien de la paix in A SALW-expert of the Swiss Armed Forces was deployed to the Course Staff. In addition to these activities in its focus countries, in May 2009 Switzerland organized an eight-day workshop for staff of the Geneva Centre for the Democratic Control of Armed Forces (DCAF) in order to train them in peace mediation for future mediation activities. Furthermore, Switzerland finances the position of the Vice-Director of the UN Regional Center for Peace and Disarmament in Asia and the Pacific (RCPD). 11. Awareness-raising i) Please describe any public awareness and confidence-building programmes on the problems and consequences of the illicit trade in SALW in all its aspects that your country has developed and implemented (including the public destruction of surplus weapons and the voluntary surrender of SALW). (PoA, II.20) In 2008, Switzerland adopted a strategy for relating to its contribution to the international combat against the illicit trade in and abuse of SALW. It was endorsed by the FDFA, the DDPS and the Federal Department of Economic Affairs (FDEA). The strategy summarizes Switzerland s activity in this area and outlines the future measures that Switzerland intends to take at the diplomatic as well as the operational level, in cooperation with the community of States, with international organizations and with non-governmental organizations. The strategy is available online as well as in hardcopy in the form of a brochure 18/37

19 ( waffen_franz_def.pdf). ii) Please describe any education and public awareness programs on the problems of the illicit trade in SALW in all its aspects that your country has encouraged. (PoA, II.41) For certain States, whose capabilities are limited or which are particularly afflicted by the problem of SALW, the implementation of international instruments is difficult. They require assistance in the fulfillment of their obligations under these instruments. Switzerland has supported and will continue to support national authorities and organizations within civil society with a view to enabling States to implement their undertakings on the international level. Switzerland plans to continue its support for awareness raising and action-oriented research relating to the combat against the illicit trade in and abuse of SALW. It intends to raise awareness and promote research that focuses on the demand for small arms: a quest for the causes of the recourse to arms by the relevant actors, as well as for the roots of their behavior and their motivation. B) REGIONAL LEVEL 1. Legally binding instruments i) Has your country been involved in negotiations for the conclusion of legally binding instruments aimed at preventing, combating and eradicating the illicit trade in SALW in all its aspects? (PoA, II.25) Within the UN, Switzerland has been involved in the negotiations for the legally binding instrument of the UN Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components (UN Firearms Protocol). ii) Where such instruments exist, please describe the steps your country has taken to ratify and fully implement them. (PoA, II.25) Given that the Council Directive 91/477/EEC of 18 June 1991 on control of the acquisition and possession of weapons - which Switzerland implements as a Schengen member - is not coving all requirements of the UN Firearms Protocol, Switzerland is currently adapting national law to the requirements of the UN Firearms Protocol. 2. Moratoria and regional action programmes Please give details of any support your country has given moratoria or similar initiatives on the transfer and manufacture of SALW, and/or regional action programs to prevent, combat and eradicate the illicit trade in SALW in all its aspects (including cooperation with States concerned in the implementation of these initiatives). (PoA, II.26) Switzerland has strict export control legislation and therefore fully respects its obligations under mandatory moratoria and embargos. Swiss legislation forbids any export of SALW which could be used against the civil population or be proliferated to organized crime or terrorists. 3. Regional Cooperation i) Please describe any involvement your country has had in the establishment of sub regional or regional mechanisms with a view to preventing, combating and eradicating the illicit trade in SALW 19/37

20 across borders (in particular trans-border customs cooperation and networks for informationsharing among law enforcement, border and customs control agencies). (PoA, II.27) Through its civilian peace-building efforts Switzerland supports a regional vision to preventing, combating and eradicating the illicit trade in and abuse of SALW and, in a broader context, the problems of armed violence and development that arise from it. In addition, FCA deploys up to two experts (1 Customs expert and 1 Border Guard expert) to the United Nations Operation in Côte d Ivoire (UNOCI). The aims of the deployment are the surveillance of the arms embargo and a contribution of Switzerland to promote peace in Côte d Ivoire. ii) Please describe any initiatives your country has undertaken to encourage regional and sub regional action on illicit trade in SALW in all its aspects in order to, as appropriate, introduce, adhere, implement or strengthen relevant laws, regulations and administrative procedures. (PoA, II.28) Switzerland made a contribution to the regional implementation of the Nairobi Protocol for the prevention, control and reduction of SALW in the Great Lakes region and the Horn of Africa and provided a SALW-expert from the Swiss Armed Forces in the Selected Experts Meeting to develop a road-map for PSSM measures in implementation of the ECOWAS-Convention on Small Arms and Light Weapons, their Ammunition and other related materials in Nigeria. C) GLOBAL LEVEL 1. International instruments against terrorism and crime What existing international legal instruments against terrorism and transnational organized crime has your country ratified or acceded to? (PoA, II.38) Switzerland has acceded to all existing UN-instruments against terrorism and transnational organized crime: - Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September This convention was signed by Switzerland on 31 October 1969, was ratified on 21 December 1970 and entered into force for Switzerland on 21 March 1971 (SR ). - Convention for the Suppression of Unlawful Seizure of Aircraft, signed at The Hague on 16 December This convention was signed by Switzerland on 16 December 1970, was ratified on 14 September 1971 and entered into force for Switzerland on 14 October 1971 (SR ). - Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September This convention was signed by Switzerland on 23 September 1971, was ratified on 17 January 1978 and entered into force for Switzerland on 16 February 1978 (SR ). - Convention on the Prevention, Prosecution, and Punishment of Crimes against Internationally Protected Persons, including Diplomatic Agents, adopted by the General Assembly of the United Nations at New York on 14 December This convention was signed by Switzerland on 5 March 1985 and entered into force for Switzerland on 4 April 1985 (SR ). 4 See 20/37

21 - International Convention against the Taking of Hostages, adopted by the General Assembly of the United Nations at New York on 17 December This international convention was signed by Switzerland on 18 July 1980, was ratified on 5 March 1985 and entered into force for Switzerland on 4 April 1985 (SR ). - Convention on the Physical Protection of Nuclear Material, signed at Vienna on 3 March This convention was signed by Switzerland on 3 March 1980, was ratified on 9 January 1987 and entered into force for Switzerland on 8 February 1987 (SR ). - Protocol on the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, supplementary to the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 24 February This protocol was signed by Switzerland on 24 February 1988, was ratified on 9 October 1990 and entered into force for Switzerland on 8 November 1990 (SR ). - Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation, done at Rome on 10 March This convention was signed by Switzerland on 10 March 1988, was ratified on 12 March 1993 and entered into force for Switzerland on 10 June 1993 (SR ). - Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms Located on the Continental Shelf, done at Rome on 10 March This protocol was signed by Switzerland on 10 March 1988, was ratified on 12 March 1993 and entered into force for Switzerland on 10 June 1993 (SR ). - Convention on the Marking of Plastic Explosives for the Purpose of Detection, signed at Montreal on 1 March 1991.This convention was signed by Switzerland on 1 March 1991, was ratified on 3 April 1995 and entered into force for Switzerland on 21 June 1998 (SR ). - International Convention for the Suppression of Terrorist Bombings, adopted by the General Assembly of the United Nations at New York on 15 December This international convention was signed by Switzerland on 12 January 1998, was ratified on 23 September 2003 and entered into force for Switzerland on 23 October 2003 (SR ). - International Convention for the Suppression of the Financing of Terrorism, adopted by the General Assembly of the United Nations at New York on 9 December This international convention was signed by Switzerland on 13 June 2001, was ratified on 23 September 2003 and entered into force for Switzerland on 23 October 2003 (SR ). - International Convention for the Suppression of Nuclear Terrorism, adopted by the General Assembly on 13. April This convention was signed by Switzerland on 14 September 2001, was ratified on 15 October 2008 and entered into force for Switzerland on 14 November 2008 (SR ). - Revision of the Convention on the Physical Protection of Nuclear Material ratified on 15 October 2008 ( ) - Protocol done on 14 October 2005 supplementary to the Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation ratified by Switzerland on 15 October 2008 ( ) - Protocol done on 14 October 2005 supplementary to the protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms Located on the Continental Shelf and ratified by Switzerland on 15 October 2008 ( ) 21/37

22 2. International cooperation and assistance i) Please give details of any assistance, including technical and financial assistance, your country has provided for purposes of supporting the implementation of measures to prevent, combat and eradicate the illicit trade in SALW in all its aspects as contained in the UN Programme of Action. (PoA, III.3, 6, 10, 14) Switzerland has provided the following financial contributions in 2008 and in 2009: Projects 2008 Financing VIVA RIO capacity building for tracing SALW and ammunition, Brazil CHF Geneva Declaration on Armed Violence and Development CHF Centre for Humanitarian Dialogue (HD), operational research, Negotiating disarmament CHF Contribution to UNDP Thematic Trust Fund for Crisis Prevention and Recovery CHF Quaker United Nations Office, Armed Violence CHF Contribution to UNIDIR, National Reports on SALW USD Small Arms Survey (SAS), core contribution CHF Secondment of Vice-Director UN Regional Center for Peace and Disarmament in CHF Asia and the Pacific (RCPD) Support Peace Process of OAS in Colombia CHF EMP, Course on peace consolidation CHF Coalition to Stop the Use of Child Soldiers, core contribution CHF Small Arms and Light Weapons Control, UNDP USD Support to the Nairobi Protocol phase I, MAG CHF Contribution to OSCE SALW in Ukraine EUR Projects 2009 Financing VIVA RIO project on tracing SALW and ammunition, Brazil CHF Geneva Declaration on Armed Violence and Development CHF Centre for Humanitarian Dialogue (HD), operational research, Negotiating disarmament CHF Centre for Humanitarian Dialogue (HD), Sulu Armed Violence Reduction Initiative CHF Contribution to UNDP Thematic Trust Fund for Crisis Prevention and Recovery CHF Quaker United Nations Office, Armed Violence CHF Contribution to UNIDIR, National Reports on SALW USD Contribution to Geneva Forum, Disarmament and Arms Control CHF Small Arms Survey (SAS), core contribution CHF Secondment of Vice-Director UN Regional Center for Peace and Disarmament in CHF Asia and the Pacific (RCPD) Support Peace Process of OAS in Colombia CHF EMP, Course on peace consolidation CHF Secondment of civilian instructor to EMP CHF Small Arms and Light Weapons Control, UNDP USD Support to the Nairobi Protocol phase II, MAG CHF Support to DDR process in Burundi, UNDP USD SALW assessment of Force de Defence Nationale (FDN) in support of the Nairobi USD Protocol, MAG Financial support to UNODA for the implementation of the UN-PoA CHF Contribution to OSCE SALW in Jordan CHF Upon the invitation of the government of Mali (i.e. Commission Nationale de Lutte contre la Prolifération des Armes Légères, which also includes civil society representatives), SALW experts of the Swiss Armed Forces and partners from Belgium, France, Spain, Germany, Norway and the United Kingdom conducted two SALW fact-finding missions in In 2006, Switzerland launched a new initiative aimed at sensitizing governments to the importance of better integrating effective armed violence prevention and reduction into development programs. Since the adoption of the Geneva Declaration on Armed Violence and Development at a ministerial summit held in Geneva in June 2006, Switzerland has been coordinating a core group of currently 14 States eager to see the implementation of undertakings by all signatories. The Geneva Declaration, which as of November 2009 had been signed by 108 States, contains a series of measures 22/37

23 aimed at reducing the corrosive effect of armed violence on socio-economic and human development. ii) Please give details of any assistance, including technical and financial assistance, your country has received or would like to receive for purposes of implementing measures to prevent, combat and eradicate the illicit trade in SALW in all its aspects as contained in the UN Programme of Action. Switzerland does not need technical and financial assistance to prevent, combat and eradicate the illicit trade in SALW in all its aspects. iii) Please describe any initiatives your country has undertaken to enhance mutual legal assistance and other forms of cooperation in order to assist investigations and prosecutions in relation to the illicit trade in SALW in all its aspects. (PoA, III.13) The Office of the Attorney General of Switzerland (OAG) is the federal prosecution authority that executes requests for international legal assistance in criminal matters submitted by other countries, in all cases where the OAG would also be competent for the prosecution of the same type of offence in Switzerland. This is therefore also the case for offences against article 40 para. 1 WMA in relation to article 336 para. 3 of the Swiss Criminal Code (SCC) and the article 18 para. 1 CGA in relation to article 336 para. 3 SCC. However, the Cantons are competent for the prosecution of offences against article 36 para. 1 WA. The Central Office for Weapons of fedpol is a member of the EFE. Within this group, information about the illegal trade of arms is exchanged. iv) Please give details of any assistance your country has provided to combat the illicit trade in SALW linked to drug trafficking, transnational organized crime and terrorism. (PoA, III.15) The OAG also executes the requests for international legal assistance in criminal matters concerning felonies committed by a criminal organization (for instance international drug trafficking and terrorism), in all cases where the OAG would also be competent for the prosecution of the same type of offence in Switzerland (article 337 para. 1 SCC). v) Please give details of your country's cooperation with Interpol for the purpose of identifying those groups and individuals engaged in the illicit trade in SALW in all its aspects. (PoA, II.37) The cooperation with Interpol is based on the Ordinance of 1 December 1986 on the National Central Interpol Bureau (Interpol-Ordinance, SR ) and the Ordinance on International Mutual Assistance in Criminal Matters (Ordinance on International Assistance, O-IMAC; SR ). Fedpol operates the National Central Interpol Bureau Bern and transfers relevant inquiries for treatment to the Central Office for Weapons or to the responsible cantonal authorities. vi) Please give details of your country's use and support of Interpol s International Weapons and Explosives Tracking System database (including by providing relevant information on the illicit trade in SALW). (PoA, III.9) Neither the Central Office for Weapons nor the Central Office for Explosives and Pyrotechnics are working with the IWETS database. vii) Please give details of your country's cooperation with the UN system to ensure the effective implementation of arms embargoes decided by the UN Security Council in accordance with the UN Charter. (PoA, II.32) 23/37

24 The legal and judicial assistance between Swiss and foreign authorities in embargo matters is regulated by article 7 of the Embargo Act. The OAG is the authority that prosecutes offences against the criminal provisions of the Embargo Act (article 14 para. 2 of the Embargo Act in relation to article 336 para. 3 of the SCC). viii) Please describe any steps your country has taken in cooperation with other States, or regional or international organizations, to develop common understandings of the basic issues and the scope of the problems related to illicit brokering in SALW. (PoA, II.39) Switzerland has actively contributed to OSCE endeavors to prevent, combat and eradicate the illicit trade in SALW. Switzerland has in particular taken an active part in the creation of the "Handbook of Best Practices on SALW" where the "Best Practice Guide on National Control of Brokering Activities" is included. Switzerland will continue to collaborate with the informal Multinational SALW and Ammunition Group (MSAG) with a view to optimizing and coordinating international SALW work on the part of military experts 3. Cooperation with civil society and NGOs Please give details of cooperation with civil society and non-governmental organizations in activities related to the prevention, combating and eradication of the illicit trade in SALW in all its aspects, at the national, regional and global levels. (PoA, II.20, 40, 41; PoA, III.2, 18) International cooperation is among the mainstays of the campaign to overcome the scourge of SALW and Switzerland has financed a range of projects in the matter. These projects feature a variety of activities, including training, staff development, collection and destruction of arms and munitions as well as operational research. Switzerland regularly collaborates in such activities with international partners such as the UNDP, and offers its support to NGOs (e.g. Quaker United Nations Office, Geneva, Geneva Forum, Centre for Humanitarian Dialogue, Viva Rio). See also point 2). Upon the invitation of the government of Mali (i.e. Commission Nationale de Lutte contre la Prolifération des Armes Légères CNPAL), SALW-experts of the Swiss Armed Forces and partners from Belgium, France, Spain, Germany, Norway and United Kingdom conducted two small arms and light weapons fact-finding missions. CNPAL also includes representatives of civil society organizations. 4. Information exchange i) Please describe any steps taken by your country to exchange information on national marking systems on SALW. (PoA, III.12) Besides the practice foreseen in the WA and WMA, Switzerland has been involved in the development of the OSCE Document on Small Arms and Light Weapons (FSC.DOC/1/03). In accordance with this document, Switzerland has exchanged information about the marking systems of the Armed Forces within the framework of the OSCE in 2003 as well as within the framework of the UN PoA since ii) Please give details of any information on, for example, SALW confiscated or destroyed within the national jurisdiction, or other relevant information, such as illicit trade routes and techniques of acquisition, that your country has submitted to relevant regional and international organizations. (PoA, II.23) See A. 6. vi). 24/37

25 5. Training, capacity-building, research i) Please describe any initiatives your country has undertaken to enhance cooperation and exchange of experience and training among competent officials, including customs, police, intelligence and arms control officials, at the national, regional and global levels in order to combat the illicit trade in SALW in all its aspects. (PoA, III.7) See point 3. In 2010, the FCA will deploy an customs expert to the World Customs Organization Office in Côte d Ivoire. The aim of the deployment is to support capacity building measures for Côte d Ivoire and the region. ii) Please describe any regional and international programmes for specialist training on small arms stockpile management and security that your country has developed or supported. (PoA, III.8) Switzerland has developed and later on supported different kinds of training courses for specialist and policy-makers. In 2006, a first course was developed and offered in Switzerland to technical personnel of members of the MSAG. It was followed in 2007 by a second course. In 2008, the course was transferred to the NATO-School in Oberammergau, where an additional course for policy-makers was offered. Since then, Switzerland is providing staff to these courses. Additionally, Switzerland has developed and offered since 2008 a specific course for technical specialists in Switzerland. Switzerland has supported specialist training on Physical Security and Stockpile Management (PSSM): It has sent training personnel to different countries (2007 in Burundi, 2008 in Mozambique, Bosnia and Herzegovina, Albania, 2009 in Ethiopia). iii) Please give details of any action-oriented research aimed at facilitating greater awareness and better understanding of the nature and scope of the problems associated with the illicit trade in SALW in all its aspects that your country has developed or supported. (PoA, III.18) Switzerland provides financial support to the Small Arms Survey (SAS), an independent project under the tutelage of the Graduate Institute of International and Development Studies (IHEID) in Geneva, established on the initiative of the FDFA in SAS is internationally recognized as the primary source of independent information on SALW. It publishes an annual review (Yearbook) with impartial and reliable information on all aspects of small arms for policy-makers, government officials and non-governmental organizations. Furthermore, SAS edits the Global Burden of Armed Violence Report and other key publications on the issue. In addition, Switzerland supported operational research through the project Negotiating Disarmament undertaken by the Centre for Humanitarian Dialogue (HD). Switzerland also supported a project of the United Nations Institute for Disarmament Research (UNIDIR) aiming to analyze the National Reports submitted between 2006 and 2008 by member States on their implementation of the United Nations Programme of Action on the Illicit Trade in SALW in order to identify areas where further action is required to address the uncontrolled and destabilizing effects of the proliferation of and illicit trade in SALW. ***** 25/37

26 ANNEX 1 a) Overview of National Marking Systems Mark A 0 9 P Location of mark and measurement Weapons of the Swiss Armed Forces Pistol 49: breech block grip assembly Full-scale: height 3mm, width 2mm Pistol75: breech block barrel grip assembly Full-scale: height 4mm, width 3mm Assault rifle 57: breech casing Full-scale: height 4mm, width 3mm Assault rifle 90: breech casing Full-scale: height 4mm, width 3mm Serial / weapon number Pistol 49: breech block (6-digit) barrel (6-digit) grip assembly (6-digit) firing mechanism (6-digit) Full-scale: height 3mm / 2mm (on barrel) Pistol 75: breech block (7-digit) barrel (7-digit) grip assembly (7-digit) Full-scale: height 4mm Assault rifle 57: breech casing (7-digit) bolt head (4-digit)* breech block (4-digit)* jacket tube (4-digit)* firing mechanism (4-digit)* stock (4-digit)* Full-scale: height 4mm / 5mm (on jacket tube) Assault rifle 90: breech casing (7-digit) breech block (4-digit)* bolt head (4-digit)* firing mechanism (4-digit)* Full-scale: height 4mm "Personal weapons" handed for personal use (no weapons of the Armed Forces anymore) Pistol 49: breech firing mechanism Full-scale height 4mm, width 2mm Pistol 75: breech grip assembly Full-scale height 4mm, width 2mm Assault rifle 57: breech casing firing mechanism Full-scale height 4mm, width 2mm Assault rifle 90: firing mechanism Full-scale height 4mm, width 2mm Service weapon Pistol 49: breech block Full-scale: height 8mm, width 8mm 26/37

27 SIG Service weapon Pistol 49: breech block Full-scale: height 8mm, width 8mm Pistol 75: breech block Full-scale: height 9mm, width 9mm Assault rifle 57: breech casing Full-scale: height 8mm, width 8mm Assault rifle 90: breech casing Full-scale: height 9mm, width 9mm Manufacturer s monogram / stamp Pistol 49: breech block Full-scale: height 4mm, width 6mm Pistol 75: breech block Full-scale: height 6mm, width 9mm Assault rifle 57: stock Full-scale: height 5mm, width 8mm Assault rifle 90: firing mechanism Full-scale: height 7mm, width 10mm Inspection stamp (weapon approved by the Federal Weapons Control Agency) Pistol 49: grip assembly Full-scale: diameter 3mm Pistol 75: Breech block Full-scale: diameter 2mm Assault rifle 57: breech casing Full-scale: diameter 4mm Assault rifle 90: breech casing Full-scale diameter 4mm Proof firing stamp Pistol 49: breech block barrel Full-scale: height 4mm, width 3mm Pistol 75: breech block barrel Full-scale: height 3mm, width 2mm Assault rifle 57: breech casing Full-scale: height 4mm, width 3mm Assault rifle 90: breech casing Full-scale height 4mm, width 3mm * These four digits are last four digits of the 7-digit weapon number. Note When personal firearms of discharged Armed Forces personnel will be transferred to private property their marking is changed from A (Armed Forces) to P (private) before they are handed over. 27/37

28 b) Overview of National Marking Systems of Selected Firearms General assembly and location of marks on the 9mm model 49 pistol 5 A (i) General assembly B A = Breech block B = Grip assembly C = Barrel D = Firing mechanism 2 3 C D (ii) Location of marks Position Mark Definition Method of application 1 A Armed Forces property stamp engraved digit serial/weapon number engraved 3 Proof firing stamp marked 4 5 Inspection stamp (approved by the Federal Gun Acceptance Agency) Service weapon stamp (made for the Swiss Armed Forces) marked engraved 6 SIG Manufacturer's monogram engraved 28/37

29 General assembly and location of marks on the 9mm model 75 pistol (i) General assembly A = Breech block B = Grip assembly C = Barrel 6 A 2 3 C B (ii) Location of marks Position Mark Definition Method of application 1 A Armed Forces property stamp engraved digit serial/weapon number engraved 3 Proof firing stamp marked 4 5 Inspection stamp (approved by the Federal Gun Acceptance Agency) Service weapon stamp (made for the Swiss Armed Forces) marked engraved 6 SIG Manufacturer's monogram engraved General assembly and location of marks on the 7.5mm model 57 assault rifle 29/37

30 (i) General assembly A = Breech casing B = Stock C = Jacket tube D = Barrel E = Firing mechanism F = Breech block G A = Bolt head C B E D C A B D E F G /37

31 (ii) Location of marks Position Mark Definition Method of application 1 A Armed Forces property stamp engraved digit serial/weapon number engraved Last 4 digits of the serial/weapon number engraved 4 Proof firing stamp marked 5 6 Inspection stamp (approved by the Federal Gun Acceptance Agency) Service weapon stamp (made for the Swiss Armed Forces) marked engraved 7 SIG Manufacturer's monogram engraved 31/37

32 General assembly and location of marks on the 5.6mm model 90 assault rifle (i) General assembly A = Breech casing B = Butt C = Barrel D = Firing mechanism E = Breech block F = Bolt head B 7 A 6 C D C A B D A E 3 3 D F 32/37

33 (ii) Location of marks Position Mark Definition Method of application 1 A Armed Forces property stamp engraved digit serial/weapon number engraved Last 4 digits of the serial/weapon number engraved 4 Proof firing stamp engraved 5 6 Inspection stamp (approved by the Federal Gun Acceptance Agency) Service weapon stamp (made for the Swiss Armed Forces) engraved engraved 7 SIG Manufacturer's monogram cast 33/37

34 General assembly and location of marks on the 7.5 mm model 51/00 tank machine gun (i) General assembly A = Jacket tube B = Feed cover C = Barrel D = Breech block E = Bolt head C A 8 E 8 B D C /37

35 (ii) Location of marks Position Mark Definition Method of application digit serial/weapon number engraved Last 4 digits of the serial/weapon number engraved 3 Proof firing stamp marked 4 5 Inspection stamp (approved by the Federal Gun Acceptance Agency) Service weapon stamp (made for the Swiss Armed Forces) marked engraved 6 Manufacturer s monogram engraved 7 E 25 Material Code marked 8 A or B Breech marking marked 9 E or F Barrel marking marked 35/37

36 General assembly and location of marks on the 12.7 mm model 64/93 heavy machine gun (i) General assembly A = Breech casing B = Jacket tube C = Barrel B A C C A /37