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"
Date: 2018-06-13
Institutions: European Commission, European External Action Service
Subjects: arms trade, common foreign and security policy, export policy, firearms and munitions, illicit trade, international cooperation, non-proliferation of arms, organised crime, small arms, terrorism

EN 

  EN 

   EUROPEAN COMMISSION HIGH REPRESENTATIVE OF THE UNION FOR FOREIGN AFFAIRS AND SECURITY POLICY 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  crisis-management,  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 Secretary-General’s report on the illicit trade in small arms and light 
weapons in all its aspects1 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  ammunition3  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 Security5 
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  explosives6  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 

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).  

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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  level10,  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 military-grade 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 
military-grade  weapons  and  the  term  ‘firearms’13  is  used  expressly  to  include  civilian 
firearms.  

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 military-grade weapons; they include:  

(a)   small  arms:  assault  rifles;  military-grade  semi-automatic  rifles  and  carbines;  military-grade  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 crew-portable; 

(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  military-grade  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. 

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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  life-cycle  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 
principles14 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.  

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 

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Action: 

  The  EU  will  continue  to  support  cooperation  and  assistance  for  the  implementation  of 
the  UN  PoA,  with  a  focus  on  regional  cooperation,  and  to  participate  in  and  support 
coordination with other donors. This support will include  collection and destruction of 
surplus SALW and ammunition, physical security and stockpile management for SALW 
and  ammunition,  capacity  development  for  marking,  record  keeping  and  tracing, 
capacity  development  for  arms  export  control,  capacity  development  for  law 
enforcement in countering illicit trafficking, support for embargo monitoring and tracing 
of diverted weapons. 

Next steps: 

  Under the UN PoA, new projects will take into account an analysis and comprehensive 
evaluation,  by  the  High  Representative,  of  the  impact  and  effectiveness  of  SALW-
control projects under the 2005 SALW strategy between 2005 and 2017. 

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. 

Action: 

  The Council is invited to continue supporting the universalisation and implementation of 

the ATT. 

2.1.3  UN Firearms Protocol  

The purpose of the UN Firearms Protocol18 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 

Action: 

  The EU will continue to support the implementation of the UN firearms protocol and its 
review mechanism, and to strengthen the capacity of partner countries and sub-regions 
to  implement  effective  firearms  controls  in  line  with  the  protocol.  In  particular,  the 
Commission  calls  on  Member  States  to  implement  in  full  its  Recommendation  of  17 
April  2018  on  immediate  steps  to  improve  security  of  export,  import  and  transit 
measures for firearms, their parts and essential components and ammunition.20 

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. 

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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.  

Action: 

  The  EU  will  contribute  to  the  effort  to  achieve  the  UN  SDGs,  including  SDG  16.4 
(significant  reduction  in  illicit  arms  flows  by  2030),  by  helping  states  and  regions  to 
formulate and implement national and regional indicators. 

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.  

Action: 

  The EU will continue to introduce a standard SALW-control clause in partnership and 

trade agreements with other countries. 

Next steps: 

  The Council is invited to consider a decision on the marking of all SALW to improve 

traceability; and 

  The Commission, as required by Directive 91/477/EEC22, will adopt a Delegated Act on 
exchanging,  by  electronic  means,  information  on  authorisations  for  the  transfer  of 
civilian  firearms  to  another  Member  State,  ,  and  set  up  an  electronic  system  whereby 
Member States can exchange such information. 

2.2   Implementation of norms in the different life-cycle 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.  

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. 

5 

 
 
 
 
 
                                                            
 
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,  record-keeping  and 
tracing. 

Actions: 

  The EU will continue to address the illicit manufacture of firearms and ammunition. The 
methods of illicit manufacture are permanently evolving and can be facilitated through 
the use of 3-D printed parts. They include the illicit re-activation of deactivated firearms, 
craft  production  and  the  illicit  conversion  of  alarm  or  signal  guns  designed  for  blank 
ammunition  or  flobert  guns,  the  illicit  conversion  of  ammunition  and  the  illicit  use  of 
reloading tools. The Commission will closely monitor the implementation of its future 
Implementing Act laying down technical specifications for alarm signal weapons for the 
application  of  Directive  91/477/EEC  on  control  of  the  acquisition  and  possession 
weapons;23 and 

  As  marking  and  thorough  record-keeping  are  vital  for  successful  tracing,  the  EU  will 
continue  to  support  the  full  implementation  of  the  International  Tracing  Instrument 
(ITI).  

Next steps: 

  At  global  level,  to  preserve  and  increase  the  effectiveness  of  the  ITI,  the  EU  and  its 
Member States will take action by proposing to consider an annex to the ITI in the light 
of  developments  in  SALW  design,  such  as  modular  architecture  and  polymer  frames; 
and 

  The EU will make use of relevant instruments to support research and development in 
the field of reliable and cost-effective technology to secure SALW and their ammunition 
and mitigate the risk of diversion. 

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.  

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). 

6 

 
 
 
                                                            
Actions: 

  The  EU  will  continue  to  promote  responsible  and  effective  arms  export  control  in  the 
EU’s  neighbourhood,  in  accordance  with  Common  Position  2008/944/CFSP  for 
military-grade weapons and Regulation (EU) No 258/2012 for civilian firearms; and 
  The  High  Representative  and  the  Member  States  will  ensure  the  correct  and  full 

implementation of Common Position 2003/468/CFSP on arms brokering. 

Next steps: 

  The  Commission  continues  to  monitor  the  EU  system  and  need  for  possible 
improvements  for  export  authorisation  and  import  and  transit  measures  for  civilian 
firearms, their parts, components and ammunition, as indicated in the report adopted by 
the Commission on 12 December 201724; 

  The Council is invited to consider a decision on end-user certificates for SALW exports, 

taking account of the OSCE’s work in this regard; 

  In  agreement  with  the  Member  States,  the  EEAS  will  increase  the  capacity  of  the 
COARM  online  system25  for  the  exchange  of  information  relevant  for  diversion  risk 
assessment purposes between Member States’ export control authorities in the context of 
export  licensing,  taking  into  account  the  security  level  of  the  system  and  the 
information; 

  Given the limited scope of the Commission Recommendation of 17 April 201826, in the 
risk assessment prior to granting an export licence for SALW and ammunition, Member 
States  will  take  into  account  the  diversion  record  of  intended  recipients  and 
intermediaries; and 

  Given  the  limited  scope  of  the  Commission  Recommendation  of  17  April  2018,  the 
Member  States  are  invited  to  use  the  European  criminal  records  information  system 
(ECRIS)  and  the  future  ECRIS-TCN  (third-country  nationals)  system  to  ensure  that 
criminal  records  information  on  entities/persons  convicted  for  arms  trafficking  is 
available  to  arms  export  control  authorities  for  use  in  their  risk  assessment  of  licence 
application for military technology and equipment. 

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.  

Actions: 

  The  EU  and  its  Member  States  will  continue  to  help  other  countries  to  improve  the 
management  and  security  of  state-held  stockpiles  by  strengthening  national  legislative 

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 

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and  administrative  frameworks  and  institutions  that  regulate  the  legitimate  supply  and 
stockpile management of SALW and ammunition for defence and security forces, with a 
particular focus on marking and record-keeping; and 

  The  EU  will  promote  and  implement  standards  and  good  practices  for the  handling  of 
small  arms  (international  small  arms  control  standards  (ISACSs))  and  ammunition 
(international ammunition technical guidelines (IATGs)). 

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 techniques27 
which can usefully serve as a global template for the secure and irreversible deactivation of 
firearms. 

Actions: 

  The  EU  and  its  Member  States  will  promote  and  assist  in  the  responsible  disposal  of 
surplus,  seized  and  otherwise  retrieved  SALW  and  ammunition,  preferably  through 
destruction; and 

  To  ensure 

that  deactivated  firearms  are  rendered 

the 
Commission,  together  with  the  High  Representative  and  the  Member  States,  will 
promote  EU  firearms  deactivation  standards  abroad,  including  through  its  cooperation 
with third states. 

irreversibly 

inoperable, 

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 
law-enforcement  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. 

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). 

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Actions: 

  The EU will encourage further use of the iARMS system; 

  The  Commission  will  pursue  cooperation  with  Europol,  INTERPOL  and  the  Member 
States to enhance synergies and interactions between the Schengen Information System 
(SIS)28 and Interpol’s illicit arms records and tracing management system (iARMS)29 to 
follow up action envisaged by the EU Action Plan against illicit trafficking in and use of 
firearms and explosives30  

  The  Commission  will  continue  to  carry  on  supporting  and  promoting  research  and 
actions  against  firearms  trafficking  and  related  crime  through  the  available  funding 
instruments31. 

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 enforcement32. 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 law-enforcement 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). 

Actions: 

  EU  Intelligence  Analysis  Centre  (EU-INTCEN)  is  requested,  where  necessary,  in 
cooperation  with  the  Commission,  Europol  and  the  EBCGA,  to  compile  reports  on 
SALW and ammunition trafficking; 

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). 

9 

 
 
 
                                                            
  The  EU  Agency  for  Law  Enforcement  Training  (CEPOL)  should    continue  to  arrange 

training for law-enforcement officials on firearms/SALW trafficking; 

  The  EU  will  improve  cross-border  cooperation  between  judicial  and  law-enforcement 
authorities,  encourage  the  relevant  Member  State  authorities,  including  customs 
authorities, to establish national focal points on firearms, produce better analysis of all 
information  available  in  the  area  of  illicit  firearms  and  ensure  full  participation  in  the 
exchange of information with Europol in the area of firearms trafficking; and 

  All Member States should ensure cooperation in the framework of the EU policy cycle 
for organised and serious international crime. This should also apply to such information 
collected and transmitted to the EBCGA in the context of operations coordinated by the 
Agency. 

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  law-enforcement  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 gender-based 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 resolutions36 specifically call for the empowerment of women in efforts to 
prevent,  combat  and  eradicate  the  illicit  transfer,  destabilising  accumulation  and  misuse  of 
SALW. 

Actions: 

  The EU will proactively engage in the global firearms programme of the UN Office on 
Drugs  and  Crime  (UNODC)  on  global  data  collection  and  analysis  on  firearms 
trafficking,  and  strengthen  the  capacity  of  partner  countries  and  sub-regions  to 
implement effective firearms control in line with the firearms protocol; 

  The EU will continue to support Interpol's Illicit Arms Records and tracing Management 

System (iARMS);  

  The EU will foster cooperation and information-sharing, in particular among countries 

along major trafficking routes to/from the EU; 

  The EU will cooperate with the World Customs Organisation (WCO) to implement its 

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). 

10 

 
 
 
                                                            
SALW strategy; 

  The High Representative will evaluate  and analyse the impact and effectiveness of EU-
supported SALW-control projects in non-EU countries between 2005 and 2018 as part 
of the implementation of  the 2005 SALW strategy; 

  The  EU  will  systematically  mainstream  gender  considerations  in  the  design  of  new 
projects relating to the fight against gun violence and SALW control in general, and the 
sharing of good practices in this regard; 

  The  EU  will  promote  and  implement  standards  and  good  practices  for the  handling  of 

small arms (ISACSs); and 

  The  Member  States  will  improve  their  cooperation  with  Europol  on  illicit  firearms 
trafficking  and  the  use  of  firearms  in  non-EU  countries,  and  foster  the  further 
involvement of authorities in operational cooperation, the exchange of information and 
joint law-enforcement action.. 

The EU already supports the monitoring of illicit SALW flows in conflict-affected 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. 

Actions: 

  The Council is invited to explore modalities to improve the monitoring and enforcement 

of EU arms embargoes; 

  The EU will support the work of UN panels that monitor arms embargoes, and consider 
ways of improving access to their findings on diversion and illicit firearms and SALW 
for arms export control purposes; 

  Where  relevant  and  within  their  mandate  and  taking  account  of  local  buy-in  and 
available resources, the Council is invited to give Common Security and Defence Policy 
(CSDP) missions and operations a role in supporting SALW awareness and organising 
SALW-control-related  training,  supporting  proper  stockpile  management,  monitoring 
movements  of  illicit  SALW  and  ammunition  (including  cross-border  trafficking),  as 
appropriate.  Where  applicable  and  on  direction  from  Member  States,  CSDP  missions 
and operations could also support the facilitation of the recording, tracing and disposal 
of  seized  illicit  SALW.  The  Council  could  draw  on  lessons  learned  from  those  CSDP 
engagements  where  mandates  include  SALW  tasks  (eg.  EUFOR  Althea  in  Bosnia  and 
Hercegovina); 

  The  EU  will  continue  to  fund  research  efforts  targeting  the  origins  of  illicit  SALW  in 
conflict zones, such as Conflict Armament Research’s iTrace project. It will encourage 
further research, analysis and studies on the matter, relying on existing capacities such 
as the EU Non-Proliferation and Disarmament Consortium; and 

  The EU will support national capacities in conflict affected areas to track and trace the 
origins  of  illicit  SALW  and  ammunition  in  conflict  zones,  also  building  on  the 
experience of the iTrace project. 

11 

 
 
 
 
2.4.2 

 At regional level 

At regional level, the EU and its Member States will strengthen law-enforcement 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  law-enforcement  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  trans-border 
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,  non-EU  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  South-Eastern  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 south-east 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. 

37   COM(2018) 65 final of 6.2.2018 and annex 

12 

 
 
                                                            
Actions: 

  The  EU  will  support  efforts  to  reduce  surplus  stocks  of  SALW  and  ammunition,  to 
reduce  illicit  possession,  to  counter  diversion  and  arms  trafficking,  to  improve  border 
controls, to enhance marking, record-keeping and tracing of SALW as well as disposal 
capacities, to increase awareness, and to support law enforcement capacities,; taking into 
account the EU’s longstanding support for the UNDP South-Eastern and Eastern Europe 
Clearinghouse  for  the  control  of  Small  Arms  and  Light  Weapons  (SEESAC),  and 
maintain  support  for  national  control  systems  and  take  into  account  relevant  regional 
initiatives  for  countering  illicit  SALW  and  their  ammunition  such  as  the  Roadmap-
initiative; 

  The EU and its Member States will ensure coherent cooperation between the Union and 
Western  Balkan  countries  by  implementing  initiatives  to  fight  against  firearms 
trafficking, as set out in 2018-2021 Policy Cycle for organised and serious international 
crime includes specific operational (EMPACT Firearms)38 and the EU-Western Balkans 
action  plan  under  integrative  internal  security  governance  (IISG)  in  the  Western 
Balkans; 

  The EU and its Member States will coordinate EU's efforts with other bilateral, regional 
or  multilateral  initiatives  to  reduce  the  risk  of  overlap  and  improve  the  efficiency  of 
cooperation  in  investigations  of  trans-border  crimes,  in  line  with  the  Council 
conclusions of 13 December 2016;39 and 

  The EU and its Member States will make full use of and create synergies between the 
Europol liaison officers to be deployed in the western Balkans, SEESAC40 and regional 
programming  under  the  instrument  for  pre-accession  assistance  (IPA)  on  ‘countering 
serious crime in the western Balkans’41 and ‘measuring and assessing organised crime in 
the western Balkans: supporting evidence-based policy-making’.42  

Next steps: 

  The Action Plan 2015-2019 on illicit trafficking in firearms will be evaluated to assess 
its  effectiveness  in  addressing  the  supply  of  illicit  firearms  and  the  large  stockpile  of 
weapons; and 

  The  EU  Policy  Cycle  on  organised  crime  will  be  expanded  to  the  extent  possible  to 
include the Western Balkans in its operational activities. Western Balkans countries are 
to  be  invited  to  take  part  in  specific  European  Multidisciplinary  Platform  against 
Criminal  Threats  projects  and  to  meetings  of  the  Standing  Committee  on  Operational 
Cooperation on Internal Security, including those held jointly with the Political Security 
Committee on an ad-hoc basis when the projects are discussed. 

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  long-term 

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. 

13 

 
 
 
 
                                                            
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.  

Actions: 

  The  EU  and  its  Member  States  will  integrate  the  fight  against  firearms/SALW 
trafficking in the context of the dialogue on security matters with partner countries in the 
neighbourhood, such as Ukraine; 

  The  EU  and  its  Member  States  will establish channels  of  communication  between EU 
and  Ukrainian  experts,  identify  a  contact  point  to  ensure  smooth  cooperation,  raise 
awareness,  share  best  practices  and  expertise,  and  identify  training  needs  and  other 
support measures to strengthen Ukraine’s capacities in the field; and 

  The EU and its Member States will keep working on a permanent technical roundtable 
with  Ukraine  to  address  the  pressing  problem  of  the  illicit  traffic  of  firearms  and  the 
risks associated with such arms falling into the hands of terrorists and organised crime 
groups. 

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. 

Actions in MENA: 

  The EU will seek to  enhance cooperation with  Algeria, through the security dialogue, 

on firearms transfer control and the fight against illegal trafficking of small arms; 

  The  EU  will  continue  to  support  Tunisia  on  security-sector  reform  and  border 
management,  mainly  through  a  specific  funding  programme,  which  will  have  a  direct 
bearing on controlling the illicit trafficking of firearms; 

  The  EU  will  promote  the  implementation  of  all  initiatives  deepening  cooperation  with 
Morocco  on  the  control  of  exports  of  firearms  and  dual-use  item  as  foreseen  in  EU-
Morocco action plan implementing the advanced status;43 

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 

14 

 
 
 
                                                            
  The EU will continue providing support to Lebanon and Jordan in tackling organised 
crime  (including  through  security  sector  reform  assistance  and  support  for  integrated 
border management), and in controlling the illicit trafficking of firearms;  

  The EU will continue strengthening EU-MENA cooperation in fighting illicit trafficking 
of firearms, including through the Euromed Police IV44. This regional programme aims 
at enhancing operational and strategic police cooperation in the MENA region between 
national  authorities  in  Southern  Partner  Countries,  as  well  as  with  EU  MS  (and  EU 
agencies);  

   The EU will continue to support the monitoring of diversion to unauthorised actors in 
the region and intelligence-led risk-assessment and counter-diversion measures, thereby 
taking into account the positive results of the iTrace project45; and 

  The  EU  will  continue  to  support  capacity-building  for  local  law-enforcement  and 
security forces as regards physical security and stockpile management (PSSM), surplus 
destruction and the documenting and tracing of illicit SALW.  

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 

15 

 
 
                                                                                                                                                                                          
Actions in Africa (Sahel region):  

  The  EU  will  support  intelligence-led  tracking  of  trafficking  networks,  including  those 
beyond  the  Sahel,  to  counter  more  effectively  the  risk  that  the  large-scale  outflow  of 
state  stocks  during  the  political  crises  in  Mali  and  Libya  continue  to  pose  to  regional 
stability; 

  The  EU  will  support  management  and  record-keeping  capacity-building  in  Mali  and 
Libya  to  improve  SALW  securing  and  management  systems,  including  stockpile 
management,  surplus  destruction  and  comprehensive  record-keeping  and  weapons 
accounting systems; 

  The EU will support capacities for tracing  and regional information-sharing,  including 
through  regional  mechanisms,  such  as  the  clearing  house  provisions  of  the  Economic 
Community of West-African States (ECOWAS) Convention on SALW, the G5 Sahel46, 
the African Union and global channels such as the iARMS database; 

  The EU will continue to encourage further judicial cooperation and joint border security 

initiatives;  

  The  EU  will  support  the  capacity  of  relevant  actors  to  trace,  report  on,  counter  and 
dispose  of  illicit  SALW  and  give  CSDP  missions  in  the  region  a  greater  role  in 
monitoring  illicit  SALW,  organising  SALW-control-related training,  supporting PSSM 
and surplus disposal, and facilitating tracing and border-control; 

  The EU will look for synergy with the African Union’s ‘silencing the guns’ initiative47, 
the  Bamako  Declaration  on  illicit  SALW  adopted  by  the  Council  of  Ministers  of  the 
African Union in 200048 and the African Union Strategy against illicit SALW adopted in 
Lomé in 201149; and 

  The EU will improve its capacity for coordination with other donors on SALW control 

in the region. 

Americas 

Action in the Americas: 

  The  EU  will  look  for  synergy  with  the  relevant  American  states  and  regional 
organisations to reduce the illicit proliferation and trafficking of SALW, with a view to 
reducing armed violence and criminal activity.50 

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. 

16 

 
 
 
 
 
 
 
                                                            
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.  

___________________________________  

17