FirearmsModelLaw_FINAL_Dec 2011_V1187859_EC
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FirearmsModelLaw_FINAL_Dec 2011.doc (English)MODEL LAW AGAINST THE ILLICIT MANUFACTURING OF AND TRAFFICKING IN FIREARMS, THEIR PARTS AND COMPONENTS AND AMMUNITION V1187859.doc (Chinese)
Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition;Preface;Contents;Part One. Introductory provisions;Chapter I. General provisions;Chapter II. Definitions;Part Two. Mandatory provisions;Section A. Preventive measures;Chapter III. Manufacturing;Chapter IV. Marking;Chapter V. Record-keeping;[Chapter VI. Deactivation of firearms;Chapter VII. Import, export and transit of firearms, their parts and components and ammunition;Section B. Penal and provisional provisions;Chapter VIII. Criminal offences: illicit manufacturing;Chapter IX. Criminal offences: illicit trafficking;Chapter X. Criminal offences: marking;[Chapter XI. Criminal offences: offences specific todeactivated firearms;Chapter XII. Criminal provisions: ancillary offences;Chapter XIII. Seizure, confiscation and disposal;Chapter XIV. Jurisdiction;Section C. International cooperation;Chapter XV. Information exchange and international cooperation;Part Three. Non-mandatory provisions;Section A. Must-consider provisions;Chapter XVI. Brokers and brokering activities;Section B. Optional provisions;Chapter XVII. Simplified procedures for temporary import, export and transit;Annex I. Additional considerations;Annex II. List of relevant instruments and documents;Annex III. National deactivation standards;Annex IV. Destruction methods;Vienna International Centre, PO Box 500, 1400 Vienna, Austria打击非法和贩运枪支及其零部件和弹药示范法;前言;目录;第一部分. 介绍性条款;第一章. 总则;第二章. 定义;第二部分. 强制性条款;A节. 预防措施;第三章. 制造;第四章. 标识;第五章. 记录保管;[第六章. 枪支的停用;第七章. 枪支及其零部件和弹药的进口、出口和过境;B节. 刑罚和临时条款;第八章. 刑事犯罪:非法制造;第九章. 刑事犯罪:非法贩运;第十章. 刑事犯罪:标识;[第十一章. 刑事犯罪:专门针对被停用枪支的犯罪;第十二章. 刑事条款:从属犯罪;第十三章. 扣押、没收和处置;第十四章. 管辖权;C节. 国际合作;第十五章. 信息交流和国际合作; 第三部分. 非强制性条款;A节. 必须考虑的条款;第十六章. 中介和中介活动;B节. 任择条款;第十七章. 临时进口、出口和过境的简化程序;附件一. 需要考虑的补充事项;附件二. 相关文书和文件清单;附件三. 国家停用标准;附件四. 销毁方法;Vienna International Centre, PO Box 500, 1400 Vienna, Austria
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*1182761*V.11-87859—June 2012
United Nations publication打击非法和贩运枪支
Printed in Austria及其零部件和弹药示范法
Sales No. E.11.V.9 USD 32 ISBN 978-92-1-133712-9 V.11-82761—July 2011—220 Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition Model Law against the Illicit Manufacturing of and Trafficking in FirearmsUNITED NATIONS OFFICE ON DRUGS AND CRIME打击非法和贩运枪支及其零部件和弹药示范法联合国毒品和犯罪问题办公室
Model Law against the打击非法和贩运枪支
Illicit Manufacturing of and Trafficking及其零部件和弹药示范法
in Firearms, Their Parts and联合国
Components and Ammunition2012年,维也纳注
UNITED NATIONS Vienna, 2011Note Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document. UNITED NATIONS PUBLICATION Sales No. E.11.V.9 ISBN 978-92-1-133712-9 eISBN 978-92-1-054985-1 © United Nations, July 2011. All rights reserved. The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries.联合国文件编号由大写字母和数字组合而成。提及此种编号就
Requests for permission to reproduce this work are welcomed and should be sent to the Secretary意味着参考某一联合国文件。
of the Publications Board, United Nations Headquarters, New York, N.Y. 10017, U.S.A. or also©联合国,2012 年 6 月。版权所有。
see the website of the Board: https://unp.un.org/Rights.aspx. Governments and their institutions本出版物中所用的名称以及材料的编制方式并不意味着联合国秘书处对任何
may reproduce this work without prior authorization but are requested to mention the source国家、领土、城市或地区或当局的法律地位,或对其边界或边界线的划分表示
and inform the United Nations of such reproduction.任何意见。
Publishing production: English, Publishing and Library Section, United Nations Office at Vienna.iii出版制作:联合国维也纳办事处英文、出版和图书馆科。iii
Preface前言
**
The Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition was developed by the《打击非法制造和贩运枪支及其零部件和弹药示范法》是联合国
United Nations Office on Drugs and Crime (UNODC) in response to the毒品和犯罪问题办公室(毒品和犯罪问题办公室)根据大会向秘书长
request of the General Assembly to the Secretary-General to promote and提出的要求制定的,其目的在于促进和协助会员国加入并执行
assist the efforts of Member States to become party to and implement the《联合国打击跨国有组织犯罪公约》
United Nations Convention against Transnational Organized Crime1
1 and the Protocols thereto. 2 It was developed in particular to assist States in implementing a legislative regime consistent with the provisions contained in the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime. 3 Consequently, the Conference of the Parties to the United Nations Convention against Transnational Organized Crime, in its decision 4/6, adopted at its fourth session, urged States parties to the Firearms Protocol to strengthen their national legislation in a manner consistent with the Protocol, and requested the Secretariat to facilitate, whenever possible, technical assistance to States parties facing difficulties in its implementation; and also requested the Secretariat to develop technical assistance tools to assist States parties in the implementation of the Firearms Protocol. The Model Law is also a response to the specific technical assistance needs identified by Member States in the questionnaires/checklist used to gather information and assess the implementation of the Organized Crime Convention and the Protocols thereto, 4 in which many States indicated the need for model legislation or guidelines in order to harmonize domestic legislation with the requirements of the Convention and its Protocols. The Model Law will both facilitate and help systematize provision of legislative assistance by the Convention as well as facilitate review and amendment of 1 United Nations, Treaty Series, vol. 2225, No. 39574. 2 Ibid., vols. 2237, 2241 and 2326, No. 39574. 3 Ibid., vol. 2326, No. 39574. 4 See the note by the Secretariat on an overview of technical assistance needs identified by States in their responses to the questionnaires/checklist on the implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto (CTOC/COP/WG.2/2009/2) and the related report on an overview of technical assistance requests made by States through the questionnaires/ checklist on the implementation of the Convention (CTOC/COP/WG.2/2009/3). * The present preface is intended as an explanatory note on the genesis, nature and scope of the Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition; it is not part of the text of the Model Law.iv existing legislation and adoption of new legislation by States themselves. It is designed to be adaptable to the needs of each State, whatever its legal tradition and social, economic, cultural and geographical conditions. The Model Law is divided into three parts: Part One (Introductory provisions) contains Model Law text on the introductory provisions and definitions States may choose to include in their domestic legislation. Terms used in the Firearms Protocol are included in the definitions. Additionally, draft definitions are suggested for other terms used in the present Model Law. Part Two (Mandatory provisions) contains Model Law text on all the mandatory provisions of the Firearms Protocol that States are required to ensure are included in their domestic legislation. This includes chapters on preventive measures aimed at regulating the manufacturing, marking, record-keeping and international transfers of firearms, their parts and components and ammunition. The mandatory penal provisions that derive from the preventive measures and the mandatory international cooperation measures are also included in chapters in this part. Part Three (Non-mandatory provisions) elaborates on provisions in the Firearms Protocol on brokers and brokering activities that States are required to consider for inclusion in their national legislation. It also discusses the provision in the Protocol whereby States may adopt simplified procedures for the temporary import, export and transit of firearms, their parts and components and ammunition. Annex I (Additional considerations) contains other provisions that States can also consider for inclusion in their national legislation. These provisions are included to assist States in developing comprehensive legislation on various aspects of firearms regulation. These suggestions stem from other international instruments and national practice. 5 Each chapter and Model Law provision includes a commentary that explains the requirements of the Firearms Protocol and indicates the source of the provision within the Protocol. Due regard is also given to the inter 5 The international legal regime on firearms started to develop in the 1990s, when increasing concern for the proliferation of (illicit) firearms brought the issue of illicit manufacturing of and trafficking in firearms onto the international agenda. Since then, several global and regional instruments have been adopted, both legally and non-legally binding in nature. Most of these instruments have either preceded or influenced the adoption of the Firearms Protocol (e.g. the Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials of 1997) or have been adopted after, building on and further developing the acquis of the Firearms Protocol (see annex II for a detailed list of instruments).v pretative notes for the travaux préparatoires of the Protocol, 6 the Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, 7 as well as the forthcoming UNODC technical guide to the implementation of the Firearms(以下简称《公约》)及其各项
Protocol.《议定书》。
82
The commentaries to the chapters and individual provisions are制定《示范法》尤其是为了协助各国推行与《联合国 打击跨国有组织犯罪公约关于打击非法制造和贩运枪支及其零
an integral part of the Model Law and should be read in conjunction with部件和弹药的补充议定书》(以下简称《枪支议定书》)各项条款相
its provisions.一致的立法制度。
The Model Law is designed primarily to assist States in their implementation of the Firearms Protocol. It is not an exhaustive instrument for3
firearms control. The Model Law also does not provide suggested language因此,联合国打击跨国有组织犯罪公约缔约方 会议第四届会议通过了第4/6号决定,促请《枪支议定书》缔约国 加强其国内立法,使之与《枪支议定书》保持一致,并请秘书处
for other legislative (criminal, administrative or regulatory) provisions that尽可能协助有关方面向面临执行困难的缔约国提供技术援助;还请 秘书处开发技术援助工具,协助缔约国执行《枪支议定书》。
may need to be reviewed and adapted as a consequence of the adoption of另外,《示范法》还回应了会员国在收集和评估《公约》及其 各项《议定书》执行情况调查表 / 清单中所确定的具体技术援助
a firearms law beyond those directly referred to in the present Model Law.需要, 4 许多国家在调查表 / 清单中表明,将国内立法与《公约》 及其《议定书》的要求统一起来需要有示范法和指导原则。示范法》 不仅能促进立法援助的提供,而且还有助于使之制度化,并便于
It should be emphasized that matters related to international cooperation各国审查和修改国内现行立法并通过新立法。《示范法》的制定
in criminal matters, as well as crimes of participation in an organized criminal1
group, corruption, obstruction of justice and money-laundering, which often合国,《条约汇编》,第2225卷,第39574号。
accompany trafficking in firearms, are contained in the Organized Crime2
Convention. It is therefore essential that the provisions of the Firearms Protocol be read and applied together with the provisions of the Convention and上,第2237、2241和2326卷,第39574号。 3 上,第2326 卷,第39574号。 4 秘书长的说明所涉各国在对《联合国打击跨国有组织犯罪公约》及其各项 《议定书》执行情况调查表 / 清单的答复中确定的技术援助需要概览 (CTOC/COP/
that domestic legislation is developed to implement not only the Protocol butWG2/2009/2),以及相关报告所涉各国通过《联合国打击跨国有组织犯罪公约》 及其各项《议定书》执行情况调查表 / 清单提出的技术援助请求概览 (CTOC/COP/
also the Convention.WG.
In addition, any legislation on illicit manufacturing of2/2009/3)。 * 本前言旨在对《打击非法制造和贩运枪支及其零部件和弹药示范法》的渊源、性质 和范围作出解释性说明,其本身并不是《示范法》文本的一部分。iv
and trafficking in firearms, their parts and components and ammunition should适应各国的具体需要,不论其法律传统和社会、经济、文化及地理
be in line with a State’s constitutional principles, the basic concepts of its条件如何。
legal system and its existing legal structure and enforcement arrangements.《示范法》分为三个部分:
Further, definitions used in such legislation on illicit manufacturing of and一部分(介绍性条款)载有关于各项介绍性条款和定义的 《示范法》文本,各国可在其国内法中选用。定义包含《枪支 议定书》中所使用的术语。另外,还就本示范法中所使用的 其他术语提出了定义草案建议。 二部分(强制性条款)载有关于《枪支议定书》所有强制性 条款的《示范法》文本,要求各国切实将该文本纳入本国 立法。这包括有关预防性措施的章节,预防性措施旨在对 枪支及其零部件和弹药的制造、标识、记录和国际转让进行 管制。本部分有关章节还包括源于预防性措施和强制性国际 合作措施的强制性刑法条款。 三部分(非强制性条款)详细介绍了《枪支议定书》中关于 中介和中介活动的条款,要求各国考虑将这些条款纳入本国 立法。这一部分还论述了《枪支议定书》中有关各国采用 枪支及其零部件和弹药临时进出口和过境简化程序的条款。 附件一(需要考虑的补充事项)中还有另外一些条款,各国 也可考虑纳入本国立法。载入这些条款的目的在于协助各国就各 方面的枪支管制问题制定全面立法。这些建议源自其他国际文书 和国家惯例。 5 每个章节和《示范法》每项条款都包含一个评注,解释《枪支 议定书》的各项要求,并说明《枪支议定书》中有关条款的出处。 5 于枪支问题的国际法律制度建设始于1990年代,当时,由于人们对(非法)枪支 扩散越来越担忧,致使枪支的非法贩运和制造问题被列入国际议程。从那时起,已有 若干具有或不具有法律约束力的全球和区域性文书获得通过。这些文书大多在《枪支 议定书》通过之前就已存在,或对《枪支议定书》的通过产生了影响(例如1997年《美洲
trafficking in firearms, their parts and components and ammunition should国家禁止非法制造和贩运枪支、弹药、爆炸物及其他有关材料公约》),或在《枪支议定书》
be consistent with similar definitions used in other laws. The Model Law is通过之后获得通过,并加强和进一步发展了《枪支议定书》已取得的成果(有关各项
not meant to be incorporated as a whole and a careful review of the whole文书的详细列表见附件二)。v
legislative context of a given State should be undertaken. In that respect, the还应适当考虑对《枪支议定书》准备工作材料、《执行联合国打击
Model Law cannot stand alone and domestic legislation also implementing跨国有组织犯罪公约及其各项议定书立法指南》
the provisions of the Convention is essential for it to be effective.6
States may choose to legislate with respect to a broader range of weapons以及即将出版的
and adopt additional measures to those provided for by the Convention and联合国毒品和犯罪问题办公室执行《枪支议定书》技术指南
the Protocol to prevent and combat illicit manufacturing of and trafficking in7
6所作
Interpretative notes for the official records (travaux préparatoires) of the negotiation of the的解释性说明。
Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components8
and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime章节和个别条款的评注属于《示范法》的重要
(A/55/383/Add.3).组成部分,应结合《示范法》条款进行解读。
7《示范法》的主要目的是协助各国执行《枪支议定书》。示范法》
United Nations publication, Sales No. E.05.V.2.并不是一项详尽无遗的枪支管制文书。除了本示范法直接提到的 那些条款之外,《示范法》也没有为其他因枪支法的通过而需要
8加以审查和修改的立法(刑事、行政或管制)条款提供建议性
The UNODC technical guide was developed by UNODC between 2007 and 2010 and will provide用语。
practical examples and advice to Member States on how to implement particular aspects of the Firearms应当强调的是,在刑事事项中与国际合作有关的事项以及各种
Protocol.vi犯罪行为,如加入有组织犯罪集团、腐败、妨碍司法和洗钱(经常
firearms, their parts and components and ammunition and related transnational与贩卖枪支同时进行)等,均被列入了《打击跨国有组织犯罪 公约》。因此,必须结合《公约》条款来解读和适用《枪支议定书》
organized crime, bearing in mind that any investigation, prosecution or other条款。国内立法的制定不仅是为了执行本议定书,也是为了执行 《公约》。另外,任何打击非法制造和贩运枪支及其零部件和弹药
procedures outside the scope of the Convention or the Protocol would not be的立法都应与一个国家的宪法原则、其法律制度的基本概念及其 现有法律框架和执法安排保持一致,而且上述打击非法制造和
covered by the various requirements to provide international cooperation.贩运枪支及其零部件和弹药的立法中所采用的定义也应与其他 法律中的类似定义相一致。《示范法》不能全部照搬,这要求对
The work on the UNODC Model Law against the Illicit Manufacturing特定国家的整个立法环境进行认真审查。就此而言,《示范法》不 可能单独发挥效用,也执行《公约》条款的国内立法对《示范法》
of and Trafficking in Firearms, Their Parts and Components and Ammunition的生效是必不可少的。 各国不妨针对更多种类的武器制定相关立法,并根据《公约》 和《枪支议定书》规定的措施采取补充措施,以防止和打击非法
has been carried out by the Organized Crime and Illicit Trafficking Branch,制造和贩运枪支及其零部件和弹药以及跨国有组织犯罪,同时
Division for Treaty Affairs, of UNODC. Two consultant drafters, Clare da6
Silva and Sarah Parker, assisted the Office. A group of experts《〈联合国打击跨国有组织犯罪公约关于打击非法制造和贩运枪支及其零部件和 弹药的补充议定书〉谈判正式记录(准备工作文件)的解释性说明》(A/55/383/Add.3)。
97
in the field合国出版物,出售品编号:E.05.V.2。 8 《联合国毒品和犯罪问题办公室技术指南》系由联合国毒品和犯罪问题办公室在 2007 至 2010 年期间编写,为会员国如何执行《枪支议定书》的特定方面提供了实例和
of firearms manufacturing, licensing and trafficking prevention from a variety建议。vi
of legal and geographical backgrounds were consulted to review the draft牢记对提供国际合作的各种要求不应包括《公约》或《枪支议定书》
of the Model Law.规定范围以外的任何调查、起诉或其他程序。
9联合国毒品和犯罪问题办公室条约事务司有组织犯罪与 非法贩运处开展了与毒品和犯罪问题办公室《打击非法制造和 贩运枪支及其零部件和弹药示范法》有关的工作。两位起草顾问 Clare da Silva 和 Sarah Parker 为毒品和犯罪问题办公室提供了
Experts from the following countries were invited to participate: Argentina, Australia,帮助。在枪支制造、颁发执照和贩运预防领域具有不同法律和
Belgium, Brazil, Chile, China, Croatia, Ethiopia, Guatemala, India, Italy, Kenya, Mexico, Nigeria, Peru,地理背景的一些专家
Saint Vincent and the Grenadines, Senegal, Spain, the former Yugoslav Republic of Macedonia, Uganda,9
United Kingdom of Great Britain and Northern Ireland, United Republic of Tanzania and United States为审查《示范法》草案提供了咨询意见。
of America. The following organizations were also represented: the Counter-Terrorism Committee Executive Directorate, the United Nations Coordinating Action on Small Arms, the East African Community,9
the European Commission, the International Criminal Police Organization (INTERPOL), the Organization自以下国家的专家受邀参加:阿根廷、澳大利亚、比利时、巴西、智利、中国、
for Security and Cooperation in Europe, the Southern African Regional Police Chiefs Cooperation Organization and the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use克罗地亚、埃塞俄比亚、危地马拉、印度、意大利、肯尼亚、墨西哥、尼日利亚、秘鲁、 圣文森特和格林纳丁斯、塞内加尔、西班牙、前南斯拉夫的马其顿共和国、乌干达、
Goods and Technologies. Civil society and private sector participants included the Group for Research大不列颠及北爱尔兰联合王国、坦桑尼亚联合共和国及美利坚合众国。以下组织有代表 参加:反恐怖主义执行局、联合国小武器协调行动、东非共同体、欧洲联盟委员会、
and Information on Peace and Security, FN Herstal, the International Action Network on Small Arms,国际刑事警察组织(刑警组织)、欧洲安全与合作组织、南部非洲区域警察首长合作 组织和《关于常规武器和两用货物及技术的出口管制的瓦塞纳尔安排》。民间社会和
the Italian National Association of Arms and Munitions Manufacturers (ANPAM), Saferworld, the Small私营部门参加者包括:和平与安全研究和信息小组、比利时国营赫斯塔尔公司、国际 禁止小武器行动网、意大利武器和弹药制造商协会、更安全世界、小武器调查以及
Arms Survey and the World Forum on the Future of Sport Shooting Activities.vii射击运动的未来世界论坛。vii
Contents目录
Page页次
Preface .前言.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
iiiiii
Part one.第一部分 .
Introductory provisions .介绍性条款.
. . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
11
Chapter I.第一章.
General provisions .总则 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
11
Article 1.第 1条.
Title .标题 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
11
Article 2.第2条.
Commencement .生效 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
22
Article 3.第 3 条 .
General purposes and application .一般目的和适用范围 .
. . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . ..
22
Chapter II.第二章 .
Definitions .定义 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
44
Article 4.第 4条.
Definitions .定义 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
44
Part two.第二部分.
Mandatory provisions .强制性条款.
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1111
Section A.A 节.
Preventive measures .预防措施 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1111
Chapter III.第三章.
Manufacturing .制造 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1111
Article 5.第5条.
Prohibition to manufacture without a licence .禁止在无许可证的情况下制造枪支和弹药 .
. . . ....
1111
Article 6.第 6 条.
Licence conditions for a manufacturer’s licence .发放制造许可证的许可条件 .
. ... . . . . . . . . . . . ..
1313
Chapter IV.第四章 .
Marking .标识 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1515
A.A.
Initial markings .初次标识 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1515
Article 7.第 7条.
Marking of firearms at the time of manufacture .制造时的标识 .
. ... . . . . . . . . . . . . . . . . . . . . . . . ..
1515
B.B.
Additional markings .补充标识 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1717
Article 8.第 8条.
Marking of firearms at the time of import .进口时的枪支标识 .
. . . . . ... . . . . . . . . . . . . . . . . . . . ..
1717
Article 9.第9条.
Marking at the time of transfer from government stocks to civilian use .从政府库存转为民用时的标识 .
. . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . ..
1919
Article 10.第10条.
Marking at the time of disposal other than by destruction .在进行除销毁以外其他处置时的标识 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . ..
2020
[Article 11.[第 11条.
Marking at the time of deactivation] .用时的标识] .
. . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . ..
2121
Chapter V.第五章.
Record-keeping .记录保管 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2323
A.A.
Records of transactions .交易记录 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2323
Article 12. Information on international transactions in firearms 23第12条. 关于国际枪支交易的信息 . . . . . . . . . . . . . . . . 23
Article 13.第 13 条 .
Information on international transactions in parts and components and ammunition .于国际枪支零部件及弹药交易的信息 .
. . . . . . . . . . . . . ... . ..
24viii24viii
Page页次
B.B.
Records of manufacture and disposal .制造和处置记录 .
. . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2525
Article 14.第 14条.
Information on items manufactured .关于制造品的信息 .
. . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . ..
2525
Article 15.第15条.
Information on firearms disposed of other than by于除销毁以外通过其他方式处置枪支的
destruction .信息 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2727
Article 16.第16条.
Information on ammunition disposed of other than于除销毁以外通过其他方式处理弹药的
by destruction.信息 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2828
Article 17.第17条.
Information on seized and confiscated firearms,于被扣押和没收枪支及其零部件和弹药
their parts and components and ammunition .的信息 .
. . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
2929
[Article 18.[第18条.
Information on deactivated firearms] .于被停用武器的信息 .
. . . . . . . . . . ... . . . . . . . . . . . . . . . ..
3030
C.C.
Administrative requirements .行政要求 .
. . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
3131
Article 19.第19条.
Duration of record-keeping .记录保管期限 .
. . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
3131
[Chapter VI.[第六章.
Deactivation of firearms] .枪支的停用] .
. . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . ..
3333
[Article 20.[第20条 .
Prohibition to deactivate a firearm without authorization] .止未经授权停用枪支] .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . ..
3333
[Article 21.[第21条 .
Prior authorization to deactivate a firearm] .用枪支之前的事先授权] .
. . . . . ... . . . . . . . . . . . . ..
3434
[Article 22.[ 第22条.
Method of deactivation] .用方法 ] .
. . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . ..
3535
[Article 23.[ 第23条.
Verification of deactivation] .用核查] .
. . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . ..
3636
[Article 24.[ 第24条.
Surrender of licence] .还许可] .
. . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . ..
3737
Chapter VII. Import, export and transit of firearms, their parts第七章. 支及其零部件和弹药的进口、出口和过境 . . 38
and components and ammunition .支及其零部件和弹药的进口、出口和过境许可[授权] .
. . . . . . . . . . . . . ....
3838
Licensing [authorization] of import, export and transit of第 25条 . 止在无照 [ 未经授权] 情况下允许枪支
firearms, their parts and components and ammunition .及其零部件和 .
. . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
3838
Article 25. Prohibition of import, export and transit of第 26 条 . 核实或确认后的文件 . . . . . . . . . . . . . . . . . . . . 39
firearms, their parts and components and第 27 条. 申请出口许可证[ 授权] . . . . . . . . . . . . . . . . . 40
ammunition without a licence [authorization] . . . . . 38第 28条. 申请进口许可证 [ 授权] . . . . . . . . . . . . . . . . . 41
Article 26.第29 条.
Verified or validated documents .口和出口许可证[ 授权 ]的细节 .
. . . . . . . . . . . . . . ... . . . . . . ..
3942
Article 27. Application for an export licence [authorization] . . 40 Article 28. Application for an import licence [authorization] . . 41 Article 29. Particulars of an export or import licence [authorization] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Article 30. Delivery verification . . . . . . . . . . . . . . . . . . . . . . . . . 43第30 条. 交货核查 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Section B.B 节 .
Penal and provisional provisions .刑罚和临时条款 .
. . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
4444
Chapter VIII.第八章.
Criminal offences: illicit manufacturing .刑事犯罪:非法制造 .
. . . . . . . ... . . . . . . . . . . . . . . . . . . . ..
4848
Article 31.第31 条.
Illicit manufacturing of firearms .非法制造枪支 .
. . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
4848
Article 32.第 32条.
Illicit manufacturing of parts and components .非法制造零部件 .
. . ... . . . . . . . . . . . . . . . . . . . . . ..
4949
Article 33.第 33 条 .
Illicit manufacturing of ammunition .非法制造弹药 .
. . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
5050
Chapter IX.第九章.
Criminal offences: illicit trafficking .刑事犯罪:非法贩运 .
. . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . ..
51ix51ix
Page页次
Article 34.第34条.
Transnational transfers without legal authorization .在未经合法授权情况下的跨国转让 .
... . . . . . . ..
5151
Article 35. Transnational transfers of unmarked/improperly第 35条. 标识/ 标识不当枪支的跨国转让 . . . . . . . . 51
marked firearms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51第十章. 刑事犯罪:标识 . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Chapter X.第36条.
Criminal offences: marking .虚假标识 .
. . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
5353
Article 36.第 37 条 .
False markings .清除和更改标识 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . ..
5354
Article 37.[ 第十一章.
Removal and alteration of firearm markings .事犯罪:专门针对被停用枪支的犯罪] .
. . . . ....
5456
[Chapter XI. Criminal offences: offences specific to deactivated[第 38条. 法停用] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
firearms] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56第十二章. 刑事条款:从属犯罪 . . . . . . . . . . . . . . . . . . . . 58
[Article 38.第39条.
Illicit deactivation] .未遂犯罪 .
. . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
5658
Chapter XII.第40条.
Criminal provisions: ancillary offences .以从犯身份参与犯罪 .
. . . . . . . . ... . . . . . . . . . . . . . . . . . ..
5859
Article 39. Attempts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58第41 条 . 织、指导、协助、教唆和便利犯罪或
Article 40. Participating as an accomplice . . . . . . . . . . . . . . . . . 59 Article 41. Organizing, directing, aiding, abetting, facilitating or counselling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59为犯罪出谋划策 . . . . . . . . . . . . . . . . . . . . . . . . 59
Chapter XIII.第十三章 .
Seizure, confiscation and disposal .扣押、没收和处置 .
. . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . ..
6060
A.A.
Enabling confiscation: search and seizure .授权没收:搜查和扣押 .
. . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . ..
6161
B.B.
Confiscation and forfeiture .充公和没收 .
. . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
6161
C.C.
Destruction or other authorized form of disposal .销毁或其他授权处置形式 .
. . . . . . . ... . . . . . . . . . . . . . . . . . . . ..
6262
Chapter XIV.第十四章 .
Jurisdiction .管辖权 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
6464
Article 42.第42 条 .
Application of this Law .本法的适用 .
. . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . ..
6464
Article 43.第 43条.
Extradition .引渡 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
6666
Section C.C 节 .
International cooperation .国际合作 .
. . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
6767
Chapter XV. Information exchange and international第十五章. 息交流和国际合作 . . . . . . . . . . . . . . . . . . . . 67
cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67A. 国家联络点 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
A. National point of contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Article 44. Establishment of a national point of contact . . . . . . 67第44条. 国家联络点的设立 . . . . . . . . . . . . . . . . . . . . . . 67
B.B.
International cooperation .国际合作 .
. . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
6969
C.C.
International cooperation for the purposes of tracing .以追查为目的的国际合作 .
. . . . ... . . . . . . . . . . . . . . . . . . . ..
7171
Article 45.第45条.
International tracing requests .国际追查请求 .
. . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
7171
Part three.第三部分 .
Non-mandatory provisions .非强制性条款 .
. . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7373
Section A.A 节.
Must-consider provisions .必须考虑的条款 .
. . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7373
Chapter XVI.第十六章 .
Brokers and brokering activities .中介和中介活动 .
. . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . ..
7373 A.
A. Registration of brokers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74x中介的注册 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74x
Page页次
Article 46.第 46条.
Registration requirement .注册要求 .
. . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7474
Article 47.第 47条.
Registration application .注册申请 .
. . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7575
Article 48.第48条.
Registration [authorization] criteria .注册[ 授权] 标准 .
. . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . ..
7575
Article 49.第49条.
Review of a decision not to register [authorize] an不注册 [ 批准 ] 某个申请人的决定进行
applicant .复核 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7676
Article 50.第50条.
Validity of broker registration and renewal .中介注册和延期的有效性 .
. . . . . ... . . . . . . . . . . . . . ..
7676
Article 51. Notification of changes in information furnished第 51条. 于变更信息的通知 . . . . . . . . . . . . . . . . . . . . 77
by a registered broker . . . . . . . . . . . . . . . . . . . . . . . . 77第 52条. 中介注册的取消 . . . . . . . . . . . . . . . . . . . . . . . . 77
Article 52.第 53条.
Cancellation of registration as a broker .保管记录 .
. . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
7777
Article 53.B.
Record-keeping .对中介活动的许可 [ 授权] .
. . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . ..
7778
B.第54条.
Licence for [authorization of] brokering activities .中介许可证的要求 .
. . . . . . ... . . . . . . . . . . . . . . . . . . . ..
7878
Article 54.第 55条.
Requirement for a brokering licence .申请中介活动许可证 .
. . . . . . . . . . ... . . . . . . . . . . . . . . . . . ..
7879
Article 55.第56条.
Application for a brokering activity licence .中介活动许可证申请的评估标准 .
. . . . ... . . . . . . . ..
7980
Article 56. Criteria for assessing a brokering activity licence第57条. 一般许可证 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80第58条. 对中介活动许可证[ 授权]的撤销或修正 . . . 81
Article 57.第59条.
General licences .对中介活动许可证的许可条件 .
. . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . ..
8081
Article 58. Revocation or amendment of a brokering activity第 60条. 中介活动许可证 [ 授权 ] 的有效性 . . . . . . . . . 82
licence [authorization] . . . . . . . . . . . . . . . . . . . . . . . . 81B 节 . 任择条款 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Article 59.第十七章.
Licence conditions for a brokering activity licence .时进口、出口和过境的简化程序 .
... . . . . . ..
8183
Article 60. Validity of a brokering activity licence第 61 条 . 临时进口、出口或过境许可的简化程序 . . . . 84
[authorization] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82第 62 条 . 临时出口许可 . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Section B.第 63条.
Optional provisions .临时进口许可 .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . ..
8386
Chapter XVII. Simplified procedures for temporary import,第64 条 . 临时过境许可 . . . . . . . . . . . . . . . . . . . . . . . . . . 88
export and transit . . . . . . . . . . . . . . . . . . . . . . . . . . 83第65条. 记录保管 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Article 61. Simplified procedures for a temporary import,第 66 条 . 关联罪行 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
export or transit permit . . . . . . . . . . . . . . . . . . . . . . . 84第 67条. 未经许可或授权的临时进口、出口或过境 . . 89
Article 62.第 68条.
Temporary export permit .向临时进口枪支国以外的国家出口 .
. . . . . . . . . . . . . . . . . . . ... . . . . . ..
8489
Article 63.第 69条.
Temporary import permit .反临时出口、进口或过境许可的效力 .
. . . . . . . . . . . . . . . . . . . ... . ..
8690
Article 64. Temporary transit permit . . . . . . . . . . . . . . . . . . . . . 88第 70条. 临时出口、进口或过境许可表上提供
Article 65. Record-keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 Article 66. Associated offences . . . . . . . . . . . . . . . . . . . . . . . . . . 89 Article 67. Temporary import, export or transit without permit or authorization . . . . . . . . . . . . . . . . . . . . . . . 89 Article 68. Exporting to a State other than the State from which the firearms were temporarily imported . . . . 89 Article 69. Breaching the validity of a temporary export, import or transit permit . . . . . . . . . . . . . . . . . . . . . . 90 Article 70. Giving false or misleading information on temporary export, import or transit permit forms . . 90xi虚假或错误信息 . . . . . . . . . . . . . . . . . . . . . . . . 90xi
Page页次
Annexes附件
I.一 .
Additional considerations .需要考虑的补充事项.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . ..
9191
II.二 .
List of relevant instruments and documents .相关文书和文件清单.
. . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . ..
141141
III.三.
National deactivation standards .国家停用标准.
. . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
149149
IV.四 .
Destruction methods .销毁方法.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
15511551
Part one.第一部分 .
Introductory provisions介绍性条款
Commentary评注
Part one contains Model Law text on the introductory provisions and definitions第一部分载有关于各项介绍性条款和定义的《示范法》文本,各国不妨列入本国立法。
States may choose to include in their domestic legislation.第一章 . 总则
Chapter I. General provisions评注
Commentary各国可根据本国的法律制度和立法起草惯例,选择纳入一个序言和若干条款,对法律的
Depending on the national legal system and legislative drafting practice,一般范围及其通过情况加以说明。以下条款草案的制定是为了协助各国起草其国内立法
States may choose to introduce a preamble and provisions setting out the初步条款和介绍性条款,而不是《联合国打击跨国有组织犯罪公约关于打击非法制造和贩
general scope of the law and its adoption process. The following draft articles运枪支及其零部件和弹药的补充议定书》之下的强制性条款。
are designed to assist States in drafting such preliminary and introductory第 1 条 . 标题
provisions of their domestic legislation and are not mandatory under the本法可援引为[ 法律标题,如[ 通过年份]《[ 国家名称]枪支及其
Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their零部件和弹药法》。
Parts and Components and Ammunition, supplementing the United Nations评注
Convention against Transnational Organized Crime.本条款根据国家法律制度制定,并应作相应的改动。如果是以一项单独法律颁布打击非法
Article 1. Title制造和贩运枪支其零部件和弹药的现行法律,则本条款可不予采用。在此情况下,应在颁
The present Law may be cited as the [title of the law, e.g. Law on Firearms,布的法律中提及该单独法律的标题。标题的例子有:
Their Parts and Components and Ammunition] of [name of State] [year of《武器及弹药法》
adoption].《枪支法》
Commentary《武器法》2 打击非法制造和贩运枪支及其零部件和弹药示范法
The formulation of this provision depends on the national legal system and第 2 条 . 生效
should be adapted accordingly. This article is redundant when there is a separate本法应于[ 日期] 开始生效。
law promulgating the present law on illicit manufacturing of and trafficking in评注
firearms, their parts and components and ammunition. In such a case the title各国应遵循其使法律开始生效的立法程序,并对《示范法》这项条款作相应的改动。
of the law will be mentioned in the promulgation law.第3条 .
Examples of titles are:一般目的和适用范围
Arms and Ammunition Act1. 本法的目的是:
Firearms Act Weapons Law2 Model Law on Firearms, Their Parts and Components and Ammunition Article 2. Commencement The present Law shall come into force on [date]. Commentary States should follow their legislative procedures governing commencement and this article of the Model Law should be adapted accordingly. Article 3. General purposes and application 1. The purposes of this Law are: (a) To prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition; (b) To ensure investigation and prosecution of the offences established under the present Law; and (c) To promote, facilitate and strengthen national and international cooperation in order to meet those objectives. Commentary Source: Protocol, articles 2 and 4, paragraph 1. In addition to general provisions regarding the title and commencement of the law, in some jurisdictions it may be appropriate to include provisions addressing the general purposes and application of the law. A national law on firearms should be sufficiently comprehensive to prevent and combat illicit manufacturing of and trafficking in firearms. This is in line with decision 4/6 of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime, in which it urges States parties to strengthen their national legislation in a manner consistent with the Protocol. Article 4 limits the applicability of the Firearms Protocol to the prevention, investigation and prosecution of offences that are transnational in nature and involve an organized criminal group. However, those requirements are not part of the definition of the specific offences set out in article 5 of the Protocol and national laws should establish those offences independently of the transnational nature or the involvement of an organized criminal group (see the Convention, article 34, paragraph 2). 2. Except as otherwise stated in the present Law, the provisions of this Law shall apply to all commercially traded firearms, their parts and components and ammunition, and to the investigation and prosecution of the offences established under this Law.Part One. Introductory provisions 3 Commentary Article 4, paragraph 2, of the Protocol stipulates that the Protocol shall not apply to state-to-state transactions or state transfers where the application of the Protocol would prejudice the right of a State party to take action in the interest of national security consistent with the Charter of the United Nations. The Legislative Guide for the Implementation of the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Trans­ national Organized Crime 1 clarifies that the words “state-to-state transactions” refer only to transactions undertaken by the State in its sovereign capacity and excludes those transactions where a State is acting in its commercial capacity (see the Legislative Guide, paragraph 64). 1 United Nations publication, Sales No. E.05.V.2, part four.4 Model Law on Firearms, Their Parts and Components and Ammunition Chapter II. Definitions Commentary There is no mandatory requirement that terms used in the Protocol be defined in domestic law, although national legislatures may find it necessary to adopt or amend legislative definitions to ensure that other legislative requirements apply to the full range of subject matter specified by the Protocol. This chapter only contains definitions of terms that are specific to illicit manufacturing of and trafficking in firearms, their parts and components and ammunition. General terms (for example, “accomplice”, “aiding and abetting” and so on) are not included, as they should already be incorporated into the national law (with all the national variations possible). Where possible, definitions are derived from the Protocol, the Convention or other existing international instruments. Where States have already developed definitions for terms included in this Model Law, these should be reviewed to ensure that the existing definitions are suitable for it. If the national legislation does not contain the necessary definitions, then it should be modified accordingly. States may choose to adopt stricter measures then the ones provided for by the Protocol or to legislate with respect to a broader range of weapons. However, in general it is advisable for States to adopt definitions that are consistent with the Convention and the Protocol in order to facilitate cooperation with other countries in the investigation, prosecution or other procedures relating to activities under the scope of the Convention and its Protocol and to ensure compliance with the various international cooperation requirements. Some jurisdictions prefer to include a chapter on definitions in the law, either at the beginning or at the end of the law. In other jurisdictions the criminal code or law contains a general chapter with definitions, in which case some or all of the definitions mentioned below can be included. In some cases, States may find it advisable to leave the interpretation to the courts. Article 4. Definitions For the purposes of this Law, the following definitions shall apply: (a) “Ammunition” shall mean the complete round and shall include [insert those components which are subject to authorization or legal regulation under existing national legislation, e.g. cartridge cases, primers, propellant powder, bullets or projectiles] that are used in a firearm;Part One. Introductory provisions 5 Commentary Source: Protocol, article 3, subparagraph (c). The Protocol definition of “ammunition” includes all finished and assembled types of ammunition, including its components, when those components are themselves subject to authorization/regulation by the State “provided that those components are themselves subject to authorization in the respective State Party” (see article 3, subparagraph (c)). The Protocol requires a certain degree of regulation of the components of ammunition, since these can easily be transferred for assembly at destination. However, some States find this regulatory burden too heavy and avoid regulation of all components, thus only regulating assembled cartridges. Some countries may also already have a definition of “explosives” in their national legislation, as a consequence of their participation in one of the regional instruments on firearms (for example, the Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials) and may therefore already have regulated or restricted the primer and the propellant as explosive materials (see the Legislative Guide, paragraphs 52-54). (b) “Antique firearm” shall mean a firearm manufactured during or before the year 1899; Commentary Source: Article 3, subparagraph (a), of the Protocol stipulates that antique firearms and their replicas shall be defined according to domestic law, but that “in no case ... shall antique firearms include firearms manufactured after 1899”. (c) “Broker” shall mean a person or entity acting as an intermediary that brings together relevant parties and arranges or facilitates a potential transaction involving firearms in return for some form of benefit, whether financial or otherwise; Commentary The Protocol does not define the terms “broker” and “brokering activities”. The report of the Group of Governmental Experts established pursuant to General Assembly resolution 60/81 to consider further steps to enhance international cooperation in preventing, combating and eradicating illicit brokering in small arms and light weapons (A/62/163 and Corr.1) provides some useful guidance. In the absence of an internationally agreed definition of “broker”, the present definition has been adapted from the report on brokering.6 Model Law on Firearms, Their Parts and Components and Ammunition (d) “Brokering activities” shall mean: (i) Serving as a finder of business opportunities to one or more parties to a transaction involving firearms, their parts and components and(a) 防止、打击和消除非法制造和贩运枪支及其零部件和
ammunition;弹药;
(ii) Putting relevant parties to a transaction involving firearms, their(b) 确保对依照本法确定的各项罪行进行调查和起诉;和
parts and components and ammunition in contact;(c) 为了实现上述目标而推动、促进和加强国内及国际
(iii) Assisting parties in proposing, arranging or facilitating agreements合作。
or possible contracts involving firearms, their parts and components and评注
ammunition between them;法律出处:《枪支议定书》,第2条和第4条第1款
(iv) Assisting parties to a transaction involving firearms, their parts除了关于本法律标题和开始生效部分的一般条款外,在某些管辖区域,可能还需要列入
and components and ammunition in obtaining the necessary documentation; or有关本法律一般目的和适用范围的条款。国家枪支法应十分全面,以防止和打击非法制造
(v) Assisting parties to a transaction involving firearms, their parts and和贩运枪支。这项要求符合《联合国打击跨国有组织犯罪公约》缔约方会议第 4/6号决定,
components and ammunition in arranging the necessary payments;该决定促请各缔约国“加强其国内立法,使之与本议定书保持一致”。
Commentary根据《枪支议定书》第 4条规定,本议定书只适用于预防、侦查和起诉带有跨国性质
Source: This definition is adapted from the report on brokering (A/62/163 and且牵涉有组织犯罪集团的犯罪。但是,这些要求并不属于本议定书第 5条所述具体犯罪
Corr.1, paragraph 9).定义的一部分,因此,应在国内法律中确定这些犯罪行为,不论其是否带有跨国性质或
This proposed definition focuses on the direct activities of the broker and does是否牵涉有组织犯罪集团(见《公约》,第34条第2款)。
not include closely associated activities that may be facilitated by brokers as2. 除了在本法中另有明确规定之外,本法各项条款应适用
part of the process of arranging or facilitating a potential transaction but are not于所有以商业方式交易的枪支及其零部件和弹药,以及对本法
directly undertaken by them.所涉各种犯罪进行的调查和起诉。第一部分 .
This could include, for example, transport, freight介绍性条款 3
forwarding, storage, finance and insurance (the report on brokering elaborates评注
on “closely associated activities” in paragraph 10). Controls on the actions of《枪支议定书》第 4条第 2款规定,如果本议定书的适用妨碍缔约国行使其权利,根据
these indirect actors (such as banks or insurance or transport companies) are《联合国宪章》采取有利于国家安全的行动,则本议定书不应适用于国家间交易或国家转让。
generally done through separate regulatory mechanisms and legislative regimes.《联合国打击跨国有组织犯罪公约关于打击非法制造和贩运枪支及其零部件和弹药的补充
States, however, can choose to draft a broader definition of brokering activities议定书实施指南》《立法指南》)
and include the aforementioned closely associated activities.1
(e) “Confiscation”, which includes forfeiture where applicable, shall说明,国家间交易”只是指国家以其主权身份进行的交易,
mean the permanent deprivation of property by order of a court or other不包括一个国家以其商业身份进行的交易(见《立法指南》,第64段)。
competent authority;1
Commentary Source: Convention, article 2, subparagraph (g). Option 1 (f) “Deactivated firearm” shall mean a firearm that has been deactivated;Part One. Introductory provisions 7 Commentary ource: The principles of deactivation are outlined in article 9, subparagraph (a), of the Protocol. A definition of “deactivated firearm” is only relevant and necessary where a distinction is made between deactivated firearms and operative firearms, that is, where a State does not recognize a deactivated firearm as a firearm for the purposes of its law(s) governing firearms. In some jurisdictions the phrase “rendered permanently inoperable” is used rather than “deactivated”. Option 2 (f) “Deactivated firearms” shall mean objects corresponding to the definition of a firearm that have been rendered permanently unfit for use by deactivation, ensuring that all essential parts of the firearm have been rendered permanently inoperable and incapable of removal, replacement or a modification that would permit the firearm to be reactivated in any way; Commentary Source: Article 13, subparagraph (b)(i)(a), of directive 2008/51/EC of the European Parliament and Council of the European Union amending Council directive 91/477/EEC on control of the acquisition and possession of weapons. The same definition is contained in article 2, paragraph 4, of the proposal for a regulation of the European Parliament and of the Council of the European Union implementing article 10 of the United Nations Firearms Protocol and establishing export authorization, import and transit measures for firearms, their parts and components and ammunition.联合国出版物,出售品编号:E.05.V.2,第四部分。4 打击非法制造和贩运枪支及其零部件和弹药示范法
(g) “Exporter” shall mean any person engaged in the business of第二章 . 定义
exporting or sending firearms, their parts and components and ammunition评注
from [name of State]; Commentary The draft EC proposal implementing article 10 of the Firearms Protocol defines “exporter” as a person who “holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the customs territory” (article 2, paragraph 6). (h) “Firearm” shall mean any portable barrelled weapon that expels, is designed to expel or may be readily converted to expel a shot, bullet or projectile by the action of an explosive, excluding antique firearms or their replicas;8 Model Law on Firearms, Their Parts and Components and Ammunition Commentary Source: Protocol, article 3, subparagraph (a). The definition of “firearm” will be a critical element of domestic implementing legislation. States will in many cases already have one or more domestic legal definitions. States that do not already have a definition in domestic law should include one that at a minimum complies with the definition in the Protocol in order to ensure the application of the various forms of cooperation under the Protocol and the Convention (see the Legislative Guide, paragraphs 34 and 35). Some global and regional instruments and also some national legislations have adopted a broader scope as they apply to small arms and light weapons. These include, for example, the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, the International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (paragraph 4), the Economic Community of West African States (ECOWAS) Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials (article 1) and the Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region and the Horn of Africa (article 1). Other instruments refer to firearms, parts and components, explosives and ammunition, such as the Firearms Protocol, the Inter-American Convention and the Protocol on the Control of Firearms, Ammunition and Other Related Materials in the Southern African Development Community (SADC) region. States that have already adopted national laws based on a small arms and light weapons definition should be aware of the differences and adapt accordingly when drafting their own national legislation using this Model Law. (i) “Freezing” or “seizure” shall mean temporarily prohibiting the transfer, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority; Commentary Source: Convention, article 2, subparagraph (f). (j) “Importer” shall mean any person engaged in the business of importing or bringing firearms, their parts and components and ammunition into [name of State]; (k) “Illicit manufacturing” shall mean the manufacturing or assembly of firearms, their parts and components or ammunition: (i) From parts and components illicitly trafficked;虽然国内立法机关可能会认为有必要通过或修改立法定义,来确保其他立法要求适用于
(ii) Without a licence or authorization from [name of licensing authority]; or Part One. Introductory provisions 9《枪支议定书》中具体规定的所有标的物,但是,就国内法中是否应对本议定书中所使用
(iii) Without marking the firearms at the time of manufacture, in的术语进行定义,并没有作出任何强制性规定。
accordance with this Law; Commentary Source: Protocol, article 3, subparagraph (d). (l) “Illicit trafficking” shall mean the import, export, acquisition, sale, delivery, movement or transfer of firearms, their parts and components and ammunition from or across the territory of one State to that of another State if any one of the States concerned does not authorize the said import, export, acquisition, sale, delivery, movement or transfer of the firearms, their parts and components and ammunition or if the firearms are not marked in accordance with this Law; Commentary Source: Protocol, article 3, subparagraph (e). (m) “Manufacture” consists of the development, production, [reverse engineering,] assembly and licensed production of firearms, their parts and components and ammunition, as well as the conversion or transformation of something [that is not a firearm] into a firearm [and the reactivation of a deactivated firearm]; Commentary Source: The Protocol defines “illicit manufacturing”, but not the term “manufacturing”. The definition in this Model Law is adapted from the definition of “manufacturing” included in annex I to the report of the Group of Governmental Experts established pursuant to General Assembly resolution 54/54 V (A/CONF.192/2). The text in square brackets does not form part of the original definition. Under the Protocol, it is mandatory for States parties that do not recognize deactivated firearms as “firearms” to take the necessary measures to prevent reactivation. Therefore, the inclusion of the phrase “and the reactivation of a deactivated firearm” is only necessary where a State has deactivation standards in place that do not require deactivated firearms to be rendered permanently inoperable and that contemplate the reactivation of a deactivated firearm. (n) “Parts and components” shall mean any element or replacement element designed specifically for a firearm and essential to its operation, including a barrel, frame or receiver, slide or cylinder, bolt or breech block, and any device designed or adapted to diminish the sound caused by firing a firearm;10 Model Law on Firearms, Their Parts and Components and Ammunition本章只载有专门涉及非法制造和贩运枪支及其零部件和弹药的术语定义,不包括一般
Commentary Source: Protocol, article 3, subparagraph (b). (o) “Person” shall mean a natural or a legal person; (p) “Reactivation” shall mean the process of restoring the ability of a deactivated firearm to function as an operative firearm; Commentary The Protocol clearly stipulates that one of the principles of deactivation is that “all essential parts of a deactivated firearm are to be rendered permanently inoperable” such that the firearm cannot be reactivated and it is mandatory for any States parties that do not recognize a deactivated firearm as a “firearm” to take the necessary measures to prevent reactivation (Protocol, article 9, subparagraph (a)). However, in countries where deactivation standards permit the reactivation of a deactivated firearm into a functioning weapon, provision should be made to ensure that deactivated firearms are not reactivated without prior authorization and that the unauthorized reactivation of a firearm constitutes “illicit manufacturing”, that is, “reactivation” constitutes “manufacture” and thus is captured by the provisions regulating manufacturing. (q) “Responsible person” shall mean the representative of a legal person; (r) “Tracing” shall mean the systematic tracking of firearms and, where possible, their parts and components and ammunition from manufacturer to purchaser for the purpose of assisting competent authorities in detecting, investigating and analysing illicit manufacturing and trafficking; Commentary Source: Protocol, article 3, subparagraph (f). (s) “Transit” shall mean the conveyance through [name of State] to another country of firearms or ammunition that have been imported. Terms not defined in this article shall be interpreted consistently with [title of the relevant legislation regarding the interpretation of regulatory language, e.g. the Interpretation Act].11 Part two. Mandatory provisions Commentary Part Two contains Model Law text on all the mandatory provisions of the Firearms Protocol that States need to ensure are included in their domestic legislation. This includes chapters on preventive measures aimed at regulating the manufacturing, marking, record-keeping and international transfer of firearms, their parts and components and ammunition and chapters on the mandatory penal provisions that derive from the preventive measures and the mandatory性术语(例如,“从犯”、“协助和教唆”等),因为这些术语本应列入本国法(各国的定义
international cooperation measures.可能不尽相同)。
Section A. Preventive measures在可能的情况下,应尽量援引《公约》、《枪支议定书》或其他现有国际文书中的定义。
Chapter III. Manufacturing Commentary This chapter addresses the requirements under the Protocol to prevent the illicit manufacturing of firearms, their parts and components and ammunition. The Protocol implicitly requires that manufacturers hold a licence or other authorization to manufacture firearms and ammunition, but leaves it to States’ discretion to require a licence or authorization for the manufacture of parts and components. The Protocol also implicitly requires States to establish a competent authority responsible for issuing a licence or authorization to manufacture firearms. The Protocol does not specify in detail the form the system of licensing of manufacturers established by a State must take. This is left largely to the discretion of States. Annex I (Additional considerations) below provides additional text drafters can consider for inclusion in their national legislation. Further optional guidance is also available in the International Small Arms Control Standards, module 03.10, “National controls over the manufacture of small arms and light weapons”. Article 5. Prohibition to manufacture without a licence 1. No person shall manufacture firearms or ammunition unless that person does so: 12 Model Law on Firearms, Their Parts and Components and Ammunition (a) Under and in accordance with a licence issued by [name of licensing authority] in accordance with this Law; or (b) As otherwise authorized by law.如果各国已给《示范法》术语作了定义,则应对这些定义进行审查,以确保现有定义适合
Commentary Mandatory provision Source: Protocol, articles 5, paragraph 1 (a), and 3, subparagraph (d)(ii). The Protocol presupposes the existence of a licensing authority or other competent authority by virtue of the definition of “illicit manufacturing”, which includes manufacturing “without a license or authorization from a competent authority”. The establishment or existence of a competent authority responsible for authorizing or licensing manufacturers is mandatory. In some jurisdictions the power/authority to grant a licence to manufacture firearms is given to a designated officer within the police force (e.g. the commissioner of police). In other jurisdictions, the relevant ministry will be responsible. Suggestions for the non- mandatory content of legislation or accompanying regulations detailing the application procedure are included in annex I (article 3). 2. No person shall manufacture parts and components unless that person does so: (a) Under and in accordance with a licence issued by [name of licensing authority] in accordance with this Law; or (b) As otherwise authorized by law. Commentary Mandatory provision Source: Protocol, articles 5, paragraph 1 (a), and 3, subparagraph (d). The Protocol does not expressly require States to establish a system of manufacturing licensing or authorization (as it does for export and import (Protocol, article 10, paragraph 1)). However, article 3, subparagraph (d), of the Protocol effectively creates such a requirement by making the failure to have a “licence or authorization from a competent authority of the State Party where the manufacture or assembly takes place” an element of the offence of “illicit manufacturing”. This requirement is limited to firearms and ammunition, and States have the discretion to licence the manufacture of parts and components by virtue of the final sentence: “Licensing and authorization of the manufacture of parts and components shall be in accordance with domestic law.” As noted in the Legislative Guide (paragraph 189), the effect is that countries may impose manufacturing licences or authorizations for the making of parts and components, but are not required to do so.Part Two. Mandatory provisions 13 If a State chooses to require a person to obtain a licence to manufacture firearms and ammunition as well as parts and components, then paragraphs 1 and 2 could be amalgamated and the following alternative wording could be adopted: 1. No person shall not manufacture firearms, their parts and components or ammunition unless that person does so: (a) Under and in accordance with a licence issued by [name of licensing authority] in accordance with this Law, or (b) As otherwise authorized by law. Article 6. Licence conditions for a manufacturer’s licence 1. A manufacturer’s licence is subject to any conditions imposed on the licence by [name of licensing authority]. 2. The holder of a manufacturer’s licence shall comply with any condition to which the licence is subject. 3. Without prejudice to paragraph 1 of this article, each licence is subject to the following conditions: (a) The licensee shall comply with the relevant marking requirements in article 7 of this Law; Commentary Mandatory provision Source: Protocol, article 8, paragraph 1 (a), obliges States to require marking at the time of manufacture. Detailed requirements are provided in chapter IV of this Model Law. (b) The licensee shall comply with the relevant record-keeping requirements in chapter V of this Law; Commentary Mandatory provision Source: Protocol, article 7. This provision obliges States to ensure the maintenance of certain information necessary to trace illicitly manufactured or trafficked firearms. Detailed requirements are provided in chapter V of this Model Law.14 Model Law on Firearms, Their Parts and Components and Ammunition (c) The licensee must comply with the storage requirements set out in [accompanying schedule or regulations to this Law containing storage requirements for manufacturers or insert the name of the law or other regulations governing safe storage at the time of manufacture]. Commentary Mandatory provision Source: Protocol, article 11, subparagraph (a). This provision requires States to take appropriate measures “to require the security of firearms, their parts and components and ammunition at the time of manufacture”. The Protocol does not provide details of the measures to be taken and it is up to States to determine what measures are appropriate. It is suggested that the security measures determined by the State should be included in an accompanying schedule or regulations to the Law or in separate guidelines, so they can be easily updated. Additional, non-mandatory licence conditions are suggested in annex I (article 7).Part Two. Mandatory provisions 15 Chapter IV. Marking Commentary Article 8 of the Protocol obliges States to require marking of firearms at the time of manufacture, import and transfer from government to civilian stocks. Such markings assist in the identification and tracing of firearms. The Protocol also requires States to encourage manufacturers to develop measures against the removal or alteration of markings. Annex I (Additional considerations) provides further suggested text that drafters can consider for inclusion in their national legislation, including non-mandatory provisions on the marking of parts and components and ammunition and regulatory provisions on the method of marking. A.  Initial markings Article 7. Marking of firearms at the time of manufacture 1. Every manufacturer of firearms shall apply an identification mark to each firearm, at the time of manufacture, in accordance with paragraph 2 of this article. Commentary Mandatory provision Source: Protocol, article 8, paragraph 1 (a). Drafters may need to consider providing greater detail regarding what is intended or required by the phrase “at the time of manufacture” (see the Legis­ lative Guide, paragraph 86). The Firearms Protocol does not specify who should apply the marking at the time of manufacture. This draft article of the Model Law imposes the obligation to mark firearms at the time of manufacture on the manufacturer. In some countries, the State itself also applies a mark at the time of manufacture. States choosing to implement the International Tracing Instrument or the Programme of Action on Small Arms and Light Weapons are also required to mark firearms at manufacture.16 Model Law on Firearms, Their Parts and Components and Ammunition Annex I (articles 23 and 26) provides optional suggested text regarding the marking of parts and components and ammunition at the time of manufacture that drafters can consider for inclusion in their national legislation. 2. The unique identification mark applied to every firearm manufactured in [name of State] in accordance with paragraph 1 of this article shall indicate: (a) That [name or initials of State] is the country of manufacture; (b) The name of the manufacturer; and (c) The unique serial number. Commentary Mandatory provision Source: Protocol, article 8, paragraph 1 (a). The Protocol requires States to either require a unique marking on manufactured firearms that provides the name of the manufacturer, the country or place of manufacture and the serial number or else to maintain any alternative unique user-friendly marking with simple geometric symbols in combination with a numeric and/or alphanumeric code, permitting ready identification of the country of manufacture. Only where the marking system predates the Protocol are States permitted to use geometric symbols in combination with numeric and/ or alphanumeric code to mark firearms. The International Tracing Instrument contains the same requirement (paragraph 8 (a)) that States either require a unique marking providing the name of the manufacturer, country of manufacture and serial number or else maintain any alternative unique user-friendly marking with simple geometric symbols in combination with numeric and/or alphanumeric code, permitting ready identification of the country of manufacture. The Programme of Action on Small Arms and Light Weapons also requires (chapter II, paragraph 7) that the country of manufacture, the manufacturer and the serial number be marked on each firearm at the time of manufacture. In addition to the above considerations, the International Tracing Instrument provides (paragraph 8 (a)) that States will “encourage” the marking of additional information at the time of manufacture, such as the year of manufacture, weapon type/model and calibre. Since the Protocol requires that records of manufactured firearms are kept for at least 10 years (see draft article 16 of this Model Law), a mark indicating the year of manufacture is important for ensuring compliance with the recordkeeping obligation. European Community directive 2008/51/EC (amending Council Directive 91/477/EEC on control of the acquisition and possession of weapons) provides that the marking made at the time of manufacture should include the year of manufacture if this is not part of the serial number (article 4, Part Two. Mandatory provisions 17 paragraph 2 (a)). The ECOWAS Convention (article 18, paragraph 2 (a)), the Wassenaar Best Practice Guidelines for Exports of Small Arms and Light Weapons (paragraph II. 2) and the Organization for Security and Cooperation in Europe (OSCE) Document on Small Arms and Light Weapons (section II. 2 (a)) also require the year of manufacture to be indicated in the markings made at the time of manufacture. The Legislative Guide (paragraph 71) notes that States can take into account additional identifying characteristics such as make, model, type and calibre to enhance the uniqueness of the marking. Reference is also made to the characteristics used by the International Criminal Police Organization (INTERPOL) in its Firearms Tracing System (formerly known as IWeTS), which include make, model, calibre, barrel length and number of shots (though this is not appropriate or useful for all types of firearm). Accordingly, States may consider requiring the following additional markings to be made at the time of manufacture in addition to the above mandatory markings listed in article 7, paragraph 2 (a)­(c), of the Model Law: the year of manufacture, the make, the type or model and the calibre of the firearm. If the country of import and the name of the importer are known at the time of manufacture, this can also be marked on the firearm. Under the ECOWAS Convention, the markings to be applied at the time of manufacture should include “information concerning the purchaser’s identity and the country of destination ... if known at the time of manufacture” (article 18, paragraph 2 (a)). The Firearms Protocol does not indicate where or how firearms should be marked. Nor does it specify whether the complete name of the manufacturer should be marked or if the manufacturer’s trademark is sufficient. While this level of technical detail may not appear in a country’s principal legislation or firearms law, it should be specified in subsidiary regulations or guidelines. Some regional instruments, including the Nairobi Protocol and the SADC Protocol, do specify how and where markings should be applied and States are encouraged to refer to those instruments as well as to the forthcoming UNODC technical guidelines and the International Small Arms Control Standards, module 05.30, “Marking and record-keeping”, for further guidance on the technical aspects of firearms marking. B.  Additional markings Article 8. Marking of firearms at the time of import 1. Every person or public service agency that imports a firearm shall ensure that the firearm is marked in accordance with paragraph 2 of this article within [... days] of being imported into [name of State]. Commentary Mandatory provision Source: Protocol, article 8, paragraph 1 (b). 18 Model Law on Firearms, Their Parts and Components and Ammunition The Protocol requires that simple markings be applied to imported firearms, but does not specify when such markings should be made. Accordingly, it is up to States to determine when or at what stage of the import process the markings should be made. Further optional guidance on this is available in the International Small Arms Control Standards, module 05.30, “Marking and record-keeping”. Article 8, paragraph 1 (b), of the Protocol stipulates that import markings “need not” be applied to temporary imports of firearms for verifiable lawful purposes. This provision applies in cases where States avail themselves of the option established in article 10, paragraph 6, to adopt simplified procedures for the temporary import and export and the transit of firearms, their parts and components and ammunition for verifiable lawful purposes (see chapter XVII (Simplified procedures for temporary import, export and transit) of this Model Law). Accordingly, States have the option to introduce a simplified regime for certain temporary transfers and not to apply import markings to a firearm that is imported temporarily for verifiable lawful purposes. Examples of “verifiable lawful purposes” are provided in article 10, paragraph 6, and include hunting, sport shooting, evaluation, exhibitions or repairs. 2. The identification mark applied to every firearm imported into [name of State] in accordance with paragraph 1 of this article shall indicate: (a) The country of import [name of State]; Commentary Mandatory provision本法。如果国内立法未包含必要的定义,则应对其进行相应的修改。各国不妨根据《枪支
Source: Protocol, article 8, paragraph 1 (b).议定书》规定的措施采取更为严格的措施,或针对更多种类的武器制定相关立法。但是,
Paragraph 8 (b) of the International Tracing Instrument also requires a marking总的来说,各国最好采用与《公约》和《枪支议定书》相一致的定义,以便在调查、起诉 或针对《公约》及其《枪支议定书》规定范围内的活动适用其他程序方面加强与其他国家
on imported firearms permitting identification of the country of import.的合作,并贯彻落实各种国际合作要求。 一些管辖区域宁可在有关法律的开头或结尾部分列入一个关于定义的章节。其他
(b) The year of import;管辖区域则会在刑法典或刑法中包含一个关于定义的一般章节,就此而言,下述一些定义或
Commentary所有定义均可采纳。在某些情况下,各国不妨将定义的解释交由法院进行。
Mandatory provision第 4 条 . 定义
Source: Protocol, article 8, paragraph 1 (b).在本法范围内,应适用以下定义:
The Protocol requires that the year of import be indicated in the marking applied(a) “弹药”系指枪支整发子弹且包括枪支所使用的 [ 插入 弹壳、底火、发射药、弹头或枪支发射物等须经批准或现有国内
at import only “where possible”.立法管制的部件];第一部分 .
Paragraph 8 (b) of the International Tracing介绍性条款 5
Instrument also requires a marking on imported firearms permitting identification评注 法律出处:《枪支议定书》,第 3条(c)项。 在《枪支议定书》中,“弹药”的定义包括枪支所用整发子弹及其组成部分,这些组成
of the year of import “where possible”. Part Two. Mandatory provisions 19部分本身须由国家批准 / 管制:“条件是这些组成部分本身须经各缔约国批准”(见第 3条
(c) Where:(c)项)。
(i) The existing identification mark on the imported firearm does not《枪支议定书》要求对弹药组成部分实施一定程度的管制,因为它们很容易被转移到目 的地组装。但是,有些国家认为这种管制的负担过重,因此避免对弹药所有组成部分实行
provide all of the information listed in article 7 of this Law; or管制,而只对组装后的弹药筒加以管制。一些国家因加入了某项有关枪支问题的区域文书
(ii) The imported firearm does not bear an identification mark at all;(例如,《美洲国家禁止非法制造和贩运枪支、弹药、爆炸物及其他有关材料公约》),因此
the information listed in article 7 of this Law.可能已将“爆炸物”定义载入本国立法,并将底火和发射药作为爆炸物材料实行了管制或
Commentary限制(《立法指南》,第52-54段)。
Mandatory provision(b) “古董枪支”系指 1899 年之前制造的枪支;
Source: Protocol, article 8, paragraph 1 (b).评注
Article 8, paragraph 1 (b), states that, if an imported firearm does not bear a律出处:《枪支议定书》第 3条 (a)项规定,古董枪支及其复制品应按照各国本国法律
unique marking, such a marking must be made at the time of manufacture.予以界定,但“古董枪支无论如何......不得包括 1899年之后制造的枪支”。
The Legislative Guide (paragraph 74) indicates that where an imported firearm(c) “中介”系指个人或实体以中间人身份将有关各方联系 到一起,并安排或促成某项潜在的枪支交易,从而换取某种好处,
does not already have a manufacturing mark that complies with the basic不论是钱财方面的还是其他方面的;
requirements of article 8, paragraph 1 (a), such a mark must be placed on the评注 《枪支议定书》并未对“中介”和“中介活动”进行定义。大会第 60/81号决议所设审议 在防止、打击和消除小武器和轻武器非法经纪活动方面加强国际合作的进一步步骤政府
firearm. In other words, the unique marking to be affixed to an imported firearm专家组报告(A/62/163和 Corr.1),为此提供了一些有益指导。由于缺少国际商定的
that does not already have a marking, must, as a minimum, include all the中介定义,故本术语采用了中介问题报告中的定义。6 打击非法制造和贩运枪支及其零部件和弹药示范法
information required at the time of manufacture.(d) “中介活动”系指:
Further optional guidance is available in the International Small Armsi) 为从事枪支及其零部件和弹药某种交易的一方或多方
Control Standards, module 05.30, “Marking and record-keeping”.寻找商业机会;
The Inter-American Convention (article VI, paragraph 1 (b)) requires appropriate markings on imported firearms that permit the identification of the importer’sii) 促使从事枪支及其零部件和弹药某种交易的有关各方
name and address. In addition to the markings specified in subparagraphs (a)­(c),相互接触;
as required under the Protocol, States may consider requiring the name or identityiii) 协助有关各方提出、安排或达成彼此之间的枪支及其
of the importer and the year of import be marked on a firearm at import (see零部件和弹药协议或可能的合同;
article 3, paragraph 2, of the Model Legislation on the Marking and Tracing ofiv) 协助从事枪支及其零部件和弹药某种交易的有关各方
Firearms of the Organization of American States).获得必要文件;或 v) 协助从事枪支及其零部件和弹药某种交易的有关各方 安排必要的付款。 评注 律出处:本定义取自关于中介问题的报告(A/62/163和Corr.1,第9段)。 这项拟议定义侧重于中介直接开展的活动,不包括在安排或促成某项潜在交易过程中由 中介协助,而不是由其直接进行的一些密切相关的活动。这可能包括如运输、货运、仓储、 融资和保险等(关于中介问题的政府专家组报告第 10段对“密切相关的活动”作了详细 说明。在一般情况下,是通过独立的管理机制和立法制度,对(银行、保险公司或运输公司等) 间接行为者的行动实行控制。不过,各国不妨起草一项更加宽泛的中介活动定义,并将 上述密切相关的活动包括在内。 (e) “没收”包括酌情罚没,系指通过法院命令或其他主管 当局的命令永久剥夺当事人之财产; 评注 法律出处:《公约》,第2条(g)项。 选项 1 (f) “被停用枪支”系指已经被停用的枪支;第一部分 . 介绍性条款 7 评注
Article 9. Marking at the time of transfer from律出处:《枪支议定书》第 9条(a)项对停用原则作了简要说明。
government stocks to civilian use只有在对被停用枪支和可操作枪支进行区分时,也就是在一个国家不承认被停用枪支属于
1. Every public service agency that transfers a firearm from government stocks to permanent civilian use shall ensure that the firearm is marked in accordance with paragraph 2 of this article before the transfer takes place.其《枪支法》意义上的枪支时,才有必要适用“被停用枪支”定义。
2. The identification mark applied to every firearm transferred from某些管辖区域采用“使其永久不可操作”的措词,而不是“被停用”的措词。
government stocks to permanent civilian use in accordance with paragraph选项 2 (f) “被停用枪支”系指与通过停用方式致使枪支永久不适合 使用、确保枪支的所有基本部件都已永久无法操作且无法通过
1 of this article shall identify [name of State] as the country where the拆卸、替换或修改等任何方式使之能够被重新使用的定义相对应
transfer is taking place.的物体;
3. Where a firearm to be transferred from government stocks to permanent civilian use does not bear an identification mark at all or the existing 20 Model Law on Firearms, Their Parts and Components and Ammunition评注
identification mark does not include all of the following information, the律出处:修改关于管制取得和持有武器的欧洲理事会第91/477/EEC号指令的欧洲议会 和欧洲理事会第2008/51/EC号指令第13条(b)(i)(a)款。同一定义还载于欧洲议会和
firearm shall be marked with the following information:欧洲联盟理事会关于执行《联合国枪支议定书》第10条以及《制定枪支及其零部件和弹药
(a) The country of manufacture;出口授权、进口和过境措施的条例建议》第2条第4款。
(b) The name of the manufacturer; and(g) “出口商”系指参与从 [ 国家名称 ] 出口或发送枪支及其
(c) The unique serial number.零部件和弹药的任何人;
Commentary评注
Mandatory provision关于执行联合国《枪支议定书》第 10条的欧盟理事会建议草案将“出口商”定义为“与
Source: Protocol, article 8, paragraph 1 (c).第三国收货人具有合同关系且对从关税区向外发货拥有决定权”的人(第2条第6款)。
The International Tracing Instrument also requires that small arms and light(h) “枪支”系指其设计目的是通过爆炸物作用发射或可能 方便转换成发射炮弹、子弹或抛射物的任何便携式的、含有枪身的
weapons transferred from government stocks to permanent civilian use that are武器,不包括古董枪支或其复制品;8 打击非法制造和贩运枪支及其零部件和弹药示范法 评注 法律出处:《枪支议定书》,第3条(a)项。 “枪支”定义将是国内实施立法的一个关键要素。一些国家已在许多方面采用一种或多种
not marked in a manner that allows tracing be marked in such a way as to国内法律定义。其国内法中尚无此定义的国家应列入一项基本与《枪支议定书》所下定义 相一致的定义,以确保适用于本议定书和《公约》规定的各种合作(见《立法指南》,第
permit identification of the country from whose stocks the transfer is made.34和 35段)。 一些全球性和区域性文书以及一些国内立法也采纳了更宽泛的定义,以适用于小武器 和轻武器。这包括如《从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领》、
European Council directive 2008/51/EC amending Council directive 91/477/EEC《使各国能够及时和可靠地识别和追查非法小武器和轻武器的国际文书》(第4款)、《西非 国家经济共同体(西非经共体)关于小武器和轻武器、其弹药及其他相关材料的公约》
on control of the acquisition and possession of weapons (revised article 4,(第 1条)以及《在大湖区和非洲之角防止、控制和减少小武器和轻武器的内罗毕议定书》 (《内罗毕议定书》,第 1条)。涉及枪支、零部件、爆炸物和弹药的其他文书还包括《枪支 议定书》、《美洲国家禁止非法制造和贩运枪支、弹药、爆炸物及其他有关材料公约》,以及 《关于南部非洲发展共同体内管制枪支、弹药和其他有关物资的议定书》(《南共体 议定书》)。有些国家已根据小武器和轻武器定义通过了本国法,它们应当了解这两类武器 之间的区别,并在参照《示范法》起草本国立法时进行相应的修改。 (i) “冻结”或“查封”系指以法院或其他主管当局发布的 命令为依据,临时禁止转让、转换、部署或调动财产或对财产实 施临时保管或控制; 评注
paragraph 2) also requires that Member States “ensure, at the time of transfer法律出处:《公约》,第 2条(f)项。
of a firearm from government stocks to permanent civilian use, the appropriate(j) “进口商”系指任何从事进口业务或将枪支及其零部件
unique marking permitting identification by States of the transferring country”.和弹药带进[ 国家名称] 的人;
With respect to paragraph 3, there is no express requirement under the(k) “非法制造”系指通过以下方式制造或组装枪支及其
Protocol that States must ensure that firearms transferred from government零部件或弹药: i) 利用非法贩运的零部件的; ii) 未获得[ 许可当局名称] 许可或授权的;或第一部分 . 介绍性条款 9 iii) 在制造枪支时未根据本法之规定对枪支进行标识的;
stocks to permanent civilian use bear identification markings other than the评注 法律出处:《枪支议定书》,第 3条(d)项。 (l) “非法贩运”系指从一国领土或跨一国领土向他国领土 进口、出口、取得、出售、交付、调动或转让枪支及其零部件和
country of transfer. However, this may be because there is an assumption that弹药,且上述有关国家中有任何一个国家未授权上述进口、出口、 取得、出售、交付、调动或转让枪支及其零部件和弹药,或枪支
all firearms will have been marked at the time of manufacture or import (in未根据本法之规定予以标识的;
accordance with article 8, paragraph 1 (a) and (b), of the Protocol). States评注
should ensure that firearms to be transferred from government stocks to permanent civilian use are marked with the appropriate manufacture and import法律出处:《枪支议定书》,第 3条(e)项。
markings prior to transfer (see the Legislative Guide, paragraph 88, and the(m) “制造”包括对枪支及其零部件和弹药的开发、生产、 [ 逆向工程 ]、组装和许可生产,以及将 [ 不是枪支 ] 的物件转变
International Small Arms Control Standards, module 05.30, “Marking and或改造成枪支[ 并重新使用被停用的枪支] ;
record-keeping”).评注 律出处:《枪支议定书》对“非法制造”作了界定,但未界定“制造”一词。本示范法 中的这一定义系根据大会第 54/54 V号决议所设政府专家组的报告 (A/CONF.192/2) 附件一所载“制造”定义改编而来。方括号内的文本并不属于其原定义的一部分。 根据《枪支议定书》的规定,不承认被停用枪支为“枪支”的缔约国有义务采取必要措施 防止枪支被重新启用。因此,只有当一个国家在所实施的停用标准中未要求使被停用枪支 永久不可操作,并有重新启用被停用枪支的打算时,才有必要将“以及被停用枪支的重新 启用”一语纳入法律。 (n) “零部件”系指专门为枪支设计且对其操作极其重要的 任何元件或替代元件,包括枪管、套筒座或机匣、套筒或转轮、
Article 10. Marking at the time of disposal other than by destruction枪机或枪闩,以及为枪支消音而设计或改装的任何机件;10 打击非法制造和贩运枪支及其零部件和弹药示范法
1. [Name of competent authority] shall ensure that every [seized or评注 法律出处:《枪支议定书》,第3条(b)项。 (o) “人”系指自然人或法人; (p) “重新启用”系指恢复被停用枪支功能使之具有可操作 枪支效用的过程;
confiscated] firearm disposed of other than by destruction in accordance with评注 《枪支议定书》明确规定停用原则之一是“对于已予停用的枪支,应使其所有主要部件永远 无法操作”,从而使该枪支不能被重新启用,而且任何不承认被停用枪支为“枪支”的
chapter XIII of this Law is marked in accordance with paragraph 2 of this缔约国都有义务采取必要措施防止枪支被重新启用(本议定书,第 9条 (a)项)。但是, 在停用标准允许被停用枪支作为一种功能性武器重新启用的国家,应作出相关规定,确保
article before the disposal takes place.不在未经事先授权的情况下重新启用被停用枪支,并判定擅自重新启用枪支构成“非法
2. The identification mark applied to a firearm disposed of other than制造”,即“重新启用”构成“制造”,并因此受制造条款管辖。
by destruction in accordance with paragraph 1 of this article shall:(q) “责任人”系指某个法人的代表;
(a) Where the form of disposal is deactivation, be in accordance with(r) “追查”系指以协助主管当局侦查、调查和分析非法
article 11 of this Law;Part Two. Mandatory provisions 21制造和非法贩运活动为目的,在从枪支制造商到购买者的全过程 中系统追查枪支,并在可能情况下追查枪支零部件和弹药。
(b) Include the information listed in article 7 of this Law, where a评注
form of disposal is used other than deactivation and:法律出处:《枪支议定书》,第3条(f)项。 (s) “过境”系指通过 [ 国家名称 ] 向他国运送被进口的枪支
(i) The existing identification mark on the firearm to be disposed of或弹药。 未在本条中定义的术语的解释应与 [ 关于解释法规语文的相关 立法的标题,《解释法》] 保持一致。11 第二部分 . 强制性条款
does not provide all of the information listed in article 7 of this Law;评注
or第二部分载有关于《枪支议定书》所有强制性条款的《示范法》文本,需要各国确保纳入
(ii) The firearm to be disposed of does not bear any identification本国立法。在这一部分中,有些章节论述了对枪支及其零部件和弹药的制造、标识、记录
mark at all.保管和国际转让实行管制的预防措施,还有些章节介绍了源于预防措施和强制性国际合作
Commentary措施的强制性刑罚条款。
Mandatory provisionA 节. 预防措施
Source: Protocol, article 6, paragraph 2.第三章 . 制造
The Inter-American Convention requires States to apply markings to any firearms confiscated or forfeited that are retained for official use (and are therefore评注
not destroyed or disposed of) (article VI, paragraph 1 (c)).本章论述了《枪支议定书》对预防非法制造枪支及其零部件和弹药的要求。本议定书明确
The Protocol does not specify the nature of the marking required for disposed firearms. It simply states that disposal other than by destruction of confiscated firearms may be officially authorized “provided that the firearms have been marked” and the methods of disposal have been recorded (article 6,要求制造者应拥有制造枪支及弹药的许可证或其他授权,但由各国自行酌定制造零部件是
paragraph 2). Presumably, the requirement is that they have a unique identification mark containing, as a minimum, the requirements reflected in article 8,否需要许可证或授权。本议定书还明确要求各国设立一个主管当局,负责发放制造枪支的 许可证或授权。 《枪支议定书》并未具体规定各国须以何种形式建立制造商许可制度。这主要由各国自 行决定。下文附件一(需要考虑的补充事项)提供了一个补充文本,起草者可考虑纳入本
paragraph 1 (a)—name of manufacturer, country or place of manufacture and国立法。《国际小武器管制标准》模块 03.10——“国家对制造小武器和轻武器的管制”
serial number—thus it is a reference to an existing manufacturer’s marking, not也提供了任择指南。 第5 条. 禁止在无许可证的情况下制造枪支和弹药 1. 任何人不得制造枪支和弹药,依据以下方式进行的除外:12 打击非法制造和贩运枪支及其零部件和弹药示范法
a requirement that a new marking be affixed, unless there is no pre-existing(a) 凭借和根据 [ 许可当局名称 ] 按照本法之规定发放的 许可证进行的;或 (b) 以其他方式获得法律授权的。
identification mark.评注
Where the method of disposal is deactivation and a State does not recognize a deactivated firearm as a “firearm” under its domestic law, States may强制性条款 法律出处:《枪支议定书》,第5条第1款(a)项和第3条(d)(ii)项。 《枪支议定书》规定各国必须根据“非法制造”,包括“在未获得主管当局许可或授权的
consider requiring that a deactivation marking be applied upon disposal as情况下” 制造这一定义,设立发照当局或其他主管当局。各国还必须设立或存在负责给 制造商授权或发放许可证的主管当局,这是一项“强制性要求”。在有些管辖区域,发放
required under article 9, subparagraph (c), of the Protocol.枪支制造许可证的权力 / 权限被赋予警察内部某个指定官员(例如,警察专员),而在另外
[Article 11. Marking at the time of deactivation一些管辖区域,这项工作则由相关部委负责。附件一(第3条)载有关于非强制性立法或 实施细则的内容建议,其中详细介绍了上述许可或授权申请程序。
1.2.
Where a firearm has been deactivated in accordance with article 22任何人不得制造零部件,依据以下方式进行的除外: (a) 凭借和根据 [ 许可当局名称 ] 按照本法之规定发放的
of this Law and a certificate verifying the deactivation has been issued by许可证进行的,或
[name of competent authority] in accordance with article 23 of this Law,(b) 以其他方式获得法律授权的。
the person [manufacturer, dealer or gunsmith or other authorized person]评注
who deactivated the firearm shall [option 1: stamp a visible mark on the强制性条款 法律出处:《枪支议定书》,第5条第1款(a)项和第3条(d)项。 《枪支议定书》没有像对进出口那样,明确要求各国设立制造许可或授权制度(本议定书,
deactivated firearm in accordance with paragraph 2 of this article] and/or第 10条第 1款)。但是,本议定书第 3条 (d)项有效规定了这样一项要求,即没有制造
[option 2: ensure that the deactivated firearm is marked by [designated proof地或组装地缔约国主管当局签发的执照或许可证属于“非法制造”犯罪的一个构成要件。 这项要求仅限于枪支和弹药,且各国有权依据最一句自行酌定是否发放制造零部件许可证,
house]] in accordance with [title of existing technical specifications or即:“制造零部件的许可和授权应根据国内法发放”。正如《立法指南》(《立法指南》,
regulations governing proof house marking].22 Model Law on Firearms, Their Parts and Components and Ammunition第 189段)所指出的,其要义“是各国可以对制造零部件施以许可或授权,但不要求必须
Commentary这么做”。第二部分 . 强制性条款 13 如果一个国家规定个人制造枪支、弹药和零部件须取得许可证,则可以同时适用第1
Mandatory provision款和第2款,还可以采用以下可替换的措辞:
Article 9, subparagraph (c), of the Protocol stipulates that verification by the1. 任何人不得制造枪支及其零部件或弹药,依据以下方式
competent authority that a firearm has been deactivated is to include a certificate attesting to the deactivation of the firearm or else “a clearly visible mark进行的除外:
to that effect stamped on the firearm”. Good practice suggests that both a(a) 凭借和根据 [ 许可当局名称 ] 按照本法之规定发放的
certificate and an appropriate marking should be required. Those States which许可证进行的,或 (b) 以其他方式获得法律授权的。 第 6条. 发放制造许可证的许可条件 1. [许可当局名称]可对发放制造许可证规定任何许可条件。 2. 制造许可证的所有者必须遵守针对该许可证规定的任何
are members of the Permanent International Commission for Firearms Testing条件。
(CIP) may require that an appropriate mark be made by an accredited proof3. 在不影响本条第 1 款的情况下,每一张许可证都必须
house before a firearm can be classified as a “deactivated firearm”. In such遵守以下条件:
cases, option 2 may be utilized. In other States it may be sufficient for the(a) 被许可人应遵守本法第7条所规定的相关要求;
person carrying out the deactivation to mark the deactivated firearm appropriately. In that case, option 1 may be utilized.评注
2. The identification mark applied to every firearm deactivated in强制性条款
accordance with paragraph 1 of this article shall indicate that the firearm has been deactivated [in accordance with article 22 of this Law].]律出处:《枪支议定书》,第 8条第 1款 (a)项规定各国必须要求制造商在制造枪支和
Commentary弹药时进行标识。详细要求载于本示范法第四章。
Mandatory provision(b) 被许可人必须遵守《示范法》第五章中规定的相关记录
Source: Protocol, article 9, subparagraph (c).保管要求;
This provision states that, as part of the verification process, the competent评注 强制性条款 法律出处:《枪支议定书》,第7条。 本条款规定各国必须确保切实保存某些必要资料,以便追查非法制造或贩运的枪支。详细
authority must produce a certificate or record attesting to the deactivation of要求载于本示范法第五章。14 打击非法制造和贩运枪支及其零部件和弹药示范法 (c) 被许可人必须遵守 [ 本法随附载有制造商保管要求的
the firearm or else a clearly visible mark to that effect must be stamped on附表或细则,或适用于在制造时安全保管的法律或其他法规 ] 中
the firearm.规定的保管要求; 评注
Although it is not required under the Protocol, States may also consider强制性条款 法律出处:《枪支议定书》,第11条 (a)项。 本条款要求各国采取适当措施,“确保枪支及其零部件和弹药在制造时的安全”。本议定书
including the year of deactivation and the country of deactivation in the没有详细规定应采取的措施,因此由各国自行确定适当的措施。建议将国家确定的安全 措施纳入本法附表或细则或单独指南中,以易于对它们进行更新。
de activation marking.Part Two. Mandatory provisions 23附件一(第 7条)中提出了一些有关非强制性许可的补充条件。第二部分 . 强制性条款 15
Chapter V.第四章 .
Record-keeping标识
Commentary评注 《枪支议定书》第 8条规定各国必须在制造、进口以及从政府向民间库存转让枪支时对 枪支进行标识。此种标识有助于识别和追踪枪支。本议定书还要求各国鼓励枪支制造业 研拟防止去除或更改标识的措施。附件一(需要考虑的补充事项)提供的进一步建议文本中, 包括关于零部件和弹药标识的非强制性条款以及关于标识方法的管制条款,各国可考虑 纳入本国立法。 A. 初次标识
This chapter addresses the record-keeping requirements under article 7 of the第 7 条 . 制造时的标识
Protocol.1.
The Protocol requires States to “ensure the maintenance” of certain每一个枪支制造商都应根据本条第2款之规定在制造枪支
information pertaining to firearms and, where feasible, their parts and components and ammunition. However, the Protocol does not specify whether such时为每一把枪支打上识别标识。
records should be kept by the State itself or by persons and entities engaged评注 强制性条款 法律出处:《枪支议定书》,第8条第1款(a)项。 对于“在制造枪支时”一语的意向或要求,起草者可能需要考虑予以更加详细的说明(见
in manufacturing, importing, exporting and so on. It is up to each State to《立法指南》,第 86段)。 《枪支议定书》并未具体规定在制造枪支时应由谁打上标识。《示范法》本条草案明确 规定制造商在制造枪支时有义务给枪支打上标识。在有些国家,国家本身也在制造枪支时
determine whether records should be kept by the State and/or by persons and打上标识。
entities engaged in firearms-related activities. Annex I (Additional considerations) provides further suggested text that drafters can consider for inclusion选择执行《国际追查文书》或《联合国小武器和轻武器行动纲领》的国家也必须在
in their national legislation.制造枪支时打上标识。16 打击非法制造和贩运枪支及其零部件和弹药示范法
The following draft provisions provide two alternatives. Option 1 should be附件一(第 23和 26条)提供了关于制造零部件和弹药时如何进行标识的任择建议 文本,可供起草者考虑纳入本国立法。
used when the State itself has primary responsibility for maintaining records.2. 根据本条第 1 款对在 [ 国家名称 ] 制造的每一把枪支
In this instance, the State’s obligation to keep records extends to recording适用的唯一识别标志应说明:
details of all firearms manufactured and all transactions involving firearms.(a) 制造国是[ 国家名称或首字母缩写] ;
Option 2 should be used where persons and entities engaged in firearmsrelated activities have the primary responsibility for maintaining records. In this(b) 制造商名称;和
instance, the State’s obligation to keep records is limited to information obtained(c) 特有序号。
through licensing applications and inspections.评注
This chapter does not contain provisions regarding keeping records relating强制性条款 法律出处:《枪支议定书》,第 8条第1款(a)项。 《枪支议定书》要求各国在制造所有枪支时,或者要求打上表示制造商名称、制造国或
to state-held firearms. Although not mentioned specifically in the Protocol, a制造地和序号的特有标识,或者沿用由简单几何符号与数字密码和(或)字母数字混合 密码组成的任何其他独特的、便于使用的标识,使所有国家即刻便能识别制造国。只有
comprehensive record-keeping system that facilitates tracing will need to include标识制度早于《枪支议定书》的国家才可以使用几何符号与数字密码和(或)字母数字
records of state-held stocks and their movement. While such provisions would混合密码组成的标识。 《国际追查文书》载有同样的要求(第 8条 (a)项),即各国或者要求打上 表示制造商名称、制造国和序号的特有标识,或者沿用由简单几何符号与数字密码和
not normally appear in national legislation on firearms, States should consider(或)字母数字混合密码组成的任何其他独特的、便于使用的替代标识,使人能够识别
including provisions regarding the record-keeping of state-held weapons in制造国。
defence acts or administrative guidelines and army/police manuals governing《联合国小武器和轻武器行动纲领》(第二章第7段)也要求在制造每一把枪支时打上
the management of inventory. Further optional guidance on this issue may be制造国、制造商和序号。
found in the International Small Arms Control Standards, module 05.30, “Marking and record-keeping”.除了上述考虑因素之外,《国际追查文书》(第 8条 (a)项)还规定,各国应“鼓励”
A.  Records  of  transactions在制造时标识补充信息,比如制造年份、武器类型/型号和口径。
Article 12. Information on international transactions in firearms由于《枪支议定书》要求各国至少将所制造枪支的记录保存 10年(见本示范法 第 16条草案),故说明制造年份的标识对于确保遵守记录保管义务非常重要。(修改
[Option 1: [Name of licensing authority]] [Option 2: Every licensed关于管制取得和持有武器的欧洲理事会第 91/477/EEC号指令的)第 2008/51/EC
importer or exporter, as appropriate,] shall keep records of all firearms号欧洲共同体指令规定,如果年份不是序号的组成部分,则在制造枪支时打上的标识中 应包括制造年份(第 4条第 2款 (a)项。《西非经共体公约》(第 18条第 2款 (a)项)、第二部分 . 强制性条款 17
transferred under a licence granted under this Law, including:24 Model Law on Firearms, Their Parts and Components and Ammunition《瓦塞纳尔小武器和轻武器出口最佳做法指南》(第二 .2段)以及《欧洲安全与合作组织
(a) Where the firearms are exported from [name of State]:(欧安组织)小武器和轻武器文件》(第二 .2(a)节)也要求在打上制造标识时打上制造
(i) Date of issue of the export licence or authorization;年份。 《立法指南》(第 71段)指出,各国可考虑构造、型号、类型和口径等补充识别 特征,以便加强标识的独特性。另外,它还提到国际刑事警察组织(国际刑警组织)在
(ii) Date of expiration of the export licence or authorization;其《枪支追查系统》(以前称为《国际刑警组织武器电子追踪系统》)中使用的特征, 其中包括构造、型号、口径、枪管长度及子弹发数(虽然这对所有类型的枪支未必适当和
(iii) The country of import;有用)。 因此,除了以上第 7条第 2款 (a)- (c)项所列强制性标识之外,各国还可考虑要求在 制造时打上以下标识:制造年份、枪支构造、枪支类型或型号以及枪支口径。如果在制造时 就已经知道进口国和进口商名称,也可在枪支中予以标识。根据《西非经共体公约》,在 制造时打上的标识应包括“[关于购买人身份和目的国的信息,......如果在制造时知道的话” (第 18条第2款(a)项)。 《枪支议定书》并未说明在何处或如何对枪支进行标识。也未具体规定是应标注 制造商的全名,还是只标注制造商的商标。虽然这种技术细节不可能出现在一个国家 的主要立法或枪支法律中,但应当在附属细则或指南中具体说明。包括《内罗毕 议定书》和《南共体议定书》等一些区域议定书确实对如何以及在何处打注标识作了 具体说明,关于枪支标识技术方面的进一步指导,鼓励各国参照这些文书以及《联合国 毒品和犯罪问题办公室技术指南》和《国际小武器管制标准》(模块 05.30“标识和记录 保管”)。
(b) Where the firearms are imported into [name of State]:B. 补充标识
(i) Date of issue of the import licence or authorization;第8 条 . 进口时的枪支标识 1. 进口枪支的每一个人或公共服务机构均应确保根据本条
(ii) Date of expiration of the import licence or authorization;第 2 款之规定在向 [ 国家名称 ] 进口之后 [......日 ] 内对枪支进行
(iii) The country of export;标识。
(iv) The import markings applied in accordance with article 8 of this评注
Law;强制性条款
(c) [Full details of the route to be taken to the final destination,法律出处:《枪支议定书》,第8条第1款(b)项。18 打击非法制造和贩运枪支及其零部件和弹药示范法
including] any transit countries and ports of entry and exit;《枪支议定书》要求对进口枪支进行简单的标识,但并未具体规定应在何时进行此种标识。 因此,由各国来确定何时或在进口过程中的哪个阶段进行标识。另外,关于这方面的任择
(d) Name of the final recipient (if different from the importer) [insert指南见《国际小武器管制标准》(模块05.30,“标识和记录保管”)。 《枪支议定书》第 8条第 1款 (b)项规定,进口标识“不必”适用于出于可核实的
the following as appropriate: address, country of residence, citizenship if合法目的临时进口的枪支。这一条款适用于各国利用《枪支议定书》第 10条第 6款所 确定的选择权并对出于可核实的合法目的临时进出口和过境的枪支及其零部件和弹药采用
individual, name of responsible person or representative if commercial or简化程序的情形(见《示范法》第十七章——临时进口、出口和过境的简化程序)。因此, 各国有权针对某些临时转让选择制定一种简化制度,而不是对出于可核实的合法目的临时
government];进口的枪支适用进口标识制度。《枪支议定书》第 10条第6款列举了“可核实的合法目的”
(e) Quantity of firearms for export listed by classification-description;的具体例子,包括打猎、射击比赛、评价、展览或修理。 2. 根据本条第1款之规定对输入[国家名称]的每一把枪支
(f) Additional descriptive information, as applicable such as [insert所打上的识别标识应说明:
the following as desired or appropriate: serial numbers, barrel length, overall(a) 进口国为 [ 国家名称] ;
length, action, number of shots, calibre, velocity and force, type of bullet].评注
Commentary强制性条款
Mandatory provision法律出处:《枪支议定书》,第8条第1款(b)项。
Source: Protocol, article 7, subparagraph (b). Article 13. Information on international transactions in parts《国际追查文书》第8(b)段也要求在进口枪支上进行标识,以便于识别进口国。 (b) 进口年份; 评注 强制性条款 法律出处:《枪支议定书》,第8条第1款(b)项。 《枪支议定书》要求只“在可能的情况下”,才在进口标识上注明进口年份。在《国际追查 文书》第8(b)段中,也要求标识进口枪支,以便“在可能的情况下”识别进口年份。第二部分 . 强制性条款 19 (c) 如果: i) 进口枪支上现有识别标识未提供《示范法》第 7 条所列 全部信息;或者 ii) 进口枪支根本没有识别标识;《示范法》第 7 条所列信息。 评注 强制性条款 法律出处:《枪支议定书》,第8条第1款(b)项。 第 8条第 1款 (b)项规定,如果进口枪支未打上某种特殊标识,此种标识必须在制造 枪支时进行。《立法指南》(第74段)指出,如果进口枪支尚没有符合第 8条第1款(a)项 基本要求的制造标识,则必须在枪支上打上这种标识。换句话说,尚没有标识的进口枪支 所附特殊标识必须至少包括制造枪支时所需的所有信息。 补充任择指南见《国际小武器管制标准》(模块05.30,“标识和记录保管”)。
and components and ammunition《美洲国家禁止非法制造和贩运枪支、弹药、爆炸物及其他有关材料公约》(第六条
[Option 1: [Name of licensing authority]] [Option 2: Every licensed第1款(b)项)要求对进口枪支予以适当标识,以便于查明进口商的名称和地址。除了(a) 至 (c)项所述标识之外,按照《枪支议定书》的要求,各国还可考虑要求在进口枪支时标识
importer or exporter, as appropriate,] shall keep records of all parts and进口商的名称或身份以及进口年份(见《美洲国家组织标识和追踪枪支和弹药示范立法》
components and/or ammunition transferred under a licence granted under第3条第2款)。
this Law, including:第9条. 从政府库存转为民用时的标识
(a) Where the parts and components and/or ammunition are exported1. 每一个公共服务机构在将枪支从政府库存转为民用时应 确保在实施转让之前根据本条第2款之规定对枪支进行标识。
from [name of State]:2. 根据本条第1款之规定对政府库存向民用转让的所有枪支 所打上的识别标识应将[国家名称] 标为实施枪支转让所在国。
(i) Date of issue of the export licence or authorization;3. 如果从政府库存向永久性民用转让的枪支根本没有身份 标识或现有身份标识未包括以下所有信息,则应对该枪支进行
(ii) Date of expiration of the export licence or authorization; Part Two. Mandatory provisions 25以下信息标识:20 打击非法制造和贩运枪支及其零部件和弹药示范法
(iii) The country of import;(a) 制造国;
(b) Where the parts and components and/or ammunition are imported(b) 制造商名称;和
into [name of State]:(c) 特有序号。
(i) Date of issue of the import licence or authorization;评注
(ii) Date of expiration of the import licence or authorization;强制性条款
(iii) The country of export;法律出处:《枪支议定书》,第8条第1款(c)项。
(c) [Full details of the route to be taken to the final destination,《国际追查文书》要求从政府库存转为永久性民用的小武器和轻武器未以允许追查的方式 进行标识的,应以允许查明实施库存转让所在国的方式进行标识。修改关于管制取得和
including] any transit countries and ports of entry and exit;持有武器的欧洲理事会第 91/477/EEC号指令的欧洲共同体(欧共体)第 2008/51号
(d) Name of the final recipient (if different from the importer) [insert指令(修正条款第 4条第 2款)也要求各成员国“在从政府库存向永久性民用转让时确保 进行适当的特有标识,以便于查明转让行为实施国”。
the following as appropriate: address, country of residence, citizenship if关于第 3款,《枪支议定书》未明确要求各国确保从政府库存转为永久性民用的枪支 必须带有除转让国以外的其他身份标识。但是,这可能是因为有一种假定,即所有枪支
individual, name of responsible person or representative if commercial or都已在制造或进口时(根据本议定书第8条第 1款 (a)和 (b)项之规定)进行了标识。
government];各国应当确保从政府库存转为永久性民用的枪支在实施转让行为之前都有适当的制造和 进口标识(见《立法指南》,第 88段和《国际小武器管制标准》(模块 05.30,“标识和
(e) Quantity of parts and components and/or ammunition for export记录保管”)。
listed by classification/description;第 10 条 . 在进行除销毁以外其他处置时的标识
(f) Additional descriptive information, as applicable, such as [insert1. [ 主管当局名称 ] 应确保根据本示范法第十三章之规定 进行除销毁以外其他方式处置的所有 [ 被扣押或没收 ] 的枪支
the following as appropriate: calibre, velocity and force, type of bullet].都要在进行处置之前根据本条第 2 款之规定进行标识。 2. 为根据本条第 1 款之规定进行除销毁以外其他方式处置
Commentary的枪支所打身份标识应:
Mandatory provision(a) 如果处置方式是停用,则应根据《示范法》第 11 条之
Source: Protocol, article 7, subparagraph (b).规定进行;第二部分 . 强制性条款 21 (b) 包括《示范法》第 7 条所列之信息,如果采用除停用 以外的其他处置方式且: i) 即将被处置枪支上的现有身份标识中未提供《示范法》 第 7条中所列之全部信息的;或 ii) 即将被处置枪支根本没有身份标识的。 评注 强制性条款 法律出处:《枪支议定书》,第6条第2款。
Where the items being exported are parts and components or ammunition,《美洲国家禁止非法制造和贩运枪支、弹药、爆炸物及其他有关材料公约》要求各国对以
States must retain this information “where appropriate and feasible” (Protocol,官方用途保留(且因此未进行销毁或处置)的所有被没收或收缴的枪支进行标识(第六条
article 7).第 1款(c)项)。
B.  Records of manufacture and disposal《枪支议定书》并未明确说明被处置枪支所需要的标识类型。它只是说明,对被没收
Article 14. Information on items manufactured枪支进行除销毁以外的其他处置可得到官方授权,“条件是这些枪支已经进行标识”且已将
[Option 1: [Name of licensing authority]] [Option 2: Every manufacturer]处置方法记录在案(第 6条第 2款)。可以推定,要求它们至少拥有包括第 8条第 1款 (a)项所述要求的特有身份标识:制造商名称、制造国或制造地以及序号,即它涉及到某个
shall keep records of all items manufactured under this Law, including:现有制造商标识,而不是要求打上一个新的标识,除非先前没有身份标识。 如果采用的处置方法是停用,且一个国家在其国内法中不认可被停用枪支仍属于
(a) A description of every firearm manufactured, including:“枪支”的,各国可考虑按照《枪支议定书》第 9条 (c)项之规定,要求在进行处置时 进行停用标识。
(i) The markings made at the time of manufacture in accordance with article 7 of this Law;[ 第11条. 停用时的标识
Commentary1. 如果根据本法第 22 条之规定停用枪支且已经由 [ 主管
Mandatory provision当局名称 ] 根据本法第 23 条之规定签发停用证明的,停用枪支
Source: Protocol, article 7, subparagraph (a).26 Model Law on Firearms, Their Parts and Components and Ammunition的人 [ 制造商、经销商或军械工人或其他受权人员 ] 应 [ 选项 1 : 根据本条第 2 款之规定在被停用枪支上打上一个明显标识 ] 和 (或)根据 [ 适用于打样机构标识的现有技术规范或条例 ][ 选项
This provision requires that a record of the appropriate markings required in2:确保由[ 指定打样机构] 为被停用枪支进行标识 ]。22 打击非法制造和贩运枪支及其零部件和弹药示范法
article 8 of the Protocol (including markings made at the time of manufacture)评注
be maintained.强制性条款 《枪支议定书》第 9条 (c)项规定,主管当局的核查应当包括证明枪支已予停用的 证书或记录或者“在枪支上打上表示枪支已予停用的明显标识”。良好做法表明,证书
(ii) The name/identity of the manufacturer;和适当的标识都应具备。属于枪支验印国际常设委员会成员的国家可要求在枪支可被
(iii) The make of firearm manufactured;归类为“被停用枪支”之前由公认的打样机构进行适当标识。在此情况下,可采用
(iv) The model of firearm manufactured;选项 2。在其他国家,只需由执行停用者对被停用枪支进行适当标识。在此情况下,可
(v) The quantity/number of firearms manufactured;采用选项 1。 2. 根据本条第 1 款对每一件被停用枪支适用的身份标识就
(vi) The serial number of each firearm manufactured; and说明该枪支已[ 根据本法第22条之规定] 被停用]。
(vii) The calibre of each firearm manufactured;评注
Commentary强制性条款
Mandatory provision法律出处:《枪支议定书》,第 9条(c)项。
Source: Protocol, article 7.该条款规定,作为检查过程的一部分,主管当局须出具一份证明枪支已予停用的证书或记录,
This provision requires that information in relation to firearms be kept that is或是在枪支上打上表示枪支已予停用的明显标识。 虽然《枪支议定书》未做出要求,但各国也可考虑将停用年份和停用国名称纳入停用
“necessary to trace and identify” firearms that are illicitly manufactured or trafficked. It does not specify what information—other than markings—is or would标识之中。第二部分 . 强制性条款 23 第五章 . 记录保管 评注 本章涉及《枪支议定书》第 7条之下的记录保管要求。《枪支议定书》要求各国“确保 保存”与枪支有关的某些资料,并在可行的情况下保存与枪支零部件和弹药有关的必要资料。
be considered “necessary” to trace and identify illicit weapons. The above details但是,《枪支议定书》并未具体规定此种记录是应由国家亲自保存,还是由参与制造、进口 和出口等活动的人员和机构保存。因此,各国可自行决定这些记录是由国家保存,还是由
identified in subparagraphs (ii)-(v) are the minimum information necessary to参与枪支相关业务的人员和机构保存。附件一(需要考虑的补充事项)提供了进一步建议 文本,可供起草者考虑纳入其国内立法。
identify illicit weapons, but it is up to States to decide.以下条款草案提供了两种备选方案。如果国家本身对保存记录负有首要责任,则应 采用选项1。在此情况下,国家保存记录的义务延伸至记录所有已经制造的枪支和涉及
The INTERPOL Firearms Tracing System uses the barrel length and枪支的所有交易。如果参与枪支相关活动的人员和机构对保存记录负有首要责任,则应 采用选项 2。在此情况下,国家保存记录的义务仅限于通过许可申请和检查所获得的信息
number of discharges as additional identifying characteristics and States may资料。
also wish to consider requiring manufacturers to keep records of this information. However, for certain types of firearm these are not always relevant or本章所载条款未涉及保存国家持有枪支相关记录的问题。虽然《枪支议定书》中没有 明确提及一种便于追查枪支的全面记录保管制度,但是各国有必要将这一制度纳入国家 持有枪支库存及其调动情况的记录。关于保存国家持有枪支记录的条款通常不会出现在
useful. For example, the number of shots is a good identifier for firearms such关于枪支问题的国内立法中,但各国应考虑将这类条款纳入国防法或行政法规以及适用于 枪支库存管理问题的军队 / 警察手册。有关这一问题的进一步任择指南见《国际小武器 管制标准》(模块 05.30,“标识和记录保管”)。 A. 交易记录 第 12条 . 关于国际枪支交易的信息 [ 选项 1:[ 许可当局名称 ]][ 选项 2:每一个被许可进口商 或出口商,根据情况需要 ] 应保管按照本法之下授予的许可证所 转让的所有枪支的记录,包括:24 打击非法制造和贩运枪支及其零部件和弹药示范法 (a) 枪支的出口来源地[ 国家名称 ] :
as revolvers where this is fixed at manufacture, but not for many other types(i) 出口许可证或授权的发放日期;
that can use detachable cartridge magazines of different capacities (see the(ii) 出口许可证或授权的到期日期;
Legislative Guide, paragraph 125).(iii) 进口国; (b) 枪支的进口目的地[ 国家名称 ] :
(b) A description of all ammunition manufactured, including:(i) 进口许可证或授权的发放日期;
[(i) The markings applied at the time of manufacture;](ii) 进口许可证或授权的到期日期;
(ii) The name/identity of the manufacturer;(iii) 出口国; iv) 根据本法第8条采用的进口标识; (c) [所采用的到最终目的地的详细路线,包括]任何过境国,
(iii) The type of ammunition manufactured;以及入境和出境港口; (d) 最后收货人的名称(如果不同于进口商)[根据情况需要
(iv) The quantity of ammunition manufactured; and插入以下信息:地址、居住地国家代码、如果是个人,请提供 公民身份;如果是商业机构或政府,请提供负责人或代表的名称] ;
(v) The date of manufacture, if possible;(e) 分类列出出口枪支的数量并予以说明; (f) 其他适用的补充描述信息,如 [ 根据愿意或情况需要
Commentary插入以下内容:序号、枪管长度、总长度、操作方式、子弹发数、
Mandatory provision口径、速度和威力、子弹类型];
Source: Protocol, article 7.Part Two. Mandatory provisions 27评注
Article 7 requires that information that is “necessary to trace and identify” ammunition need only be kept where this is “appropriate and feasible”. It does not强制性条款
specify what information (other than markings) would be considered “necessary”法律出处:《枪支议定书》,第7条(b)项。
to trace and identify illicitly manufactured or trafficked ammunition, but the above第 13 条 . 关于国际枪支零部件及弹药交易的信息
details identified in subparagraphs (ii)-(iv) are the minimum information necessary to identify such illicit ammunition, but it is up to States to decide.[ 选项 1:[ 许可当局名称 ]][ 选项 2:每一个被许可进口商
Subparagraph (b)(i) is only relevant where States require ammunition to或出口商,根据情况需要 ] 应保管按照本法之下授予的许可证所 转让的所有零部件和(或)弹药的记录,包括:
be marked (see annex I (article 26) for suggested text on “Marking of ammunition at the time of manufacture”).(a) 零部件和(或)弹药的出口来源地[ 国家名称] : (i) 出口许可证或授权的发放日期; (ii) 出口许可证或授权的到期日期;第二部分 . 强制性条款 25
(c) A description of all parts and components manufactured,(iii) 进口国;
including:(b) 零部件和(或)弹药的进口目的地 [ 国家名称] :
[(i) The markings applied at the time of manufacture;](i) 进口许可证或授权的发放日期; (ii) 进口许可证或授权的到期日期; (iii) 出口国; (c) [ 所采用的到最终目的地的详细路线,包括] 任何过境国, 以及入境和出境港口; (d) 最后收货人的名称(如果不同于进口商)[ 根据情况 需要插入以下信息:地址、居住地国家代码、如果是个人,请提供 公民身份;如果是商业机构或政府,请提供负责人或代表的名称] ; (e) 分类列出出口零部件和(或)弹药的数量并予以说明; (f) 其他适用的补充描述信息,如 [ 根据愿望和情况需要和 插入以下内容:口径、速度和威力、子弹类型]。 评注 强制性条款 法律出处:《枪支议定书》,第7条(b)项。 如果被出口物品为零部件或弹药,则各国必须“在适当和可行的情况下”保存这一信息 (《枪支议定书》,第 7条)。 B. 制造和处置记录 第14 条 . 关于制造品的信息 [ 选项 1 :[ 许可当局名称 ]][ 选项 2 :每一个制造商 ] 都应保存 依据本法制造的所有物品的记录,包括: (a) 对每一件被制造枪支的说明,包括: i) 在制造枪支时根据本法第 7 条进行的标识; 评注 强制性条款 法律出处:《枪支议定书》,第7条(a)项。26 打击非法制造和贩运枪支及其零部件和弹药示范法 本条款要求保存本议定书第 8条所要求的适当标识(包括在制造枪支时进行的标识)。
(ii) The name/identity of the manufacturer;(ii) 制造商的名称/身份;
(iii) The type of parts and components manufactured;(iii) 被制造枪支的构造;
(iv) The quantity of parts and components manufactured; and(iv) 被制造枪支的型号;
(v) The date of manufacture, if possible.(v) 被制造枪支的数量;
Commentary(vi) 每一支被制造枪支的序号;和
Mandatory provision(vii) 每一支被制造枪支的口径;
Source: Protocol, article 7.评注
This provision requires that information that is “necessary to trace and identify”强制性条款
parts and components need only be kept where this is “appropriate and feasible”. It does not specify what information—other than markings—is or would法律出处:《枪支议定书》,第7条。
be considered “necessary” to trace and identify illicitly manufactured or trafficked本条款要求保管枪支相关信息,认为这对追查和识别非法制造或贩运的枪支是必要的。它 并未具体说明何种信息(除了标识之外)被视为或将被视为对追查和识别非法武器是必要
parts and components, but arguably the above details identified in subparagraphs (ii)-(iv) are necessary to identify such parts and components.的。上文第 (ii)-(v)项所确定的细节属于识别非法武器所必需的基本信息,不过,这应由
Subparagraph (c)(i) is only relevant where States require parts and components to be marked (see annex I (article 23) for suggested text on “Marking各国自行确定。
of parts and components at the time of manufacture”).国际刑警组织枪支追查系统将枪管长度和装弹量作为补充识别特征,各国不妨考虑
Article 15. Information on firearms disposed of other than by destruction要求制造商保留有关这一信息的记录。但是,对于某些类型的枪支,这些信息并非总是 相关或有效。例如,对于左轮手枪等枪支来说,子弹发数是一个很好的识别特征,因为
[Name of competent authority] shall keep records of every firearm disposed of in accordance with [chapter XIII of this Law], including the method它们的装弹数是在制造时确定的,但是对于很多其他类型可使用不同容量的可拆卸弹匣的
of disposal.枪支来说,这并不是一个很好的识别特征(《立法指南》,第125段)。
Commentary(b) 对所有被制造弹药的说明包括:
Mandatory provision28 Model Law on Firearms, Their Parts and Components and Ammunition[(i) 制造时使用的标识;] (ii) 制造商的名称/身份;
Source: Protocol, article 6, paragraph 2.(iii) 被制造弹药的类型;
There is no requirement under the Protocol that information other than the(iv) 被制造弹药的数量;和
method of disposal be recorded with respect to firearms disposed of other(v) 制造日期,如有可能。
than by destruction (article 6, paragraph 2). However, article 6, paragraph 2,评注
also requires that firearms disposed of must be duly marked. This is reflected强制性条款
in draft article 9 of this Model Law.法律出处:《枪支议定书》,第7条。第二部分 .
It is logical that States would record the强制性条款 27
details of those markings as well as other identification information pertaining第 7条要求保管弹药相关信息,认为这对追查和识别非法制造或贩运的弹药是必要和可行
to the firearm upon disposal. Accordingly, States may consider keeping records的。它并未具体说明何种信息(除了标识之外)被视为或将被视为对追查和识别非法制造
of the following information regarding firearms disposed of other than by或贩运的弹药是必要的,但上文第 (ii)-(iv)项所确定的细节属于识别非法弹药所必需的
destruction:基本信息,但这应由各国自行决定。
(a) A description of every firearm that is the subject of disposal, including make, model, calibre, name of the manufacturer, serial number and all只有国家要求对弹药进行标识时才会涉及到 (b)(i)项(关于“制造时的弹药标识”的
markings;建议文本,见附件一(第 26条))。
(b) The date of disposal;(c) 对所有被制造零部件的说明包括:
(c) The reason for the disposal.[(i) 制造时使用的标识;] (ii) 制造商的名称 / 身份; (iii) 被制造零部件的类型;
Depending on the jurisdiction, the obligation to record information on firearms disposed of other than by destruction may appear in criminal provisions(iv) 被制造零部件的数量;和 (v) 制造日期,如果可能。
and may be retained by the police, rather than the competent authority.评注
Article 16. Information on ammunition disposed of强制性条款
other than by destruction法律出处:《枪支议定书》,第7条。
[Name of competent authority] shall keep records of all ammunition本条款要求保管零部件相关信息,认为这对追查和识别非法制造或贩运的零部件是必要的。
disposed of in accordance with [chapter XIII of this Law], including the它并未具体说明何种信息(除了标识之外)被视为或将被视为对追查和识别非法制造或
method of disposal.贩运的零部件是必要的,但上文第 (ii)-(iv)项所确定的细节属于识别此种零部件所必需的。
Commentary只有国家要求对零部件进行标识时才会涉及到(c)(i)项(关于“制造时的零部件标识” 的建议文本,见附件一(第 23条))。 第 15 条 . 关于除销毁以外通过其他方式处置枪支的信息
Mandatory provision[ 主管当局名称 ] 应保存根据 [ 本法第十三章 ] 所处置的所有
Source: Protocol, article 6, paragraph 2.枪支的记录,包括处置方法。
There is no requirement under the Protocol that information other than the评注
method of disposal be recorded with respect to ammunition disposed of other强制性条款28 打击非法制造和贩运枪支及其零部件和弹药示范法
than by destruction (article 6, paragraph 2). However, States may wish to record法律出处:《枪支议定书》,第6条第2款。
the details of any markings as well as other identification information pertaining就采用除销毁以外其他方式处置的枪支而言,本议定书对记录除处置方法以外的其他信息 未做要求(第6条第 2款)。但是,第 6条第 2款还要求对被处置的枪支进行适当标识。
to the ammunition upon disposal, including:这一点体现在《示范法》第 9条草案中。当然,各国还要在处置之前记录这些标识的详细 情况以及与枪支有关的其他识别信息。因此,对于采用除销毁以外其他方式处置的枪支, 各国可考虑保存关于以下信息的记录:
(a) A description of the ammunition that is the subject of disposal, including type of ammunition, lot number, name of the manufacturer and any(a) 对属于处置主体的所有枪支的说明,包括:构造、型号、口径、制造商名称、
markings;序号和所有标识;
(b) The date of disposal;(b) 处置日期;
(c) The reason for the disposal;(c) 处置理由。
(d) The quantity of disposed ammunition. Part Two. Mandatory provisions 29根据管辖区域的不同,对采用除销毁以外其他方式处置枪支的信息进行记录的义务可 列入刑事条款,而且记录可由警方而非主管当局保管。
Article 17.第 16条.
Information on seized and confiscated firearms, their parts关于除销毁以外通过其他方式
and components and ammunition处置弹药的信息
[Name of competent authority] shall keep records of every firearm, part[ 主管当局名称 ] 应保存根据 [ 本法第十三章 ] 所处置的所有
or component or ammunition seized or confiscated in accordance with [chapter XIII of this Law], including the following information:弹药的记录,包括处置方法。 评注 强制性条款 法律出处:《枪支议定书》,第6条第2款。 就采用除销毁以外其他方式处置的弹药而言,本议定书对记录除处置方法以外的其他信息 未做要求(第6条第 2款)。但是,对于采用除销毁以外其他方式处置的弹药,各国不妨 考虑在处置之前记录所有标识细节以及与弹药有关的其他识别信息,包括:
(a) The date of seizure or confiscation;(a) 对属于处置主体的所有弹药的说明,包括:弹药类型、批号、制造商名称、所有 标识;
(b) The reason for seizure or confiscation;(b) 处置日期;
(c) The name and address of the person from whom the firearm, part(c) 处置原因;
or component or ammunition was seized or confiscated;(d) 处置弹药的数量。第二部分 .
(d) Where the item seized is a firearm, a description of every firearm强制性条款 29
seized or confiscated, including:第 17 条 . 关于被扣押和没收枪支及其零部件和弹药的信息 [ 主管当局名称 ] 应保存根据 [ 本法第十三章 ] 扣押或没收的 所有枪支、零部件或弹药的记录,包括以下信息: (a) 扣押或没收的日期; (b) 扣押或没收的原因; (c) 扣押或没收枪支、零部件或弹药者的姓名和地址; (d) 如果被扣押物品是枪支,说明被扣押或没收的所有枪支,包括:
(i) Make;(i) 构造;
(ii) Model;(ii) 型号;
(iii) Calibre;(iii) 口径; (iv) 制造商名称; (v) 序号;和 (vi) 所有标识; (e) 如果被扣押物品为零部件,则对所有被扣押或没收的 零部件进行说明,包括: (i) 零部件的类型; (ii) 制造商的名称;和 (iii) 所有标识;
(iv) Name of the manufacturer;(f) 如果被扣押物品为弹药,则对所有被扣押或没收的弹药
(v) Serial number; and (vi) All markings; (e) Where the item seized is a part or component, a description of every part or component seized or confiscated, including: (i) The type of part or component; (ii) Name of the manufacturer; and (iii) Any markings; (f) Where the item seized is ammunition, a description of all ammunition seized or confiscated, including: (i) The type of ammunition; (ii) The lot number; (iii) Name of the manufacturer; and (iv) Any markings; [(g) Other.]30 Model Law on Firearms, Their Parts and Components and Ammunition Commentary Source: Protocol, article 6. Article 6 of the Protocol makes explicit reference to article 12 of the Convention, thus clearly indicating that this provision complements the ordinary regime on confiscation and seizure, where judicial authorities or prosecutors give the order to seize or confiscate and hence the recording of these procedures can only be mandatory. There is no indication under the Protocol or the Convention of the exact nature and type of information that must be recorded, but the above suggested drafting provides a comprehensive list of details that would facilitate identification and tracing as required under article 12, paragraph 2, of the Convention. In some jurisdictions regulations regarding police administrative records and asset forfeiture may not be included in the national firearms legislation and States may include such provisions elsewhere. [Article 18. Information on deactivated firearms 1. [Name of competent authority] shall keep records of all requests for authorization to deactivate firearms made in accordance with article 21 of this Law, including the following information: (a) Proof that the person requesting the deactivation is the [legal/ licensed] owner of the firearm; (b) Name of the [legal/licensed] owner of the firearm; (c) Residential address of the [legal/licensed] owner of the firearm; (d) Details of the firearm that is the subject of the deactivation, including:进行说明,包括:
(i) Make;(i) 弹药的类型;
(ii) Model;(ii) 批号;
(iii) Calibre;(iii) 制造商的名称;和
(iv) Name of the manufacturer;(iv) 所有标识;
(v) Serial number; and (vi) All markings. 2. Where [name of competent authority] authorizes the deactivation of a firearm in accordance with article 21 of this Law, [name of competent authority] shall keep records of: (a) The certificate issued by [name of competent authority] in accordance with article 23 of this Law; or Part Two. Mandatory provisions 31 (b) The markings applied to the deactivated firearm in accordance with article 11 of this Law.] Commentary Source: Protocol, article 9. Article 9, subparagraph (c), requires a “certificate or record attesting to the deactivation” to be kept as part of the verification process. If a State chooses to mark deactivated firearms rather than keeping certificates or records of deactivation, a record of the mark should be kept, although not explicitly required by the Protocol. Such records could be kept as an additional safeguard against illicit reactivation. This would assist in the tracing of firearms that have been reactivated (see the Legislative Guide, paragraph 130). C.  Administrative  requirements Article 19. Duration of record-keeping All records retained in accordance with this Law/section shall be maintained for at least [...] years from the date such information was recorded. Commentary Mandatory provision Source: Protocol, article 7. This provision requires States to ensure that records necessary to trace and identify illicit weapons are kept “for not less than ten years”. Drafting note There are two points to consider here: (a) The only information the Protocol specifically requires States to ensure maintenance of is markings (article 7, subparagraph (a)), so there should be a mandatory requirement to keep records of markings for at least 10 years. However, article 7 also requires the maintenance of information “necessary to trace and identify” firearms for 10 years. Accordingly, whatever information States parties determine, under their national legislation, is “necessary” must be recorded for at least 10 years; (b) The International Tracing Instrument provides (paragraph 12 (a)) that records pertaining to marked small arms and light weapons “be kept indefinitely”, 32 Model Law on Firearms, Their Parts and Components and Ammunition but in any case manufacturing records must be kept for at least 30 years and all other records for at least 20 years. The Programme of Action on Small Arms and Light Weapons (chapter II, paragraph 9) provides that records on the manufacture of small arms and light weapons should be kept “for as long as possible”. The OSCE Document on Small Arms and Light Weapons (section II (c)) and the Wassenaar Best Practice Guidelines (paragraph 2 (c)) provide that records of manufacturers’ holdings of small arms should be maintained and held “for as long as possible”. Given the durable nature of small arms and light weapons, including firearms, and the importance of record-keeping to facilitate their traceability, best practice would suggest that manufacturing records should be kept, ideally, indefinitely. States may consider including provisions requiring records to be kept for longer than is required under the Protocol, as per the suggested drafting below: Option 1 All records retained in accordance with this Law/section shall be kept indefinitely from the date such information was recorded. Commentary Source: International Tracing Instrument, paragraph 12 (a). Option 2 All manufacturing records in accordance with this Law/section shall be kept as long as possible, and for at least thirty years, and all other records required under this Law/section for at least twenty years from the date such information was recorded. Commentary Source: The International Tracing Instrument, paragraph 12 (a); the Programme of Action on Small Arms and Light Weapons (chapter II, paragraph 9); the OSCE Document on Small Arms and Light Weapons (section II (c)); and the Wassenaar Best Practice Guidelines (paragraph 2 (c)). Part Two. Mandatory provisions 33 [Chapter VI. Deactivation of firearms Commentary These draft provisions regarding deactivation are only necessary and relevant if a State does not recognize a deactivated firearm as a “firearm”. Many States allow the possession (and display) of deactivated firearms by collectors, museums, rifle clubs and so on. Such deactivated firearms are generally subject to fewer controls. To ensure that deactivated firearms are not transferred to illicit destinations and reactivated, the Protocol requires that any deactivation that takes place be essentially irreversible (article 9, subparagraph (a)). When drafting legislation on this issue, States must consider the circumstances in which they will permit deactivated firearms to be possessed. Once a State has determined the circumstance where it is lawful to possess deactivated firearms, it must regulate the manner of deactivation. (Annex III provides several examples of national deactivation standards.) The Protocol requires States that do not recognize deactivated firearms as “firearms” in their domestic law to adopt measures to prevent illicit reactivation of deactivated firearms. While the principle of preventing reactivation is mandatory under the Protocol, the Protocol does not prescribe what measures should be taken or adopted by States, but rather provides some general principles that should be applied to such measures. These principles are mandatory. Where States do not recognize deactivated firearms as “firearms” under their national law (and therefore deactivated firearms fall outside the national control measures), they should adopt the draft provisions set out in this chapter in order to ensure consistency with the principles and objectives of the Protocol. States should also review and adopt the provisions in draft article 11 (Marking at the time of deactivation) (chapter IV), draft article 18 (Information on de activated firearms) (chapter V), and draft article 38 (Illicit deactivation) (chapter XI) in this Model Law. [Article 20. Prohibition to deactivate a firearm without authorization A person shall not deactivate a firearm unless: (a) That person is: (i) Licensed to manufacture firearms in accordance with chapter III of this Law; or34 Model Law on Firearms, Their Parts and Components and Ammunition (ii) Otherwise authorized to deactivate firearms by [name of competent authority]; and (b) [Name of competent authority] has given specific [authorization/ approval] to deactivate the firearm in accordance with article 21 of this Law.] Commentary There is no requirement under the Protocol that deactivation of firearms be carried out by persons who are specially skilled and authorized to do so. However, a certain amount of technical skill and familiarity with firearms is required to permanently deactivate a firearm. Accordingly, good practice suggests that[(g) 其他。]30 打击非法制造和贩运枪支及其零部件和弹药示范法
only qualified persons, such as manufacturers and gunsmiths, should be评注
permitted to undertake the work.法律出处:《枪支议定书》,第6条。
[Article 21. Prior authorization to deactivate a firearm本议定书第 6条明确提到了《公约》第 12条,从而清楚地表明,在司法当局或检察
1. Any person who wishes to deactivate a firearm shall apply to [name机关发出扣押令或没收令的情况下,这一条款可对普通没收和扣押制度起到补充作用,
of competent authority] for authorization to deactivate the firearm.因此,记录这些程序只能具有强制性。本议定书和《公约》都没有说明必须记录之信息
2. An application to deactivate a firearm shall include the following的具体性质和类型,但以上起草建议提供了一个全面的细节清单,有利于按照《公约》
information:第 12条第 2款之要求进行识别和追查。在有些管辖区域,关于警方行政管理记录和
(a) Name of the licensed owner of the firearm;资产查封的规章制度可能未被纳入国内枪支立法,各国可将这类条款纳入别的国内立法。
(b) Residential address of the licensed owner of the firearm;[第18条. 关于被停用武器的信息
(c) Name of the person who will deactivate the firearm;1. [ 主管当局名称 ] 应根据本法第 21 条保管有关为了获得
(d) Proof that the person who will deactivate the firearm is licensed停用枪支授权而提出的所有请求的记录,包括以下信息:
to manufacture firearms in accordance with chapter III of this Law or is(a) 请求停用者关于其为枪支[合法/被许可]所有人的证据;
otherwise authorized to deactivate firearms;(b) 枪支的 [ 合法/被许可] 所有人的名称;
(e) Details of the firearm that is the subject of the deactivation,(c) 枪支的[ 合法/被许可] 所有人的居住地址;
including:(d) 作为被停用主体的枪支的细节:
(i) Make;(i) 构造;
(ii) Model;(ii) 型号;
(iii) Calibre;(iii) 口径;
(iv) Name of the manufacturer;(iv) 制造商名称;
(v) Serial number; and(v) 序号;和
(vi) All markings.(vi) 所有标识。
3.2.
The firearm that is the subject of the deactivation application shall如果 [ 主管当局名称 ] 根据本法第 21 条授权停用枪支,
be deactivated within [...] days of the issuance of the authorization to则[ 主管当局名称] 应保存以下记录:
deactivate the firearm.]Part Two. Mandatory provisions 35(a) 由[ 主管当局名称] 根据本法第23 条发放的证书;或第二部分 . 强制性条款 31
Commentary(b) 根据本法第11条对被停用枪支适用的标识。]
There is no requirement under the Protocol that prior approval from the competent authority must be sought before a firearm is deactivated. However, as评注
part of the process for deactivating firearms, a requirement that prior authorization be obtained from the competent authority will help the competent authority法律出处:《枪支议定书》,第 9条。
keep track of deactivated firearms.第 9条 (c)项要求作为检查进程的一部分,保存“证明予以停用的证书或记录”。尽管
[Article 22. Method of deactivation本议定书未做出明确要求,但是,如果某个国家选择对被停用枪支进行标识而不保存停用
Any deactivation of a firearm shall:证书或记录,则应保存该标识记录。此种记录可以作为一种补充保障措施加以保存,以
(a) Render all essential parts of a deactivated firearm: (i) Permanently inoperable; and (ii) Incapable of removal, replacement or modification in a manner that would permit reactivation of the deactivated firearm; Commentary Source: Protocol, article 9, subparagraph (a). One of the general principles established by the Protocol is that “all essential parts of a deactivated firearm are to be rendered permanently inoperable and incapable of removal, replacement or modification in a manner that would permit the firearm to be reactivated in any way”. States must ensure that their deactivation standards meet this principle. Similarly, European Community directive 2008/51/EC amending European Council directive 91/477/EEC on control of the acquisition and possession of weapons stipulates that “firearms” do not include objects that “have been rendered permanently unfit for use by deactivation, ensuring that all essential parts of the firearm have been rendered permanently inoperable and incapable of removal, replacement or a modification that would permit the firearm to be reactivated in any way”. (b) Be in accordance with the technical standards established [by/ under] [title of the secondary legislation, regulation or guidelines that contain the relevant technical standards].] Commentary The Protocol does not establish technical standards for the deactivation of firearms. Accordingly, it is up to States to determine which techniques must be used to lawfully deactivate a firearm. Given that such technical specifications may be subject to change and adjustments to keep pace with technological advancements, it may be more appropriate to list or detail them in subsidiary legislation or separate technical guidelines. 36 Model Law on Firearms, Their Parts and Components and Ammunition [Article 23. Verification of deactivation A firearm shall not be classified as a deactivated firearm for the purposes of this Law [and therefore shall not cease to be a firearm] unless and until: (a) A physical inspection of the firearm has been conducted by [name of competent authority or another person authorized by the competent authority]; and (b) A [deactivation] certificate has been issued to the licensed owner of the firearm by [name of competent authority] containing the following information: (i) Confirmation that the firearm has been rendered permanently inoperable in accordance with article 22 of this Law; (ii) Name of the [legal/licensed] owner of the firearm; (iii) Residential address of the [legal/licensed] owner of the firearm; (iv) Details of the firearm that is the subject of the deactivation, including: a. Make; b. Model;防止非法停用。这样做有助于追查已被停用的枪支(见《立法指南》,第130段)。
c.C.
Calibre;行政要求
d.第 19 条 .
Name of the manufacturer;记录保管期限
e. Serial number; and根据本法 / 章节保管所有记录都必须自该信息被记录之日起
f. All markings;至少保存 [......] 年。
(v) Name of the person carrying out the deactivation;评注
(vi) Address of the person carrying out the deactivation;强制性条款
(vii) Date of deactivation;法律出处:《枪支议定书》,第7条。
(viii) Details of the method of deactivation; or本条款要求各国确保将追查和识别非法武器所需的必要记录保存“不少于十年”。
(c) The firearm has been stamped with a clearly visible mark in accordance with article 11 of this Law.]起草说明
Commentary在此,有两点需要考虑:
Source: Protocol, article 9, subparagraphs (b) and (c).(a) 《枪支议定书》明确要求各国确保保存的唯一信息是各种标识(第7条 (a)项)。
One of the general principles established by the Protocol is that arrangements因此,应当把至少将标识记录保存 10年列为一项强制性要求。但是,第 7条还要求将 “追查和识别枪支所需的”必要信息保存 10年。因此,只要缔约国在其国内立法中确定
should be made for deactivation to be verified by a competent authority to属于“必要的”信息,都必须至少保存 10年。 (b) 《国际追查文书》(第 12段 (a)项)规定,与被标识小武器和轻武器有关的记
ensure that the firearm has been rendered permanently inoperable. Part Two. Mandatory provisions 37录“应无限期保存”,但在任何情况下,制造记录都必须至少保存 30年,而所有其他记32 打击非法制造和贩运枪支及其零部件和弹药示范法 录则必须至少保存 20年。《联合国小武器和轻武器行动纲领》(第二章,第 9段)规定,
[Article 24. Surrender of licence关于小武器和轻武器的制造记录应“尽可能长期”保存。《欧安组织小武器和轻武器文件》
Within [seven days] of receipt of the [deactivation] certificate from(第二 (c)节)和《瓦塞纳尔小武器和轻武器出口最佳做法指南》(第 2(c)段)规定, 关于制造商持有小武器的记录应“尽可能长期”保存和保管。鉴于包括枪支在内的小武器
[name of competent authority] in accordance with article 23, paragraph 1 (b),和轻武器的耐用性以及为进行追查而保管记录的重要性,最佳做法建议最好无限期保管
of this Law, the licensed owner of the firearm shall surrender the licence to制造记录。
[name of licensing authority], which shall cause the licence to be cancelled各国不妨参照下文所建议的起草内容,将那些要求记录保管期限应长于《枪支议定书》
and destroyed.]规定的期限的条款纳入国内法:
Commentary选项 1
If a firearm is deactivated, the licence to own that firearm should be cancelled根据本法 / 章节保存的所有记录都必须自该信息被记录之日
and a record of that cancellation should be retained.起无限期保存。
38 Model Law on Firearms, Their Parts and Components and Ammunition评注 法律出处:《国际追查文书》,第 12(a)段。 选项 2 根据本条 / 章节保存的所有制造记录均须尽可能长期保存, 且至少保存三十 (30) 年,而对于本法 / 章节之下要求的所有其他 记录至少应自该信息被记录之日起保存二十 (20) 年。 评注 律出处:《国际追查文书》,第 12(a)段;《联合国小武器和轻武器行动纲领》(第二 章,第9段);《欧安组织小武器和轻武器文件》(第二 (c)节);以及《瓦塞纳尔小武器和 轻武器出口最佳做法指南》(第 2(c)段)。第二部分 . 强制性条款 33 [ 第六章 . 枪支的停用 评注 只有在一个国家不承认被停用枪支为“枪支”的情况下,这些有关停用的条款草案才是 必要的和至关重要的。 很多国家允许收藏者、博物馆、步枪俱乐部等持有(和展示)被停用枪支。此种被 停用枪支一般都很少受到管制。为确保被停用枪支不被转到非法目的地并被重新启用, 《枪支议定书》规定枪支的任何停用在本质上都应是不可逆转的(《枪支议定书》,第 9条 (a)项)。在起草有关这一问题的立法时,各国必须考虑其允许持有被停用枪支的情形。 一旦某个国家已经确定合法持有被停用枪支的情形,则其必须对停用方式进行管制(附件 三介绍了有关国内停用标准的若干例子)。 《枪支议定书》要求在其国内立法中不承认被停用枪支为“枪支”的国家采取措施,以 防止非法重新启用已被停用的枪支。虽然《枪支议定书》规定的防止重新启动原则是一项 “强制性”原则,但是,《枪支议定书》并未规定各国应采取或采纳哪些措施,而是规定了 应适用于这些措施的一些一般原则。这些原则都具有强制性。一个国家若在其国内法律中 不承认被停用枪支为“枪支”(并因此而将被停用枪支置于国内管制措施范围之内), 则应采用本章所述及的条款草案,以确保与《枪支议定书》中的各项原则和目标保持一致。 各国还应审查和通过《示范法》第 11条草案(停用时的标识)(第四章)、第 18条 草案(关于被停用枪支的信息)(第五章)以及第38条草案(非法停用)(第十一章)中的 各项条款。 [第20条. 禁止未经授权停用枪支 任何人不得停用枪支,除非: (a) 此人是: i) 根据本法第三章之规定被许可制造枪支;或34 打击非法制造和贩运枪支及其零部件和弹药示范法 ii) 由[ 主管当局名称] 以其他方式授权停用枪支的,和 (b) [ 主管当局名称 ] 已经根据本法第 21 条之规定明确 [授权/ 批准] 停用枪支的]。 评注 《枪支议定书》没有要求必须由拥有特殊技能和获得授权者实施枪支停用之行为。但是, 永久停用枪支者必须拥有一定的技能和熟悉枪支。因此,良好做法表明,只有制造商和 军械工人等合格人员才应被允许从事这项工作。 [第21条. 停用枪支之前的事先授权 1. 凡希望停用枪支者均必须向 [ 主管当局名称 ] 申请停用 枪支的授权。 2. 请求停用枪支的申请必须包括以下信息: (a) 枪支的被许可所有者的名称; (b) 枪支的被许可所有者的居住地址; (c) 即将停用枪支者的名称; (d) 即将停用枪支者被许可根据本法第三章制造枪支或以 其他方式被授权停用枪支的证据; (e) 作为停用主体的枪支的详细情况,包括: (i) 构造; (ii) 型号; (iii) 口径; (iv) 制造商名称; (v) 序号;和 (vi) 所有标识。 3. 作为停用申请主体的枪支必须在发布停用枪支授权之后 [......] 日内停用。]第二部分 . 强制性条款 35 评注 《枪支议定书》没有对枪支在被停用之前征求主管当局事先批准问题做出要求。但是, 作为停用枪支程序的一部分,要求事先得到主管当局授权将有助于主管当局对被停用枪支 进行追踪。 [第22条. 停用方法 对枪支的任何停用均必须: (a) 致使被停用枪支的所有基本部件: (i) 永久不可操作;且 ii) 不能以一种可使枪支以任何手段重新启用的方式予以 拆除、替换或更改; 评注 法律出处:《枪支议定书》,第9条(a)项。 本议定书所确立的一条一般原则是“被停用枪支的所有主要部件永远无法操作,并且不能 以一种可使枪支以任何手段重新启用的方式予以拆除、替换或更改”。各国必须确保其停用 标准符合这一原则的要求。同样,(修改关于管制取得和持有武器的欧洲理事会第 91/477/ EEC号指令的)欧洲共同体第 2008/51号指令规定,“枪支”不包括“已通过停用致使 其永久不再适合使用,从而确保被停用枪支的所有主要部件永远无法操作,而且完全不能 以一种可使枪支重新启用的方式予以拆除、替换或更改”的物体。 (b) 符合 [ 包含相关技术标准的补充立法、实施细则或指南 的标题 ]所确立的技术标准。] 评注 《枪支议定书》并没有规定停用枪支的技术标准。因此,各国可自行确定必须采用何种 技术来停用枪支。考虑到这些技术规范可能会被修改和调整,以跟上技术发展的步伐, 故在补充立法或独立技术指南中予以列出或详加说明或许较为可取。36 打击非法制造和贩运枪支及其零部件和弹药示范法 [第23条. 停用核查 枪支不应归属于本法意义上的停用枪支 [ 因此不得停用 枪支 ],除非: (a) 已由 [ 主管当局或经主管当局授权的其他人 ] 对枪支 进行物理检查;和 (b) 已由 [ 主管当局名称 ] 向枪支的被许可所有者签发含有 以下信息的 [ 停用] 证书: i) 证实已经根据本法第 22 条致使枪支永久无法操作; (ii) 枪支的 [ 合法/被许可] 所有人的名称; (iii) 枪支的 [ 合法/被许可] 所有人的居住地址; iv) 作为停用主体的枪支的详细情况,包括: a. 构造; b. 型号; c. 口径; d. 制造商名称; e. 序号;和 f. 所有标识; (v) 实施停用行为者的名称; (vi) 实施停用行为者的地址;
Chapter VII. Import, export and transit of firearms,(vii) 停用日期;
their parts and components and ammunition(viii) 停用方法的详细情况,或 (c) 已根据本法第11条给枪支打上明显的标识。]
Commentary评注
Article 10, paragraph 1, of the Protocol requires States to establish or maintain法律出处:《枪支议定书》,第9条(b)和(c)项。 本议定书规定的一项一般原则是应由主管当局对核查停用措施作出安排,以确保已经致使
an effective system of licensing or authorization to control the import and export枪支永远无法操作。第二部分 . 强制性条款 37 [第24条. 归还许可 在收到 [ 主管当局名称 ] 根据本法第 23 条第 1 款 (b) 项签发 的 [ 停用 ] 证书之后 [ 七日 ] 内,枪支的被许可所有者必须向
of firearms, their parts and components and ammunition. The Protocol also[主管当局名称] 交出许可证,并由该主管当局予以销毁。] 评注 如果枪支被停用,拥有该枪支的许可证应被销毁,并应保存销毁记录。38 打击非法制造和贩运枪支及其零部件和弹药示范法
requires that States take measures on international transit of firearms, their第七章 . 枪支及其零部件和弹药的进口、出口和过境
parts and components and ammunition. Such a system must ensure that such评注 《枪支议定书》第 10条第 1款要求各国建立或保持有效的进出口许可或授权制度,以对 枪支及其零部件和弹药实行管制。本议定书还要求各国采取措施解决枪支及其零部件和
items are not exported to or through countries that have not authorized the弹药的国际过境问题。此种制度必须确保枪支不会出口到未授权转让的国家或通过未授权
transfer (article 10, paragraphs 2 and 4) and that the content of the documents used for legal import and export is sufficient to support the offence of trafficking转让的国家进行出口(第 10条,第 2和 4款),合法进出口文件的内容对贩运枪支的
(article 10, paragraph 3). States must also take measures to enhance accountability and security associated with their import and export system (article 10, paragraph 5).犯罪活动十分有利(第 10条,第 3款)。各国还必须采取措施,加强与其进出口制度 相关联的问责和安全(第 10条,第5款)。
The Protocol does not specify in detail the form the system of licensing of《枪支议定书》并未详细说明进出口许可制度的形式,以及各国必须采取的国际过境 措施。这主要由各国自行确定(有关这方面的进一步任择指南见《国际小武器管制标准》
import and export or the measures on international transit a State must take.(模块 03.20,“对小武器和轻武器国际转让的国内管制”)。除了确保在立法中纳入本
This is left largely to the discretion of States (further optional guidance on this议定书所有强制性条款外,各国还应根据适用于枪支及其零部件和弹药国际进出口和过境 的其他多边、区域和次区域协定履行其现有义务(起草者不妨参考附件二中所列相关文书)。
is available in the International Small Arms Control Standards, module 03.20,各国应选择对其现有立法和义务具有补充作用的《示范法》条款,并表明本国所要求的 适当管制水平。附件一(需要考虑的补充事项)提供了进一步建议文本,起草者也可考虑
“National controls over the international transfer of small arms and light weapons”). In addition to ensuring that legislation incorporates all the mandatory纳入本国立法。
provisions of the Protocol, States may have existing obligations under other枪支及其零部件和弹药的进口、出口和过境许可[授权]
multilateral, regional and subregional agreements that have application to the第25 条. 禁止在无照 [ 未经授权 ] 情况下允许枪支
international import, export or transit of firearms, their parts and components及其零部件和弹药的进口、出口和过境 1. 在事先未收到 [ 许可当局名称 ] 根据本法之规定签发的 [ 书面进口或出口许可证 ][ 事先书面授权 ] 之前,任何人不得从
and ammunition (drafters may wish to refer to the related instruments listed in[ 国家名称 ] 进口或向 [ 国家名称 ] 出口任何枪支和(或)其 零部件和(或)弹药。第二部分 . 强制性条款 39
annex II).2.
States should choose the provisions of the Model Law that complement their existing legislation and obligations and reflect the appropriate level如果没有收到 [ 许可当局名称 ] 根据本法之规定签发的
of control required by their State. Annex I (Additional considerations) provides过境 [ 许可证 ][ 授权 ],任何人不得在过境 [ 国家名称 ] 时携带
further suggested text that drafters can also consider for inclusion in their任何枪支及其零部件或弹药。
national legislation.评注
Licensing  [authorization]  of  import,  export  and  transit of firearms,  their强制性条款
parts and  components  and ammunition法律出处:《枪支议定书》,第10条第1款。
Article 25. Prohibition of import, export and transit of firearms, their第 10条第 1款包含就枪支及其零部件或弹药交易或涉及其进口、出口或过境的转让制定 管制措施的基本要求。它要求各国建立或保持有效的进出口许可或授权制度。
parts and components and ammunition without a licence [authorization]如果进出口管制制度已经建立,则可能需要对立法进行修改,以列入关于枪支及其 零部件和弹药进口商和出口商须办理许可证的说明,包括本国立法尚未涵盖的《枪支
1. No person may import into or export from [name of State] any firearms and/or their parts and components and/or ammunition without [the prior议定书》任何具体要求。本议定书并未明确要求对过境活动适用许可制度。但是,必须 采取枪支及其零部件国际过境“措施”,并根据本议定书第 10条第 2款 (b)项之规定向 过境国发出书面通知。各国可以自行酌定,选择适当的进出口许可制度和国际过境措施。 如果一个国家选择对过境活动适用许可制度,可以《示范法》第25条第2款为依据。 “进口”和“出口”的构成要件应与现行国内法和国际标准大致保持一致。
receipt in writing of an import or export licence] [the prior written authorization] issued in accordance with this Law by [name of licensing authority].Part Two. Mandatory provisions 39《枪支议定书》第10条第1和2款预先作出了建立许可当局的规定。虽然《枪支议定书》 中未提出明确要求,但是为了促使各国落实关于建立或保持有效进出口许可或授权制度 的要求(第 10条,第 1款)以及第 10条之下的其他强制性要求,有必要采取立法措施 (尚未存在立法措施的国家),确保拥有必要权限的官员考虑并发放或拒发进口、出口和
2. No person may carry in transit through [name of State] any firearms, their parts and components or ammunition without an in-transit过境许可证。这一点可通过设立新的部门来实现,也可以为此修改立法,扩大现有官员的
[licence] [authorization] issued in accordance with this Law by [name of职责范围(见《立法指南》,第100段)。
licensing authority].第26 条 . 核实或确认后的文件
Commentary在发放进口、出口或过境许可证[授权]之前,[许可当局名称] 可要求申请人提供其所提交文件材料的正本或公证副本,用以 支持其申请。40 打击非法制造和贩运枪支及其零部件和弹药示范法 评注 强制性条款 法律出处:《枪支议定书》,第10条第5款。 本议定书要求各国在力所能及的范围内采取必要措施,以确保发放许可或授权程序的 可靠性,并确保可以核查或验证许可或授权文件的真伪。但本议定书并未对这些措施作 具体说明。建议将这一条款作为各国履行该项强制性义务的一个选项。 第27条 . 申请出口许可证[授权] 1. 申请人应采用规定的形式和方式向 [ 许可当局名称 ] 申请枪支和(或)其零部件和(或)弹药的出口许可[ 授权]。 2. 如果没有以下材料,不得发放出口许可: (a) 一份进口许可或 [ 授权 ] 的副本。进口许可或 [ 授权 ]
Mandatory provision必须说明发证国、发证日期和到期日期、授权机构的身份、
Source: Protocol, article 10, paragraph 1.最终收货人以及对枪支和(或)零部件和(或)弹药的说明 及其数量;或一份证明已经或将要申请进口许可或 [授权] 的证明
Article 10, paragraph 1, contains the basic requirement to establish measures文件;和
that control transactions or transfers that involve import, export or transit. It(b) 过境[ 授权 ] 的副本(如果适用)。
requires States to establish or maintain an effective system of export and import评注
licensing or authorization.强制性条款
Where import and export control regimes already exist, legislation may need法律出处:《枪支议定书》,第 10条第2款(a)和(b)项,第10条第3款。 本议定书要求为出口枪支及其零部件和弹药发放许可[授权]。在发放出口许可[授权]之前,
to be revised to include the need for a licence to importers and exporters of进口国必须已经发放进口许可或授权,并在装货之前已经向所有过境国发出书面通知,且
firearms, their parts and components and ammunition and to any specific过境国也不反对过境。
requirements of the Protocol that are not already covered.上述条款设立了一种互惠制度,要求各国在允许装运枪支之前彼此提供授权,以便离开、 到达或过境其领土,提高执法部门追踪货物合法流动的能力,防止货物被盗窃和转用。执行第二部分 .
The Protocol does强制性条款 41
not specifically require that transit activity be licensed. However, “measures”国可自行确定是由国家还是由出口商负责从进口商和过境国那里获取必要的授权,或者如果 是前二者的结合,即由出口商从进口商那里获得授权(通过进口商)并由出口国与过境国
must be taken on international transit of firearms, their parts and components进行联系,以便证实其不反对这一交易(见《立法指南》,第102段)。在本示范法条款中,
and ammunition and that, in accordance with article 10, paragraph 2 (b), transit出口商负责获取必要的授权。 实际上,出口商在申请出口许可时可能无法提供过境授权。出口商也可能无法提供 进口许可或授权的副本,因为:(a)在申请时没有获得该副本,或者 (b)交易是与政府进行
States have given notice in writing that they have no objection to the transit. It的,政府本身不会对供自用的货物发放进口许可或授权。为了能够始终遵守《枪支议定书》 这项强制性条款,起草者不妨参考附件一(第 53条)中“有条件出口许可”条款建议
is at the discretion of States to choose the appropriate system of licensing for文本。 申请程序相当于在提供必要的交易信息方面履行基本义务。出口许可 [ 授权 ] 的发放 形式和方式以及出口许可 [ 授权 ] 申请表上要求提供的信息都可自行酌定。各国应决定其
import and export and measures for international transit. Model Law article 25,立法或法规框架所需的内容和细节程度。除了过境授权(如果适用)和进口许可或授权 文件副本之外,这些申请的内容都是非强制性的。附件一(第 51条)中的建议涉及详细
paragraph 2, is appropriate where a State chooses to license transit activities.规定了申请程序的立法或细则的内容。 第 28条 . 申请进口许可证 [ 授权] 申请人应按规定形式和方式向 [ 许可当局名称 ] 申请进口 枪支和(或)其零部件和(或)弹药的许可证 [ 授权 ]。
What constitutes “import” and “export” should generally be consistent with评注
existing national law and international standards.强制性条款
The Protocol presupposes the existence of a licensing authority by virtue法律出处:《枪支议定书》,第 10条第1至3款。 本议定书要求在发放相关出口授权之前发放进口枪支及其零部件和弹药的许可证 [ 授权 ]。
of article 10, paragraphs 1 and 2. Though not an explicit requirement in the关于进口,本议定书第10条(除了一般性提到设立有效的进口、出口和过境制度(第1款) 之外)还规定,各国在发放出口许可证或授权时必须核实已经发放进口授权(第2款)。但是,
Protocol, in order for States to fulfil the requirement to establish or maintain an effective system of export and import licensing or authorization (article 10, paragraph 1) and the other mandatory requirements under article 10, legislative对发放的形式和方式以及进口许可证或授权申请表上要求提供的信息未作具体说明。各国
measures (where they do not already exist) will be necessary to ensure that可自行决定其立法或法规框架所需的内容和细节程度。附件一(第52条)中的建议涉及 详细规定了申请程序的立法或随附细则的内容。42 打击非法制造和贩运枪支及其零部件和弹药示范法
officials have the necessary authority to consider and issue or refuse import,第 29条. 进口和出口许可证 [ 授权 ] 的细节 1. 由 [ 许可当局名称 ] 发放的任何进口或出口许可证以及
export and transit licences. This may be done by creating new offices or by附随证明文件应至少包括:
amending legislation to expand the role of existing officials (see the Legislative(a) 发放许可证[ 授权] 的地点和日期;
Guide, paragraph 100).(b) 该许可证[ 授权] 的到期日期;
Article 26. Verified or validated documents(c) 进口国和出口国; (d) 最终收货人或最终用户的名称和实际地址;
Before it issues an import, export or transit licence [authorization],(e) 对依据该许可证转让的枪支及其零部件和弹药的说明 及其数量,包括 [ 根据预期或视情况需要插入以下内容:序号、
[name of licensing authority] may require the applicant to provide original枪管长度、总长、操作方式、子弹发数、口径、速度和威力、
or certified copies of the documentation submitted in support of their子弹类型、物品价值] ;
application.40 Model Law on Firearms, Their Parts and Components and Ammunition(f) 过境国,如果适用。
Commentary2. [ 许可当局名称 ] 应在发货之前向所有过境国通报进口
Mandatory provision许可证中所包含的信息。
Source: Protocol, article 10, paragraph 5.评注
The Protocol requires States to take measures, within available means, to强制性条款 法律出处:《枪支议定书》,第10条第3款。 这是本议定书要求提供的最基本的强制性信息,这些信息必须同时出现在许可证和随附
ensure that licensing or authorization procedures are secure and that the证明文件之中。另外,如果一个国家选择根据本议定书第 15条第 1款 (c)项之规定为 那些从事中介活动者建立中介活动管理制度,则该国可要求在进口和出口许可证或授权或
authenticity of licensing or authorization documents can be verified. The measures are not specified. This provision is suggested as one option for States to随附文件中披露交易所涉中介的名称和地址。
meet this mandatory obligation.除了《枪支议定书》中要求的最低限度的信息之外,各国也可选择要求在许可证上 提供补充信息。根据这些建议条款,缔约国可自行决定即将载于进口 / 出口许可证或授权 之中的细节程度,本议定书并未就此提出要求。各国可能需要的补充信息的例子包括: 请人和参与交易的其他有关各方的名称和实际地址以及其注册[授权]细节; 对许可证规定的任何条件; 输路线的细节,包括过境国、转运国以及入境或出境港口(如果适用并可采用)。第二部分 . 强制性条款 43 第 30 条 . 交货核查 [ 许可当局名称 ] 可请求 [ 出口商 ][ 进口国 ] 提供由进口国 出具的确认函,以确认进口国收到已经发出的枪支及其零部件和 (或)弹药。 评注 强制性条款 法律出处:《枪支议定书》,第10条第4款。 本议定书为出口国设立了一项特权,以请求进口国对已经发出的枪支及其零部件或弹药 予以交货核查。作为标准做法,各国可选择要求提供交货核查证明,或者保留核实特殊 出口货物的权利,在此情况下,这可以被列为特殊出口许可证的一项许可条件。此项义务 一般由出口商履行,因为出口机构必须提供被发货物的交付证据,不过,也可以请求进口 国提供交付证据。各国可以要求出示原始单证,或者出示原始单证的副本。对于补充这项 条款的进一步文本,起草者可以参考附件一(第62条)。44 打击非法制造和贩运枪支及其零部件和弹药示范法 B 节 . 刑罚和临时条款 评注 强制性犯罪 《枪支议定书》第 5条确定了一系列与非法制造和贩运枪支及其零部件和弹药以及篡改 枪支标识有关的强制性犯罪。该议定书要求将三类中心犯罪列为刑事犯罪: (a) 非法制造: (i) 在没有标识的情况下从事任何制造或装配枪支之行为; ii) 利用非法(贩运的)零部件从事任何制造或装配枪支之行为;和 iii) 在没有合法许可或授权的情况下从事任何制造或装配之行为; (b) 非法贩运: (i) 在没有合法授权的情况下从事任何跨国转移之行为;和 (ii) 在枪支没有标识的情况下从事任何跨国转移之行为; (c) 拆除或更改其他标识的序号。 《枪支议定书》第 5条第 1款 (c)项还确定了另一类犯罪,该条款将一系列致使枪支 标识无法辨认或不准确,以及阻碍以独特方式识别枪支或根据以往原始标识记录追查枪支 的活动定为刑事犯罪。起草者应根据其国内刑法传统起草这些条款,确保每一种犯罪的内 容都是完整的,并确保条款用语由国内法院和其他主管当局依照本议定书规定进行解释。 关于任择枪支相关犯罪,附件一(第64-72条)载有可供各国考虑纳入本国立法的建议。 将“具有跨国性质”和“有组织的犯罪集团”列入国内犯罪范畴 《枪支议定书》第 1条规定,本议定书应连同《联合国打击跨国有组织犯罪公约》一并 予以解释。本议定书第 4条的适用范围仅限于预防、侦查和起诉带有跨国性质且涉及有 组织犯罪集团的犯罪,另有明确规定的除外。第二部分 . 强制性条款 45 但是,正如《立法指南》所解释的,国内立法者不应将跨国要件和有组织犯罪集团的 参与列入《枪支议定书》第 5条所包含的特定强制性犯罪之定义。虽然《联合国打击跨国 有组织犯罪公约》和本议定书要求国内立法者确定某种程度的跨国性,但是,这并不意味着 对国内枪支法适用的要求仅此一项,而且不应强行规定国内检察部门在给枪支法所涉任何 犯罪行为定罪时必须取得犯罪行为具有跨国性质的证据,或是有组织犯罪集团参与了 犯罪活动的证据(更多细节见《立法指南》,第 21段)。应适用本议定书所确定的犯罪, 不论犯罪行为是由某一个人实施的,还是由与有组织犯罪集团相勾结的某些个人实施的, 也不论这种情形是否可以确定。 犯罪意图 《公约》和《枪支议定书》中的所有刑事定罪要求都规定,如果每一种犯罪行为都是 有意实施的,则必须将其定为刑事犯罪。但是,《公约》第 34条第 3款明确表示允许 各国采取比《公约》规定的措施“更严格或更严厉的”措施。鉴于犯罪程度的不同和 国家管辖区域对犯罪意图的定义有别,《示范法》责成起草者根据本国的法律制度和国家 惯例,来决定是否应列入并规定适用每项条款需确定的意图程度。起草者还应注意到, 意图要件只是指构成每一种刑事犯罪的行为或行动,不能作为宽恕罪责的一个条件, 特别是在有关个人可能不了解或不熟悉构成此种犯罪的法律的情况下(见《立法指南》, 第174(d)段)。 处罚 正如《立法指南》(第 173段)所指出的,《枪支议定书》每项犯罪条款都必须作为刑事 犯罪条款列入刑法。这项原则只有在被告人属于法人时才适用。在此情况下,犯罪可能是 刑事犯罪,也可能是民事犯罪或行政犯罪。各国可根据其现行的国内处罚制度来确定适当 的处罚措施。但是,国内法中针对这些犯罪规定的处罚必须考虑到犯罪的严重程度,并应 按其严重程度量刑(《公约》,第11条第1款)。 虽然《公约》适用于上述犯罪,但各国起草者可根据国内法对包括“严重”犯罪在内 的各种罪行斟酌进行处罚,处罚上限须为剥夺自由四年以上。这是一项一般要求,适用于 自然人和法人实体。另外,国内立法中的加重或减轻情节一般制度也适用于本示范法所 确定的各种犯罪。鉴于各国管辖区域处罚做法的范围,本示范法规定由各国根据本国现行 惯例来决定适当的处罚形式和处罚程度。46 打击非法制造和贩运枪支及其零部件和弹药示范法 法人的责任 《公约》第 10条第 4款规定了关于法律实体的补充条款,要求对“严重”犯罪负有责任 的法人必须给予有效的、与犯罪行为相称且具有劝诫性质的刑事或非刑事处罚(民事或 行政处罚),包括罚款。此种处罚可包括解散、取消参与公共采购的资格、公开处罚决定 或冻结资产等。 《公约》关于刑事犯罪和刑罚的条款 对《枪支议定书》的解读应结合其母公约进行。《公约》条款作相应的修改后适用于 《枪支议定书》(本议定书第 1条第 2和 3款),而且根据本议定书确定的各种犯罪应被 视为根据《公约》确定的犯罪。这意味着各国还必须将参与有组织犯罪团体(《公约》, 第 5条)、为犯罪所得洗钱(《公约》,第 6条)、腐败(《公约》,第 8条)以及妨碍司法 (《公约》,第 23条)等《公约》所涉犯罪定为刑事犯罪,并对此适用与枪支有关的犯罪。 这也需要各国在采取若干措施时考虑到《枪支议定书》中所确定的各种犯罪。《公约》 第 11条也列明了这些犯罪,并载有本议定书所涉各种犯罪被告人的释放条件、假释或 提前释放的一般条件,以及诉讼时效法规等(见《立法指南》,第 173段)。这些义务 构成了《公约》要求的一部分,但未明确要求纳入《枪支法》。 《公约》第 5条要求各国将参加有组织犯罪集团定为刑事犯罪(第 1款 (a)项), 并将组织、指导、协助、教唆、提供便利或建议实施涉及有组织犯罪团体的严重 犯罪定为刑事犯罪(第 1款 (b)项)。《公约》第 6条第 2款 (b)项还要求各国将 《公约》第 2条所界定的所有严重犯罪(应处以最高剥夺四年以上自由的罪行)以及 与对参加有组织犯罪团体罪(第 5条)、腐败(第 8条)及妨碍司法(第 23条)进行 刑事处罚有关的犯罪列为上游犯罪。这些条款可能与调查和起诉《枪支议定书》之下所 确定的涉及有组织犯罪团体的犯罪有关。本示范法并未针对这些犯罪的示范条款提出 建议。 司法互助 《公约》第 18条要求各国在针对《公约》和《枪支议定书》所确定的犯罪进行侦查、起诉 和审判程序中相互提供最大程度的司法协助。第 18条提供了一系列应由各国纳入其国内第二部分 . 强制性条款 47 立法和实践中的具体司法互助条款(见《执行联合国打击跨国有组织犯罪公约立法指南》, 1 第 450-499段)。 调查和起诉 《公约》载有与调查和起诉有关的事项,相关条款包括与联合调查(第 19条)、特殊侦查
Article 27. Application for an export licence [authorization]手段(第 20条)、执法合作(第 27条),以及在对《公约》所涉某一犯罪的侦查或起诉
1. The applicant shall apply for a licence [authorization] for an export过程中提供实质性配合的被告人的配合(第 26条第 2和 3款)。《公约》第 24条要求 各国在其力所能及的范围内采取适当措施,为刑事诉讼中就《公约》所涉罪行作证的证人(并
of firearms and/or their parts and components and/or ammunition in the酌情为其亲属及其他与其关系密切者)提供有效保护。 各国可能已制定了各种旨在为调查和起诉刑事犯罪提供便利的条款。在此情况下,
prescribed form and manner to [name of licensing authority].各国不妨参照本示范法对这些条款进行审查,以确保它们也涵盖非法制造和非法贩运枪支 及其零部件和弹药的罪行。但是,由于其中某些条款具有侵入性,因此有些国家从宪法上
2. No export licence shall be granted without:对这些措施的采用实行了限制。在其他某些管辖区域,只有在明确规定的犯罪被认为性质
(a) A copy of the import licence [authorization]. The licence [authorization] must state the country of issuance, date of issuance and expiration,特别严重,而且可以证明不属于普通调查程序和手段范畴的犯罪(例如,国际贩毒罪、
identification of the authorizing agency, the final recipient and a description资助恐怖主义、跨国有组织犯罪)时,方可采取上述措施。起草者在考虑采用和适用这些 措施时,应参照特殊的宪法和法律框架。
and the quantity of the firearms and/or their parts and components and/or1 合国出版物,出售品编号:E.05.V.2,第一部分。48 打击非法制造和贩运枪支及其零部件和弹药示范法 第八章. 刑事犯罪:非法制造
ammunition, or a copy of documentation demonstrating that an application评注 根据《枪支议定书》第 5条的要求,本章载列了与非法制造枪支及其零部件和弹药有关的 三种强制性刑事犯罪。它们分别是:
for an import licence [authorization] has or will be made; and(a) 在没有标识的情况下从事制造或组装枪支的任何行为; (b) 利用非法(贩运)零部件从事制造或组装枪支的任何行为;和 (c) 未经合法许可或授权从事制造或组装枪支的任何行为。 上述犯罪行为的目的在于确保:枪支所有零部件的制造和枪支组装成成品之前的出口 能逃脱《枪支议定书》有关一般进口、出口和追查要求的管制;使枪支制造在未经主管 当局授权的情况也不用秘密进行;在制造过程中打上足以应付追查的标识。 第 31 条 . 非法制造枪支 1. 凡制造或组装具有以下情形的枪支者 [ 视情况需要,具体 说明意图] : (a) 利用非法贩运的零部件的;或
(b) Copies of in-transit licences [authorizations] (as applicable).(b) 未得到根据本法第三章获得的许可或 [ 授权] 的;或
Commentary(c) 在制造枪支时未根据本法第 7 条对枪支进行标识的,
Mandatory provision均构成某种犯罪。
Source: Protocol, article 10, paragraphs 2 (a) and (b) and 3.2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后
The Protocol requires that licences or authorizations be issued for exports of被处以[......有期徒刑 ] 和(或)[....../ 以下罚款][......类罚款 ]。第二部分 . 强制性条款 49
firearms, their parts and components and ammunition. Before an export licence评注 强制性条款 法律出处:《枪支议定书》,第5条第1款(a)项。 本议定书第 3条 (d)项将“非法制造”定义为以下情况下枪支、枪支零部件或弹药的制造
or authorization is issued, the importing State must have issued import licences或组装: “(i) 利用非法贩运的零部件; “ ii) 没有制造地或组装地缔约国主管当局签发的执照或许可证;或 “(iii) 制造时没有在枪支上打上标识。”
or authorizations and any transit States must have given notice in writing, prior本条款草案包含三种不同类型的犯罪。第一种犯罪是确保枪支所有零部件的制造和 枪支组装成成品之前的出口能逃脱《枪支议定书》有关一般进口、出口和追查要求的管制。
to the shipment, that they have no objection to the transit.第二种犯罪是确保枪支制造在未经主管当局授权的情况下也不用秘密进行;第三种犯罪是 确保在制造过程中打上足以应付追查的标识(见《立法指南》,第181段)。
These provisions create a reciprocal system requiring States to provide第 32 条 . 非法制造零部件
authorizations to one another before permitting shipments of firearms to leave,1. 凡制造或组装具有以下情形的零部件者 [ 视情况需要,
arrive in or transit across their territory, enhancing the ability of law enforcement具体说明意图] :
to track the legal movement of shipments to prevent theft and diversion. It is left(a) 被非法贩运的;或
to implementing States to determine whether it will be the State or the exporter(b) 未得到根据本法第三章获得的许可或 [ 授权] 的;
who will be responsible for acquiring the required authorizations from the importer均构成某种犯罪。
and transit States or if it will be a combination of the two, that is, the exporter Part Two.2.
Mandatory provisions 41犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后
obtains the authorization from the importer (via the importer) and the exporting被处以[......有期徒刑] 和(或)[....../以下罚款][......类罚款]。
State contacts the transit country to confirm that it has no objection to the评注
transaction (see the Legislative Guide, paragraph 102). In this Model Law provision, the exporter is responsible for acquiring the required authorizations.强制性条款
In practice, it may be that, at the time of applying for an export licence,法律出处:《枪支议定书》,第 5条第1款(a)项。50 打击非法制造和贩运枪支及其零部件和弹药示范法 本议定书第 3条 (d)项中关于“非法制造”的定义只提到缺少枪支标识为非法制造的一个
the exporter is unable to provide the transit authorization. The exporter may要件,正如本示范法第四章(标识)所指出的,本议定书并未要求标识零部件。但是, 如果各国选择要求制造商在制造零部件时进行标识,则应将以下条款列为非法制造零部件
also not be able to supply a copy of the import licence or authorization because:犯罪的一个组成部分((c)项): (c) 在制造零部件时未根据本法 [ 附件一,第 23 条(制造 零部件时的标识)] 对零部件进行标识的。 第 33 条 . 非法制造弹药 1. 凡制造或组装具有以下情形的弹药者 [ 视情况需要, 具体说明意图] : (a) 利用非法贩运的零部件的;或 (b) 未得到根据本法第三章获得的许可或[ 授权] 的; 均构成某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以 [......有期徒刑 ] 和(或)[....../ 以下罚款 ][......类 罚款]。 评注 强制性条款 法律出处:《枪支议定书》,第 5条第1款(a)项。 第 5条第 1款 (a)项要求各国规定非法制造弹药为一种刑事犯罪。本议定书第 3条 (d) 项中关于“非法制造”的定义只提到缺少枪支标识为非法制造的一个要件,正如本示范 法第四章(标识)所指出的,本议定书并未要求标识弹药。但是,如果各国选择要求 制造商在制造弹药时进行标识,则应将以下条款列为非法制造弹药犯罪的一个组成部分 ((c)项): (c) 在制造弹药时未根据本法 [ 附件一,第 26 条(制造弹药 时的标识)] 对弹药进行标识的。第二部分 . 强制性条款 51 第九章. 刑事犯罪:非法贩运 评注 非法贩运是《枪支议定书》所确定的“主要”犯罪之一。本议定书第 3条 (e)项确定了 两种与非法贩运有关的特定强制性刑事犯罪:(a)在未经合法授权的情况下实施枪支及其 零部件和弹药的任何跨国转让行为;和 (b)在未根据本议定书第 8条之规定在枪支上打上 标识的情况下实施任何跨国转让之行为。 第 34 条. 在未经合法授权情况下的跨国转让 1. 凡未获得依据[本法名称]之规定签发的合法授权[许可 证 ],从 [ 国家名称 ] 领土或经过该国领土向他国进口、出口或以 其他方式获取、出售、交付、调动或转让任何枪支或其零部件或 弹药者[视情况需要,具体说明意图 ] 均构成某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以 [......有期徒刑] 和(或)[....../以下罚款][......类罚款 ]。 评注 强制性条款 法律出处:《枪支议定书》,第5条第1款(b)项。 本条款包含了本议定书第3条(e)项中关于“非法贩运”的定义。 第 35 条 . 未标识 / 标识不当枪支的跨国转让 1. 凡从[ 国家名称] 领土或经过该国领土向他国进口、出口 或以其他方式获取、出售、交付、调动或转让任何枪支者 [ 视52 打击非法制造和贩运枪支及其零部件和弹药示范法 情况需要,具体说明意图 ],在制造、进口或从政府库存转为民用 之时未根据本法第四章之规定进行标识的,均构成某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以 [......有期徒刑] 和(或)[....../ 以下罚款 ][......类罚款 ]。 评注 强制性条款 法律出处:《枪支议定书》,第3条(e)项。 本议定书第 3条 (e)项规定,非法贩运还包括进口、出口、获取、销售、交付、移动 或转让枪支而未经根据本议定书第 8条规定打上标识的。本议定书第 8条要求在三种 情况下进行标识:在制造时、在进口时以及在从政府库存转为民用时。第 8条只对枪支 的标识做出了规定,这一点体现在本条款的措辞中。其立法超出本议定书强制性要求的 范围并要求对零部件或弹药进行某种形式标识的国家,应确保相应地扩大本条款的适用 范围。第二部分 . 强制性条款 53 第十章. 刑事犯罪:标识 评注 本章所载述的两种强制性刑事犯罪与《枪支议定书》第 5条要求的枪支标识有关。这两种 犯罪分别为:
(a) it is not available at the time of application; or (b) the transaction is with a(a) 在制造、进口或从政府库存转为永久民用时伪造枪支标识;和
Government that would not itself issue an import licence or authorization if the(b) 擦掉、消除或改动枪支标识。
goods in question were for its own use. In order still to maintain compliance这些犯罪行为的目的在于使所有枪支上的标识始终显得真实可信,以利于逃避精确追查。
with this mandatory provision of the Protocol, drafters may consider the suggested text for a “conditional export licence” provision in annex I (article 53).第 36 条 . 虚假标识
An application process serves as the basic obligation to provide necessary1. 凡具有以下情形者 [ 视情况需要,具体说明意图 ] : (a) 在制造完整的枪支或虽然完整但未组装的枪支时使用
information about the transaction. The form and manner of issuance and the虚假标识进行标识的;
information required on an export licence or authorization application form is(b) 利用虚假标识对进口枪支进行标识的;或
discretionary. It is for the State to decide on the content and the degree of(c) 在根据本法第四章从政府库存转为永久民用时利用虚假
detail necessary for its legislative or regulatory framework. Other than the标识对枪支进行标识的; 构成某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以[......有期徒刑 ] 和(或)[....../以下罚款][......类罚款]。
in-transit authorization (where applicable) and a copy of the import licence or评注 强制性条款 法律出处:《枪支议定书》,第5条第1款(c)项。 本议定书要求各国按本议定书第 8条规定,将伪造枪支标识的行为(在制造、进口和从政
authorization document, the content of these application procedures are府库存转为永久民用时进行的标识)列为刑事犯罪。《枪支议定书》只要求各国将故意伪造 54 打击非法制造和贩运枪支及其零部件和弹药示范法
optional. Suggestions for the content of legislation or accompanying regulations标识行为(即,对枪支进行标识者有意在武器的来源或使用寿命方面提供带有欺骗性或 误导性的信息)列为一种刑事犯罪。对于不是有意伪造标识,而是因为疏忽错用虚假标识,
detailing the application procedure are included in annex I (article 51).或者在标识过程中出现非重大意外错误的,起草者不妨规定不同程度的处罚(即,不太 严厉或纯属行政意义上的处罚)。
Article 28. Application for an import licence [authorization]对于在从政府库存转为永久民用时伪造标识的,起草者应知道“民用”是一个 宽泛的类别,涉及不属于国家控制或拥有的所有集团和行为者,包括私人安保公司和体育
The applicant shall apply for a licence [authorization] for an import of俱乐部。 除上述情形(即在枪支制造、进口和从政府库存转为永久民用时伪造标识)之外, 《枪支议定书》并未要求各国将伪造标识之行为定为刑事犯罪。但是,各国可以考虑将
firearms and/or their parts and components and/or ammunition in the伪造本示范法第四章所要求的其他标识的行为定为刑事犯罪。 起草者应当注意到,在制造枪支时未能根据本示范法第 7条之规定对枪支进行标识的
prescribed form and manner to [name of licensing authority].行为(按本议定书第 3条 (d)项和第 5条第 1款 (a)项的要求)已在本示范法第 31条
Commentary第 1款 (c)项中被定为一项犯罪(作为非法制造的一部分),因此,没有必要将未能在
Mandatory provision制造时标识枪支定为一项单独犯罪。 《枪支议定书》并未要求各国将其他情形下(如在进口或从政府库存转为永久民用
Source: Protocol, article 10, paragraphs 1-3.时)未能标识枪支的行为定为刑事犯罪。但是,各国必须确保在对枪支进行除销毁以外
The Protocol requires that licences or authorizations be issued for imports of的其他处置(根据本议定书第 6条第 2款)以及在某些情况下实行枪支停用(依据 《枪支议定书》第 9条)时,对枪支进行标识。为了确保这些要求得以遵守和执行,各国
firearms, their parts and components and ammunition before the issuing of the应考虑将那些在对枪支进行除销毁以外的其他处置或实行枪支停用时未能进行适当标识 或根本没有进行武器标识的行为定为相关犯罪并给予处罚。各国若还需要验讫记号和
relevant export authorization. With regard to import, article 10 of the Protocol—国家机构依据本示范法第四章所取得的武器标识,则应规定不履行这些义务属于犯罪并 予以处罚。本议定书没有对上述情况下应确定的刑事犯罪和处罚做出要求,各国可酌情实施
beside the generic reference to the establishment of an effective system for行政处罚。 第37 条 . 清除和更改标识 凡擦掉、消除或更改本法第 7、8、9[ 以及 10 或 11] 条所 要求的枪支标识者 [ 视情况需要,具体说明意图 ] 均构成某种
import, export and transit (paragraph 1)—provides that those States which are犯罪。第二部分 . 强制性条款 55 评注 强制性条款 法律出处:《枪支议定书》,第5条第1款(c)项。 从严格意义上讲,本议定书只要求缔约国将擦掉、消除或更改《枪支议定书》第8条要求
in the process of issuing the export licence or authorization must verify that的枪支标识(在制造时标识、在进口时标识以及在从政府库存转为永久民用时标识)的 行为定为刑事犯罪。括号中的文本反映了这种限制。如果起草者想要扩大本条款的适用
an import authorization has been issued (paragraph 2). However, the form and范围并将消除任何标识之行为定为刑事犯罪,则应当删除括号中的文本。 另外,起草者不妨允许在某些情况下消除或更改标识(与上述草案中所体现的绝对
manner of issuance and the information required on an import licence or禁止消除或更改相反)。《枪支议定书》默示预期,既然要求将“非法”擦除、消除或更改 枪支标识定为一种刑事犯罪(第 5条第 1款 (c)项),故或许存在可能允许擦除、消除或
authorization application form are not specified. It is at the discretion of the更改枪支标识的情形。但是,《枪支议定书》并未具体说明允许此种擦除、消除或更改的 情形,想要解决这方面问题的国家可自行制定合法更改标识的条款,但同时他们应记住
State to decide on the content and the degree of detail necessary for its legislative or regulatory framework. Suggestions for the content of legislation or需要确保枪支仍然能够被追查(见《立法指南》第223-226段)。 可能允许消除或更改标识的情形可包括如下几种:(a)公共代理人履行其职责的;或(b) 枪械工人或制造商等人员已从主管当局那里获得擦除、消除或更改枪支标识授权的。在此
accompanying regulations detailing the application procedure are provided in情况下,起草者应将获得擦除、消除或更改枪支标识的授权过程列入法律,并确保重新 进行标识的方法仍允许追查枪支。56 打击非法制造和贩运枪支及其零部件和弹药示范法
annex I (article 52).[ 第十一章 .
42 Model Law on Firearms, Their Parts and Components and Ammunition刑事犯罪:专门针对被停用枪支的犯罪
Article 29. Particulars of an export or import licence [authorization]评注
1. Any import or export licence issued by [name of licensing authority] and accompanying documentation shall, at a minimum, include:以下条款的适用取决于国家实施的停用标准是要求使枪支永久不可操作(与《枪支议定书》 第 9条 (a)项所规定的一般停用原则相一致),并因此无法重新启用或转变成枪支 [(并有 效销毁)];还是不要求使被停用枪支永久不可操作,并打算重新启用被停用枪支或将其
(a) Place and date of issuance of the licence [authorization];改变为功能性枪支。虽然后一种停用形式与本议定书所规定的一般停用原则不符,但是 应当承认,实际上,一些国家实施停用标准完全是为了重新启用枪支。正如在“制造”
(b) Expiry date of the licence [authorization];定义之后的评注(本示范法第 4条 (m)项草案)中所指出的,如果一个国家实施的停用 原则不要求使被停用枪支永久不可操作并打算重新启用被停用枪支,则“制造”一词应被 定义为包括“重新启用”,以使第三章中的条款适用于对枪支的任何重新启用,而且任何 擅自重新启用的行为将构成本示范法第 31条草案所定义的“非法制造”。 [第38条. 非法停用 1. 凡停用枪支者: [(a) 违反本法第20条之规定;] [(b) 未根据本法第 21 条之规定获得 [ 主管当局名称 ] 的事先 授权;] (c) 未根据本法第 23 条之规定获得停用证书; 则构成某种犯罪。 2. 犯有本条第 1 款之下某项罪行者应被处以 [......有期 徒刑] 和(或)[....../以下罚款][ 管理处罚]。]第二部分 . 强制性条款 57 评注 本条款的目的是确保停用行为有效,符合国家停用标准。《枪支议定书》未要求各国将停用 行为定为刑事犯罪;但它切实要求主管当局为核查停用措施作出安排,确保已致使枪支
(c) Country of import and country of export;永远无法操作(《枪支议定书》第9条(c)项)。为了鼓励在所有情况下对停用措施进行核查,
(d) Name and physical address of the final consignee or end-user;以使国家能够不断追踪被停用枪支的情况,应对未能确保主管当局对停用措施进行核查的 行为实施处罚。对于制造商及其他受权实施枪支停用的人员,倘若他们在停用枪支时未能
(e) Description and quantity of the firearms, their parts and components and ammunition to be transferred under licence, including [insert the致使被停用枪支永久不可操作,各国还可考虑确立对他们进行刑事处罚的罪行。58 打击非法制造和贩运枪支及其零部件和弹药示范法
following as desired or appropriate: serial numbers, barrel length, overall第十二章. 刑事条款:从属犯罪
length, action, number of shots, calibre, velocity and force, type of bullet,评注
value of the items];第5条第2款要求各国采取立法措施及其他措施,将企图实施、以从犯身份参与,以及组织、
(f) Where applicable, the countries of transit.指导、协助、教唆和便利《枪支议定书》中所确定的犯罪活动,或为这些犯罪活动出谋划
2. [Name of licensing authority] shall provide the information contained in an import licence to any transit States in advance of the shipment.策的行为定为刑事犯罪。
Commentary上述条款并非专门针对非法贩运或非法制造枪支及其零部件或弹药的行为,只有在
Mandatory provision国内刑法或适用于所有犯罪的法律一般条款未涵盖这些条款时才需要采纳。
Source: Protocol, article 10, paragraph 3.第 39 条 . 未遂犯罪 1. 凡企图实施本示范法第八、九、十[或十一]章之下某项
This is the minimum mandatory information required by the Protocol that must犯罪者均犯有某项罪行。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以 [......有期徒刑] 和(或)[....../以下罚款][......类罚款]。
appear together on a licence and the accompanying documentation. In addition,评注 强制性条款 法律出处:《枪支议定书》,第5条第2款(a)项。 根据本议定书第 5条第 2款 (a)项规定,各国有义务将未遂犯罪定为刑事犯罪,这项
where a State chooses to establish a system for regulating the activities of义务的履行须以法律制度的“基本概念”为准绳。正如本议定书解释性说明(A/55/383/ Add.3,第6段)中所指出的:
those who engage in brokering, pursuant to article 15, paragraph 1 (c), of the“在一些国家,对企图实施国内法中根据《枪支议定书》第 5条第 2款所确定的犯罪 行为之提法被理解为包括为准备犯下刑事犯罪而实施的行为和实施犯罪企图未获成功
Protocol, that State could require disclosure on import and export licences or的行为,在这些国家,根据其国内法这些行为也是有罪行为或应受处罚的行为。” 在有些法律体系中,未遂犯罪和既遂犯罪受到的处罚是相同的。而在其他法律体系中,
authorizations or accompanying documents of the names and locations of未遂犯罪受到的处罚要轻一些。只有尚未列入本条款的国内刑法典或法律才需将其列入。第二部分 . 强制性条款 59
brokers involved in the transaction.第40 条 . 以从犯身份参与犯罪 1. 凡以从犯身份参与实施本示范法第八、九、十 [ 或十一 ]
In addition to this minimum information as required by the Protocol, States章之下某项犯罪者均犯有某项罪行。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后 被处以[......有期徒刑 ] 和(或)[....../ 以下罚款][......类罚款 ]。
may also choose to require additional information on the licence. These are评注 强制性条款 法律出处:《枪支议定书》,第5条第2款(a)项。 根据第 5条第 2款 (a)项规定,以从犯身份参与非法制造和非法贩运枪支及其零部件和
suggested provisions where it is left to the discretion of the State party to弹药以及伪造或非法擦除、消除或更改本议定书第 8条所要求之标识的行为应定为刑事 犯罪。这项条款必须依据法律制度的“基本概念”来实施。只有尚未列入本条款的国内
decide the degree of detail to be contained in the import/export licence or刑法典或法律才需将其列入。 第 41条. 组织、指导、协助、教唆和 便利犯罪或为犯罪出谋划策 1. 凡组织、指导、协助、教唆和便利《示范法》第八、九、
authorization and are not required by the Protocol.十[ 或十一 ] 章所涉某项犯罪或为该项犯罪出谋划策者均属犯罪。 2.
Some examples of additional犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后
information a State might require are:被处以 [......有期徒刑] 和(或)[....../ 以下罚款 ][......类罚款 ]。
Name and physical address of the applicant and all other parties involved评注
in the transaction and details of their registration or authorization强制性条款
Any conditions imposed on the licence法律出处:《枪支议定书》,第5条第2款(b)项。
Details of the transport route, including countries of transit, trans-shipment只有尚未列入本条款的国内刑法典或法律才需将其列入。60 打击非法制造和贩运枪支及其零部件和弹药示范法 第十三章 . 扣押、没收和处置
and ports of entry or exit (where applicable and if available)Part Two. Mandatory provisions 43评注
Article 30. Delivery verification本章阐述了《枪支议定书》第6条关于没收、扣押和处置属于或被认为属于非法制造或非法
[Name of licensing authority] may request the [exporter] [importing贩运之枪支及其零部件和弹药的规定。 本议定书第 6条必须结合适用于扣押、没收和处置属于犯罪所得或用于或打算用于
State] to provide confirmation from the country of import of the receipt of犯罪之财产的《公约》第 12至 14条进行解读。这一般包括非法制造和(或)贩运枪支
the dispatched shipment of firearms, their parts and components and/or及其零部件和弹药。 如果非法制造或贩运的枪支及其零部件和弹药被视为“源自”上述犯罪的财产或是 “用于或打算用于”此类犯罪的财产,则应按《公约》第 12和 13条之规定加以管制,这 两项条款要求缔约国落实允许实施没收行动的法律,并确保在另一缔约国提出请求时由 主管当局实际实施没收行动(见《立法指南》,第136和137段)。 按照《枪支议定书》第 6条中提出的强制性要求,各国必须: (a) 确保其国内法律制度“允许没收”被非法制造或贩运的枪支及其零部件和弹药。 本议定书所涉物品具有危险性,可能需要采取另外一些快速安保防范措施,以确保在实施 扣押和没收程序之前、期间或之后这类物品不会落入坏人手中; (b) 扣押和销毁被非法制造或贩运的枪支及其零部件和弹药。物品具有危险性表明 需要一项销毁政策,而且还需要其他经正式授权后方可进行的处置形式; (c) 确保对被没收的枪支进行标识,并将枪支和弹药的处置方法记录在案。 各国应根据本国现行的行政管理制度履行此项义务,采取何种方式和形式来履行这项 义务由各国自行决定。很多国家都已制定详细的搜查、扣押和没收 / 充公条款(例如,可 在《警察法》、刑事诉讼立法或涉及没收问题的单独立法中列入的条款)。鉴于剥夺个人 财产的可能性,这些立法制度一般都十分详尽,并以国家法律制度的各项基本原则为准。 《公约》将“没收”定义为“在适用情况下包括充公”,承认不同法律制度对充公和没收采取 的不同做法。如果存在此种立法,起草者应确保其适用于“枪支及其零部件和弹药”,并可第二部分 . 强制性条款 61 适用于非法制造和非法贩运罪行。另外,还必须满足对标识和处置枪支及其零部件和弹药的 特殊要求。 附件四中列出了若干销毁方法,各国可考虑纳入其立法及相关的法规和政策。 A. 授权没收:搜查和扣押 评注 强制性条款 法律出处:《枪支议定书》,第6条第1款。 本议定书第 6条第 1款要求确立“允许”没收的权力,但未具体提及搜查和扣押问题。 第 6条第1款要求采取措施,允许在物品“被非法制造或贩运”时进行没收。但是,起草者 应考虑起草或确保现有立法为初次扣押此种物品设定一项较低的标准(例如,如果有合理 理由,允许在没有搜查令的情况下进行扣押),因为在很多情况下,这种标准作为一项 调查措施,可在非法制造或贩运行为被充分证实之前采用。扣押作为一项紧急措施也是 必不可少的,有助于防止武器被非法出口或在国内非法流通或使用。 根据《枪支议定书》的规定,行使没收权力时应结合以下要件,即怀疑或有其他理由 相信根据本议定书所确定的某项犯罪已经实施或即将实施,并且相信被没收的物品属于与 此项犯罪有关的证据,或者属于所涉犯罪标的物。如果出现程序性延误,就有可能产生 安全或安保风险,因此,有些国家采用了更快捷的程序,以便能够迅速扣押枪支,不过, 在行使此种权力时,一般都要以执行《公约》扣押和没收条款的国内立法为依据(见 《立法指南》,第 139段)。 B. 充公和没收 评注 强制性条款 法律出处:《枪支议定书》,第6条第1款。 国家对财产实施充公和没收的做法在大多数管辖区域的国内法中被普遍采用。但在适用 制度方面,不同的国家和不同的法律制度之间存在着很大的区别。按照本议定书的 62 打击非法制造和贩运枪支及其零部件和弹药示范法 规定,起草者应确保其有关充分和没收方面的现有法律制度允许没收枪支及其零部件和
ammunition.弹药。
Commentary Mandatory provision Source: Protocol, article 10, paragraph 4. The Protocol creates a prerogative on the part of the exporting State to request delivery verification of a dispatched shipment of firearms, their parts and components or ammunition from the importing State. A State could choose to require a delivery verification certificate as standard practice or reserve the right to verify deliveries on specific exports, in which case this could be specified as a licence condition on the particular export licence. Such an obligation would generally be undertaken by the exporter as the entity required to provide proof of delivery of the dispatched items, though the importing State could also be requested to produce proof of delivery. States may require production of original documentation or certified copies of original documentation. Drafters can consult annex I (article 62) for further text supplementing this provision. 44 Model Law on Firearms, Their Parts and Components and Ammunition Section B. Penal and provisional provisions Commentary Mandatory offences Article 5 of the Firearms Protocol establishes a series of mandatory offences relating to the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition and tampering with markings on firearms. The Protocol requires the criminalization of three groups of central offences: (a) Illicit manufacturing: (i) Any manufacturing or assembly of firearms without marking; (ii) Any manufacturing or assembly from illicit (trafficked) parts and components; and (iii) Any manufacturing or assembly without legal permit or authorization; (b) Illicit trafficking: (i) Any transnational transfer without legal authorization; and (ii) Any transnational transfer if firearms are not marked; (c) Removing or altering serial numbers of other markings. A further group of offences is established in article 5, paragraph 1 (c), of the Protocol, which criminalizes a list of activities that render the markings on a firearm unintelligible or inaccurate, making it impossible to uniquely identify the firearm or trace it against past records created using the original marking. Drafters should draft these provisions in accordance with their domestic criminal law tradition, ensuring that the content of each offence is complete and that the language used will be interpreted by domestic courts and other competent authorities in a manner consistent with the Protocol. Suggestions for optional firearms-related offences a State can also consider for inclusion in their national legislation are included in annex I (articles 64-72). Non­inclusion of “transnationality” and “organized criminal group” in domestic offences Article 1 of the Firearms Protocol states that the Protocol should be interpreted together with the United Nations Convention against Transnational Organized Crime. Article 4 of the Protocol limits its applicability to the prevention, investigation and prosecution of offences that are transnational in nature and involve an organized criminal group, except as otherwise stated.Part Two. Mandatory provisions 45 However, as the Legislative Guide explains, national legislators should not incorporate the transnational element and the involvement of an organized criminal group in the definition of the specific mandatory offences included in article 5 of the Protocol. Although the Convention and the Protocol require national legislators to establish some degree of transnationality, this does not mean that national laws on firearms should be limited to that requirement, and national prosecutors must not be obliged to obtain evidence of transnationality or of the involvement of an organized criminal group in order to obtain conviction for any of the offences contained in the law (for further details, see the Legislative Guide, paragraph 21). Offences established in accordance with the Protocol should apply regardless of whether the offence was committed by an individual or was committed by individuals associated with an organized criminal group, and regardless of whether this can be established. Mens rea All of the criminalization requirements of the Convention and the Protocol require that the conduct of each offence must be criminalized if committed intentionally. However, article 34, paragraph 3, of the Convention expressly allows States to adopt “more strict or severe” measures than those provided for by the Convention. Given the varying degrees and definitions of mens rea in national jurisdictions, this Model Law has left it open for drafters to decide whether to include and specify the level of intent required for each article in accordance with their legal system and national practice. Drafters should also note that the element of intention refers only to the conduct or action that constitutes each criminal offence and should not be taken as a requirement to excuse cases in particular where persons may have been ignorant or unaware of the law that constituted the offence (see the Legislative Guide, paragraph 174 (d)). Sanctions As noted in the Legislative Guide (paragraph 173), each of the offence provisions in the Protocol must be established as offences in criminal law. This principle applies unless the accused is a legal person, in which case the offence may be a criminal, civil or administrative offence. It is up to States to determine the appropriate sanction depending on their existing national sanctions regime. However, sanctions adopted in domestic law for the offences must take into account and should be proportionate to the gravity of the offences (Convention, article 11, paragraph 1). Penalties for offences, including “serious” crimes under domestic law, are left to the discretion of national drafters, though, to have the Convention applied to such offences, the sanction must be for a maximum penalty of at least four years’ deprivation of liberty. This requirement is general and applies to both natural persons and legal entities. Further, the general system of aggravating or mitigating circumstances existing within a State’s national legislation would be applicable to the offences provided for under the Model Law. Given the range of sanctioning practices within national jurisdictions, the Model Law leaves it to the discretion of the State to decide the appropriate form and level of sanction, in line with existing national practice.46 Model Law on Firearms, Their Parts and Components and Ammunition Liability of legal persons Article 10, paragraph 4, of the Convention sets out additional provisions regarding legal entities, requiring that legal persons held liable for “serious” crimes be subject to effective, proportionate and dissuasive criminal or non-criminal sanctions (civil or administrative), including monetary sanctions. Such sanctions could include, for example, dissolution, disqualification from participation in public procurement, publicizing the decision or freezing of assets. Convention criminal offences and penal provisions The Protocol must be read in conjunction with its parent Convention. The provisions of the Convention apply, mutatis mutandis, to the Protocol (Protocol, article 1, paragraphs 2 and 3) and offences established pursuant to the Protocol are to be considered offences established under the Convention. This means that States must also criminalize the Convention offences of participation in an organized criminal group (Convention, article 5), laundering of proceeds of crime (Convention, article 6), corruption (Convention, article 8) and obstruction of justice (Convention, article 23) and apply them to firearms-related offences. This also requires States to take a number of measures into consideration with respect to the offences established by the Protocol. These are set out in article 11 of the Convention and include, for example, conditions for release for people accused of Protocol offences, general conditions for parole or early release, and statute of limitations (see the Legislative Guide, paragraph 173). These obligations form part of the requirements of the Convention and as such are not specifically mentioned for inclusion in a firearms law. Article 5 of the Convention requires a State to criminalize participation in an organized criminal group (paragraph 1 (a)) and to criminalize organizing, directing, aiding, abetting, facilitating or counselling the commission of a serious crime involving an organized criminal group (paragraph 1 (b)). Article 6, paragraph 2 (b), of the Convention also requires a State to include as predicate offences all serious crimes as defined in article 2 of the Convention (an offence punishable by a maximum deprivation of liberty of at least four years) and the offences relating to criminalization of participation in an organized criminal group (article 5), corruption (article 8) and obstruction of justice (article 23). These provisions can be of relevance to the investigation and prosecution of offences established under the Protocol where the offence involves an organized criminal group. The present Model Law does not propose model provisions for these. Mutual legal assistance Article 18 of the Convention requires States to afford each other the greatest possible assistance in investigations, prosecutions and judicial proceedings for Convention and Protocol offences. Article 18 provides a detailed set of provisions on mutual legal assistance that States should incorporate in their domestic legislation and practice (see the Legislative Guide for the Implementation Part Two. Mandatory provisions 47 of the United Nations Convention against Transnational Organized Crime, 1 paragraphs 450-499). Investigation and prosecution Matters related to investigation and prosecution are contained in the Convention and relevant provisions include, for example, those related to joint investigations (article 19), special investigative techniques (article 20), the cooperation of an accused person who provides substantial cooperation in the investigation and prosecution of an offence covered by the Convention (article 26, paragraphs 2 and 3), and law enforcement cooperation (article 27). Article 24 of the Convention requires a State to take “appropriate” measures within its means to provide effective protection from potential retaliation or intimidation for witnesses (and where appropriate relatives and other persons close to them) in criminal proceedings who give testimony concerning offences covered by the Convention. States may already have a broad range of provisions aimed at facilitating the investigation and prosecution of criminal offences. In such cases, States虽然《枪支议定书》未对此做出要求,但国内立法也可考虑制定具体的标准,以确保
may want to review them in the light of the present Model Law, so as to ensure对被没收和充公的枪支及其零部件和弹药实施安全保管。此种标准将有助于确保不会以
that they also cover the offences of illicit manufacturing of and trafficking in危险的方式保管物品。
firearms, their parts and components and ammunition.C.
However, given the销毁或其他授权处置形式
intrusive nature of some of those provisions, some States have constitutional评注
constraints in introducing these measures. In some other jurisdictions, these强制性条款
measures are only permitted with regard to clearly specified crimes considered法律出处:《枪支议定书》,第6条第2款。
to be of particularly serious nature and justifying an exception to the ordinary正如《立法指南》(第134段)中所指出的,虽然《公约》的基本政策是被没收财产应当出售,
investigations, procedures and techniques (for example, international drug trafficking offences, financing of terrorism and transnational organized crime).收益归没收缔约国所有或由其或与其他缔约国分享,或是将收益用于支付赔偿或归还犯罪
Drafters should take into account the particular constitutional and legal framework when considering the use and application of such measures.受害人(第14条)。《枪支议定书》所涉物品具有危险性这一点表明需要有一种销毁政策,
1而其他处置形式只有在采取补充防范措施之后方可实施。
United Nations publication, Sales No. E.05.V.2, part one.48 Model Law on Firearms, Their Parts and Components and Ammunition因此,如果枪支及其零部件和弹药被扣押且随后被国家充公,则《枪支议定书》第6条
Chapter VIII. Criminal offences: illicit manufacturing第 2款要求销毁被充公的物品,“除非其他处置方式已获官方授权,但条件是枪支已作标识,
Commentary并且这些枪支和弹药的处置方法已记录在案。”第 6条第 2款中提出的一项假设有助于
This chapter contains the three mandatory criminal offences related to illicit销毁已被国家扣押的枪支及其零部件和弹药。不过,在销毁枪支及其零部件和弹药时采用
manufacturing of firearms, their parts and components and ammunition as何种方法则由国家自行确定。附件四中列出了若干销毁方法,各国可考虑纳入其立法及
required by article 5 of the Protocol. Those offences are:相关的法规和政策。
(a) Any manufacturing or assembly of firearms without marking;国家也可采取一些其他法律措施,执行销毁枪支的一般规则。正如《立法指南》
(b) Any manufacturing or assembly from illicit (trafficked) parts and components; and(第143段)所指出的,这可能包括:
(c) Any manufacturing or assembly without legal permit or authorization.“(a) 确立能够授权以销毁以外的其他方式进行处置的权力,并对决策者可能赋予
The purposes of the offences are to ensure that the basic import, export此种授权的情况加以适当限制。在这方面,立法还可载列一些实例,表明从科学、历史或
and tracing requirements of the Protocol are not circumvented by manufacturing法医学角度采取的授权处置方式;
all of the parts and components of a firearm and carrying out exports before“(b) 授权或拒绝授权以销毁以外的其他方式进行处置的立法或行政标准。这必须
assembly into the finished product; that manufacturing of firearms will not take包括《枪支议定书》第6条第 2款所列明的两项要求:枪支必须已经标识且已将如何处置
place covertly, without the authorization of a competent authority;的方法记录在案。也可根据国内政策评估确定其他标准。”第二部分 .
and that the强制性条款 63
manufacturing process includes markings sufficient for tracing.在制定其立法及相关规章和政策时,起草者必须列入以下条款:
Article 31. Illicit manufacturing of firearms[ 主管当局名称 ] 依据本法 [ 或其他相关立法 ] 没收或充公的
1. Every person who [specify level of intent, as appropriate] manufactures or assembles firearms:所有枪支和弹药应:
(a) Using parts and components that have been illicitly trafficked; or(a) 根据 [ 所选择的销毁方法] 予以销毁;或
(b) Without a licence [authorization] obtained in accordance with(b) 根据 [ 主管当局名称] 的明确授权以其他方式予以处置。
chapter III of this Law; or如果以其他方式处置枪支,则须为仍然保留且未销毁的被
(c) Without marking the firearms at the time of manufacture, in扣押枪支确定标识标准(见《示范法》第 10 条),并保留以销毁 以外的其他方式处置枪支的书面信息记录(见本示范法第 15 条)。
accordance with article 7 of this Law;如果以销毁以外的其他方式处置弹药,则须保留以销毁以外
commits an offence.的其他方式处置弹药的书面信息记录(见本示范法第16条)。64 打击非法制造和贩运枪支及其零部件和弹药示范法
2.第十四章.
A person guilty of an offence under paragraph 1 of this article管辖权
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/评注 《公约》要求各国确立对《公约》及其《议定书》所涉各种犯罪进行调查、起诉和处罚的管辖 权。《公约》第 15条要求确立在以下三种情况下的管辖权:(a)对领土管辖区域内实施
up to ...] [a fine of the ... category]. Part Two. Mandatory provisions 49的所有犯罪;(b)对在本国注册的船只或飞行器上实施的所有犯罪;以及 (c)国内立法禁止
Commentary引渡其本国国民的,则必须确立对其本国国民在世界任何地方所犯罪行的管辖权。第三种
Mandatory provision情况使当事国得以履行《公约》规定的义务,对那些因国籍问题而无法要求予以引渡的罪犯
Source: Protocol, article 5, paragraph 1 (a).进行起诉。鉴于不同的法律制度会采取各种不同的方式确立管辖权,《公约》要求每个缔约
Article 3, subparagraph (d), of the Protocol defines “illicit manufacturing” as国采取“可能必要的措施”。《公约》第 15条还载有关于进一步扩大管辖权的任择条款。
the manufacturing or assembly of firearms, their parts and components or第 42 条 . 本法的适用
ammunition:在具有以下情形时,本法应适用于依据本法确定的任何犯罪:
“(i) From parts and components illicitly trafficked;(a) [ 全部或部分] 在[ 国家名称 ] 领土范围内实施的犯罪; (b) [ 全部或部分 ] 在依据犯罪实施时 [ 国家名称 ] 法律注册
“ (ii) Without a licence or authorization from a competent authority of the的船只或飞行器上实施的犯罪;
State Party where the manufacture or assembly takes place; or(c) [全部或部分]由因为国籍原因被拒绝引渡的[国家名称]
“(iii) Without marking the firearms at the time of manufacture.”国民实施的犯罪。
This draft article contains three different offences. The first is to ensure that评注
the basic import, export and tracing requirements of the Protocol are not circumvented by manufacturing all of the parts and components of a firearm and强制性条款
carrying out exports before assembly into the finished product; the second法律出处:《公约》,第15条第1款(a)和(b)项以及第3款。 所有国家都存在领土管辖权以及对在本国注册的船只和飞行器的管辖权。在习惯法国家,
offence ensures that manufacturing of firearms will not take place covertly, without这甚至可能成为管辖权的唯一依据。标准是实施犯罪行为的所在地(例如,行为地是在 当事国的领土范围内)。第二部分 . 强制性条款 65
the authorization of a competent authority; and the third offence aims to ensure(c)项加强了第15条第 3款的效果,该条款要求各国对犯罪嫌疑人出现在其“领土” 之内且当事国出于犯罪嫌疑人为其本国国民之原因未对其实施引渡的情形确立管辖权。
that the manufacturing process includes markings sufficient for tracing (see the在此情况下,各国还有义务依据《公约》第16条第10款之规定立即将案件提交其主管当局, 以便进行起诉,不得有任何不当拖延。
Legislative Guide for the Implementation of the Protocol, paragraph 181).打算扩大任择形式管辖权的国家不妨在第 42条中增加以下条款: “(d) 因任何原因被拒绝引渡的 [ 国家名称 ] 国民实施的
Article 32. Illicit manufacturing of parts and components犯罪。” 本项属于任择条款,它加强了《公约》第 15条第 4款的有效性,并规定各国可对
1. Every person who [specify level of intent, as appropriate] manufactures or assembles parts and components:犯罪嫌疑人出现在其领土之内且出于任何原因未对犯罪嫌疑人实施引渡的犯罪情形确立 管辖权。注意到如果采用 (d)项,则没有必要纳入 (c)项,因为 (d)项涵盖因任何原因 (包括国籍)拒绝引渡的各种情形。 除了有关管辖权的强制性条款之外,《公约》(第 15条)还鼓励确立对其他情形的 管辖权,例如,某个国家的国民成为受害人、系由居住在其境内的国民或无国籍者实施的 犯罪或者与计划在其境内实施的严重犯罪或洗钱存在关联的犯罪(第 15条第 2款)等 各种情形。《公约》表明管辖权的依据并不是穷尽无遗的。第 15条第 6款规定,在不 影响一般国际法准则的情况下,本公约不排除缔约国行使其依据本国法律确立的任何刑事 管辖权。 对一国公民在另一国境内实施的各种犯罪行为的管辖权延伸(主动属人管辖权原则) 大多涉及到特别严重的特殊犯罪。在某些管辖区域内,主动属人管辖权原则只适用于不仅 属于实施犯罪行为者本国法律意义上的犯罪行为,而且也属于实施犯罪行为所在国法律 意义上的犯罪行为。 打算采用这些条款的国家不妨在《示范法》中纳入一项关于适用境外法的补充条款, 其内容如下: 在具有以下情形时,本法还应适用于依据本法确定的任何 犯罪:
(a) That have been illicitly trafficked; or(a) 当事人为 [ 国家名称 ] 国民 [ 或永久居民 ][ 或惯常 居民] 的;
(b) Without a licence [authorization] obtained in accordance with(b) 犯罪行为是由 [ 国家名称 ] 国民 [ 或惯常居民 ][ 或永久
chapter III of this Law;居民] 实施的;66 打击非法制造和贩运枪支及其零部件和弹药示范法
commits an offence.(c) 犯罪行为是由在实施犯罪行为时在[国家名称]拥有惯常
2. A person guilty of an offence under paragraph 1 of this article居所的无国籍人员实施的; (d) 犯罪行为是由某个有组织犯罪团体 [ 洗钱 ] 中某个 [ 国家名称 ] 的国民在另一国境内实施的,且其目的是在 [ 国家
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/名称 ]境内实施严重犯罪的;或 (e) 犯罪行为是在境外实施的,但犯罪后果是直接针对或 打算在 [国家名称] 境内实施严重犯罪的。 第 43 条. 引渡
up to ...] [a fine of the ... category].依据本法确定的各种犯罪应属于可以引渡的犯罪。
Commentary评注
Mandatory provision根据《公约》条款规定,缔约国有义务将《枪支议定书》所确定的各种犯罪视为其条约和
Source: Protocol, article 5, paragraph 1 (a).50 Model Law on Firearms, Their Parts and Components and Ammunition法律之下可以引渡的犯罪,并在罪犯因国籍原因而被拒绝引渡时,将其送交主管当局在
The definition of “illicit manufacturing” in article 3, subparagraph (d), of the国内予以起诉(《公约》第 16条)(另见《执行联合国打击跨国有组织犯罪公约立法指南》
Protocol only makes reference to the absence of marking of firearms as an第394-449段)。
element of illicit manufacturing and, as noted in chapter IV (Marking) of this《公约》针对它所涉及的各种犯罪确定了一项基本的最低标准,同时还鼓励各国
Model Law, the Protocol does not require the marking of parts and components.适用各种引渡程序简化机制。各国应根据《公约》各项条款审查其有关引渡方面的国内
However, if a State chooses to require manufacturers to mark parts and components at the time of manufacture, the following should be included as a立法,并确保将《枪支议定书》强制性条款所涉及的一切犯罪均作为可以引渡的犯罪
component (subparagraph (c)) of the crime of illicit manufacturing of parts and列入其国内法。如果没有任何引渡条约或立法条款,则引渡应根据《公约》中规定的程序
components:进行。第二部分 . 强制性条款 67
(c) Without marking the parts and components at the time of manufacture, in accordance with [annex I, article 23 (Marking of parts andC 节. 国际合作
components at the time of manufacture)] of this Law.评注
Article 33. Illicit manufacturing of ammunition本章讨论《枪支议定书》第12和13条。由于很多国际合作活动不会在立法中予以明确规定,
1. Every person who [specify level of intent, as appropriate] manufactures or assembles ammunition:故应由各国根据其特有的法律制度来确定执行这些强制性要求的最佳方式,并决定是通过
(a) Using parts and components that have been illicitly trafficked; or立法、政策指南还是通过其他方法来执行。
(b) Without a licence [authorization] obtained in accordance with第十五章 . 信息交流和国际合作
chapter III of this Law;A. 国家联络点
commits an offence.第44 条 . 国家联络点的设立
2. A person guilty of an offence under paragraph 1 of this article依据本法之规定,设立一个国家联络点,使其在与《打击
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/非法制造和贩运枪支及其零部件和弹药的补充议定书》有关的
up to ...] [a fine of the ... category].问题上发挥与其他国家进行联络的作用。
Commentary评注
Mandatory provision强制性条款
Source: Protocol, article 5, paragraph 1 (a).法律出处:《枪支议定书》,第13条第2款。
Article 5, paragraph 1 (a), requires States to establish illicit manufacturing of本议定书要求各国指定一个国家机构或一个联络点,使其在与本议定书有关的问题上发挥
ammunition as a criminal offence. The definition of “illicit manufacturing” in与其他国家进行联络的作用。各国还可选择指定若干机构作为国家联络点(应当指出的是,
article 3, subparagraph (d), of the Protocol only makes reference to the absence多数缔约国已通知联合国毒品和犯罪问题办公室,称其国家联络点是对内政和司法部长
of marking of firearms as an element of illicit manufacturing and, as noted in负责的主管当局)。无论各国做出何种决定,都应说明国家联络点是谁,以使其他国家
chapter IV (Marking) of this Model Law, the Protocol does not require the知道与谁联系和如何与其联系。虽然立法应对上述联络形式和方式做出规定以便其他缔约
marking of ammunition. However, if a State chooses to require manufacturers国进行接洽,但这方面信息不会列入国内立法。68 打击非法制造和贩运枪支及其零部件和弹药示范法
to mark ammunition at the time of manufacture, the following should be included本条款重点强调国家联络点与其他缔约国的国际合作。国家联络点是一个与
as a component (subparagraph (c)) of the crime of illicit manufacturing of《公约》第 18条第 13款之下指定的“中央当局”(处理法律互助事务)截然不同的
ammunition:机构。若要设立一个新机构作为国家联络点,需要有这方面的立法。如果是在执法部门
(c) Without marking the ammunition at the time of manufacture, in等某个现有国家机构内部设立一个新单位,则是否需要立法取决于是否得到现有立法的
accordance with [annex I, article 26 (Marking of ammunition at the time of授权。
manufacture)] of this Law.Part Two. Mandatory provisions 51《枪支议定书》第 13条第 2款规定了广泛的强制性义务,即国家联络点在制止
Chapter IX. Criminal offences: illicit trafficking非法制造和贩运枪支及其零部件和弹药的问题上应与其他国家进行联络。不过,该议定书
Commentary并未明确国家联络点的任何具体职责。因此,各国可自行确定其各项职能和活动的具体
Illicit trafficking is one of the “central” offences established by the Protocol.范围。
Article 3, subparagraph (e), of the Protocol establishes two specific mandatory一些区域文书要求指定联络点(例如,《西非经共体公约》和《内罗毕议定书》)。
criminal offences in relation to illicit trafficking: (a) any transnational transfer of根据《联合国小武器和轻武器行动纲领》(第二章,第 4段),各国应指定一个国家
firearms, their parts and components and ammunition without legal authorization; and (b) any transnational transfer if the firearms are not marked in accordance with article 8 of the Protocol.联络点,负责处理小武器和轻武器非法贸易各个方面的问题,包括“非法制造、控制、
Article 34. Transnational transfers without legal authorization贩运、流通、中介和贸易”。同样,《国际追查文书》要求各国指定一个或多个国家
1. Every person who [specify level of intent, as appropriate] imports,联络点,负责在与执行文书(《国际追查文书》,第 25段)有关的所有问题上交流信息并
exports or otherwise acquires, sells, delivers, moves or transfers any firearm发挥与各国进行联络的作用。各国可以考虑是否可将某个已指定的当局作为本法之下的国家
or its parts and components or ammunition from or across the territory of联络点。
[name of State] to another State without legal authorization [a licence] issued除了设立一个国家联络点之外,各国还可考虑设立一个国家枪支委员会。本议
in accordance with [name of this Law] commits an offence.定书并未对此做出要求。不过,一些全球和区域文书要求设立这样一个委员会。
2. A person guilty of an offence under paragraph 1 of this article《联合国小武器和轻武器行动纲领》(第二章,第 4段),鼓励各国“酌情设立或指定
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/负责政策指导、研究和监测的国家协调机关或机构以及体制基础设施,以便从各方面
up to ...] [a fine of the ... category].预防、打击和消除小武器和轻武器非法贸易”。《西非经共体公约》和《内罗毕议定书》
Commentary Mandatory provision Source: Protocol, article 5, paragraph 1 (b). This provision incorporates the definition of “illicit trafficking” in the Protocol, article 3, subparagraph (e). Article 35. Transnational transfers of unmarked/improperly marked firearms 1. Every person who [specify level of intent, as appropriate] imports, exports or otherwise acquires, sells, delivers, moves or transfers any firearm from or across the territory of [name of State] to another State that have 52 Model Law on Firearms, Their Parts and Components and Ammunition not been marked at the time of manufacture, at the time of import or at the time of transfer from government stocks to civilian use in accordance with chapter IV of this Law commits an offence. 2. A person guilty of an offence under paragraph 1 of this article等很多区域文书中也载有类似的承诺。各国可以考虑根据本国国情,制定适当的立
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/法和体制框架,包括宪法及其他法律制度和文化传统。应由一个国家委员会对地方、
up to ...] [a fine of the ... category].国家和区域各类行为者的活动进行协调,以增强枪支和小武器的管制效力。联合国开发
Commentary Mandatory provision Source: Protocol, article 3, subparagraph (e). Article 3, subparagraph (e), of the Protocol states that illicit trafficking also includes the import, export, acquisition, sale, delivery, movement or transfer of firearms not marked in accordance with article 8 of the Protocol. Article 8 requires marking in three instances: at the time of manufacture, at the time of计划署出版了《如何指导各国设立及运行国家小武器和轻武器委员会》,
import and at the time of transfer from government stocks to civilian use. Article 8 only mandates the marking of firearms and this is reflected in the wording2
of this provision. Those States which legislate beyond the mandatory requirements of the Protocol and require some form of marking for parts, components这可能对各国
or ammunition should ensure a corresponding expansion of this provision. Part Two. Mandatory provisions 53有帮助。
Chapter X. Criminal offences: marking2
Commentary This chapter contains two mandatory criminal offences related to marking of firearms as required by article 5 of the Protocol. The offences are: (a) Falsifying firearm markings at the time of manufacture, import or transfer from government stocks to permanent civilian use; and (b) Obliterating, removing or altering firearm markings. The purpose of these offences is to ensure that the markings applied to all firearms are and remain true and correct in order to facilitate accurate tracing. Article 36. False markings 1. Every person who [specify level of intent, as appropriate]: (a) Marks a complete firearm, or a firearm that is complete yet unassembled, with false markings at the time of manufacture;访问:www.undp.org/crp/documents/sa_control/SALWGuide_English.pdf第二部分 . 强制性条款 69
(b) Marks imported firearms with false markings;B.
or国际合作
(c) Marks a firearm with false markings at the time of transfer from评注
government stocks to permanent civilian use under chapter IV of this Law;强制性条款
commits an offence.法律出处:《枪支议定书》,第13条第1和 3款。
2. A person guilty of an offence under paragraph 1 of this article两个广泛义务领域分别是:
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/(a) 促进在双边、区域和国际一级与其他国家参与预防非法制造和非法贩运枪支及其
up to ...] [a fine of the ... category].零部件和弹药的国家当局进行合作;
Commentary Mandatory provision Source: Protocol, article 5, paragraph 1 (c). The Protocol requires States to criminalize the falsification of marking(s) on firearms required by article 8 of the Protocol (markings at the time of manufacture, import and transfer from government stocks to permanent civilian use). The Protocol only requires States to establish the falsification of markings as 54 Model Law on Firearms, Their Parts and Components and Ammunition a criminal offence when such falsification is intentional (i.e. there is an intention on the part of the person marking the firearm to provide deceptive or misleading information as to the origins or life cycle of the weapon). Drafters may choose to include different (i.e. less stringent or purely administrative) penalties where a person applies false markings negligently as opposed to intentionally or where accidental errors occur during the marking process that are of a nonmaterial nature. With respect to the falsification of markings applied at the time of transfer from government stocks to permanent civilian use, drafters should be aware that “civilian use” is a broad category that covers all groups and actors that are not State controlled or owned, including private security companies and sports clubs. The Protocol does not require States to establish as criminal offences the falsification of markings applied to firearms other than in the circumstances described above (at the time of manufacture, import and transfer from government stocks to permanent civilian use). However, States could consider establishing as criminal offences the falsification of other markings required under chapter IV of this Model Law.(b) 促进枪支及其零部件和弹药制造商、经销商、进口商、出口商、中介和商业运输
Drafters should note that the offence of failing to mark firearms at the time公司的配合与支持,以便预防和发现非法制造和非法贩运枪支及其零部件和弹药的行为。
of manufacture in accordance with article 7 of this Model Law (as required由各国自行决定选择何种方式履行上述义务。
under articles 3, subparagraph (d), and 5, paragraph 1 (a), of the Protocol), is1. 信息交流
already established under article 31, paragraph 1 (c), of this Model Law (as评注
part of illicit manufacturing) and so it is not necessary to establish the failure强制性条款
to mark firearms at the time of manufacture as a separate offence.法律出处:《枪支议定书》,第12条第1款、第 2款(a)- (d)项和第3款。
The Protocol does not require States to establish as criminal offences本议定书第 12条述及了缔约国开展信息交流的义务。各国应就可能出现的各种问题交流
failure to mark firearms under other circumstances (such as on import or upon与具体案例有关的信息,并采取与其现行国内制度和行政制度相一致的方式履行这一义务,
transfer from government stocks to permanent civilian use). However, States至于采取何种方式和形式来履行这一义务则由各国自行决定。
are required to ensure firearms that are marked at the time of disposal other虽然交流信息是一项强制性条款,但本议定书并未对信息交流类型做出明确规定,但
than by destruction (under Protocol article 6, paragraph 2) and, in some提出了若干建议。如果一个国家将有关中介和中介活动的管制措施列入法律,则可扩大
instances, upon deactivation (under Protocol article 9). In order to ensure adherence to and the enforceability of these requirements, States should consider本信息交流的清单,使之包括有关非法中介活动的信息。
establishing appropriate offences and penalties associated with a failure to mark虽然各国可自行作出决定,但本议定书第 12条第 1-3款所规定的信息交流可包括
weapons properly or at all at the time of disposal other than by destruction, or如下方面:
deactivation. Where States also require proof marks and the marking of weapons acquired by state agencies under chapter IV of this Model Law, offences(a) 就有关事项交换的具体案例信息,包括但不限于枪支及其零部件和弹药生产商、
and sanctions for non-compliance with these obligations should also be established. There is no requirement that criminal offences and penalties be established in these circumstances and States may impose administrative penalties经销商、进口商、出口商和承运人;
and sanctions as appropriate. Article 37. Removal and alteration of firearm markings Every person who [specify level of intent, as appropriate] obliterates, removes or alters a marking on a firearm as required under articles 7, 8, 9 [and 10 or 11] of this Law commits an offence.Part Two. Mandatory provisions 55(b) 已知参与或涉嫌参与非法制造或贩运枪支及其零部件和弹药的有组织犯罪集团;70 打击非法制造和贩运枪支及其零部件和弹药示范法
Commentary Mandatory provision Source: Protocol, article 5, paragraph 1 (c). Strictly speaking, the Protocol only requires States parties to criminalize the obliteration, removal or alteration of those markings required by article 8 of the Protocol (marking at the time of manufacture, import and transfer from government stocks to permanent civilian use). The text in square brackets reflects this limitation. Should drafters wish to expand the scope of this provision and criminalize the removal of any marking, the square bracketed text should be removed. Additionally, drafters may wish to allow for the removal or alteration of markings in certain circumstances (as opposed to having an absolute prohibition on the removal or alteration of markings as reflected in the above drafting). The Protocol implicitly contemplates there may be circumstances where the obliteration, removal or alteration of the marking on a firearm may be permitted by virtue of the requirement to establish as a criminal offence “illicitly” obliterating, removing or altering the marking on a firearm (article 5, paragraph 1 (c)). However, the Protocol does not specify the circumstances when such obliteration, removal or alteration would be permitted and it is up to States to make(c) 非法制造或贩运枪支及其零部件和弹药过程中使用的隐藏手段和侦破方法;
provision for the legal alteration of markings if they wish, while bearing in mind(d) 从事或涉嫌从事非法贩运枪支及其零部件和弹药的有组织犯罪集团通常使用的
the need to ensure that the firearm can still be traced (see the Legislative方法和手段、发送点和目的地及路线;
Guide, paragraphs 223-226).(e) 与预防、打击和消除非法制造和贩运枪支及其零部件和弹药有关的立法经验、
Situations where the removal or alteration of markings may be permitted做法与措施;和
could include: (a) a public agent acting in the course of his or her duties; or(f) 有助于执法当局预防、侦查和调查非法制造和贩运枪支及其零部件和弹药的相关
(b) a person, such as a gunsmith or manufacturer, who has obtained authorization from the competent authority to obliterate, remove or alter a marking on科学技术信息;
a firearm. In such cases, drafters should include a process for obtaining authorization to remove or alter the marking on a firearm and should ensure that the《公约》还载有关于信息交流和执法合作的条款(例如,第 26—28条)。在制定
method of re-marking still permits the firearm to be traced. 56 Model Law on Firearms, Their Parts and Components and Ammunition关于执行《枪支议定书》的国际合作条款的措施时,起草者应考虑到这些条款,这既是为了
[Chapter XI. Criminal offences: offences specific to确保信息交流与合作的一致性和连贯性,又是为了确定利用同样的立法条款和(或)行政
deactivated firearms Commentary The application of the following provisions will depend on whether a State has deactivation standards in place that require a firearm to be rendered permanently inoperable (as is consistent with the general principles of deactivation stipulated by the Protocol, article 9, subparagraph (a)) and thus incapable of reactivation or conversion into a firearm (and effectively destroyed); or whether it has deactivation standards in place that do not require the firearm to be rendered permanently inoperable, but which contemplate reactivation of the deactivated firearm or conversion into a functioning firearm. Although the latter form of deactivation is not consistent with the general principles of deactivation stipulated by the Protocol, it is acknowledged that, in practice, some States do have deactivation standards that contemplate reactivation of the firearm. As noted in the commentary following the definition of “Manufacture” (draft article 4, subparagraph (m), of this Model Law), where a State has deactivation standards in place that do not require deactivated firearms to be rendered permanently inoperable, but which contemplate the reactivation of a deactivated firearm, the term “manufacture” should be defined to include “reactivation” so that the provisions of chapter III would apply to any reactivation of a firearm and any un authorized reactivation would constitute “illicit manufacturing” in accordance with draft article 31 of this Model Law.结构执行各种要求是否可行。有关这些问题的进一步指导,起草者可考虑附件二中的各项
[Article 38. Illicit deactivation文件。
1.2.
Every person who deactivates a firearm:机密信息
[(a) In contravention of article 20 of this Law;]评注
[(b) Without obtaining the prior authorization of the [name of competent authority] in accordance with article 21 of this Law;]强制性条款
(c) Without obtaining a deactivation certificate in accordance with法律出处:《枪支议定书》,第12条第5款。
article 23 of this Law; commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be liable to [imprisonment for ...] and/or [a fine of/up to ...] [a regulatory sanction].]]Part Two. Mandatory provisions 57 Commentary The aim of this provision is to ensure that deactivation is effective according to a State’s deactivation standards. The Protocol does not require States to criminalize deactivation; however, it does require arrangements to be made for deactivation measures to be verified by a competent authority to confirm that the firearm has been rendered permanently inoperable (Protocol, article 9, subparagraph (c)). In order to encourage the verification of deactivation in all cases so as to enable the State to keep track of deactivated firearms, penalties should be imposed for failure to ensure that the competent authority verifies the deactivation. States could also consider establishing offences that penalize manufacturers and other persons authorized to deactivate firearms who fail to deactivate firearms in such a way that they are rendered permanently inoperable. 58 Model Law on Firearms, Their Parts and Components and Ammunition Chapter XII. Criminal provisions: ancillary offences Commentary各国必须“在符合本国法律制度基本概念或任何国际协定的情况下”,保证对其根据本条
Article 5, paragraph 2, requires States to adopt such legislative and other规定从另一国家收到的任何信息,包括与商业交易有关的专利信息加以保密并遵守对使用
measures to establish as criminal offences attempting to commit, participating这种信息的任何限制,只要提供此种信息的外国当局有此请求。第12条第 5款还承认,
as an accomplice and organizing, directing, aiding, abetting, facilitating or counselling the commission of the offences established in the Protocol.在有些情况下,无法做到保密,通常的原因是请求国实施了程序性保护(其中很多是不
These provisions are not specific to illicit manufacturing or trafficking and容易更改且可以执行的宪法权利),要求起诉者披露那些可能用于开脱罪责的信息,或在
only need to be included if not already covered by general provisions in the某些制度中,要求披露在案件审理之前向被告人提供的所有相关信息(见《执行《枪支
national criminal code or law that are applicable to all crimes.议定书》立法指南》,第 244段)。如果不能保守机密,则应在披露信息之前通知提供
Article 39.此种信息的国家当局。第二部分 .
Attempts强制性条款 71
1.C.
Every person who attempts to commit an offence under chapters VIII,以追查为目的的国际合作
IX, X [or XI] of this Law commits an offence.第 45 条 . 国际追查请求
2. A person guilty of an offence under paragraph 1 of this article如果所涉及到的枪支及其零部件和弹药可能是被非法制造或
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/贩运的,[ 主管当局名称 ] 应负责要求他国提供追查信息,并且
up to ...] [a fine of the ... category].负责回应他国主管当局提出的国际追查请求。
Commentary评注
Mandatory provision强制性条款
Source: Protocol, article 5, paragraph 2 (a).法律出处:《枪支议定书》,第12条第4款。
The obligation to criminalize attempts in article 5, paragraph 2 (a), of the Protocol is “subject to the basic concepts” of the legal system. As noted in the第 12条第 4款要求各国“在追查可能是非法制造或贩运的枪支及其零部件和弹药方面
interpretative notes to the Protocol (A/55/383/Add.3, paragraph 6):开展合作”。本议定书并未对追查形式做出规定。但是,各国应当牢记,追查是一种执法工具,
“References to attempting to commit the offences established under domestic law in accordance with [article 5, paragraph 2,] of the Protocol are显然不同于《公约》第 18条所述司法互助以及根据本议定书第 13条第 2款所建国家
understood in some countries to include both acts perpetrated in preparation for a criminal offence and those carried out in an unsuccessful attempt联络点的相关义务。
to commit the offence, where those acts are also punishable under domestic law.”本议定书要求各国在“力所能及的范围内”答复追查请求。这为当事国提供了某种
In some legal systems, attempts are punished with the same penalty as酌处权,使其可以自行决定什么是其认为“力所能及”的实际时限,虽然本议定书要求
the completed offence. In other systems, attempts are subject to a lower penalty.“及时”作出答复。仍然由各国来确定请求方式以及答复追查请求的方式。各国应切实
This provision need only be included if it is not already included in the national指定国家主管当局负责提出请求和答复追查请求。各国在这方面的做法可能各不相同。有些
criminal code or law. Part Two. Mandatory provisions 59国家可能是让一个指定的国家追查中心,或是指定一个国家警察机构或某个警察机构
Article 40. Participating as an accomplice内部的一个部门负责这项工作,其他国家则可能是让负责处理严重犯罪的机构进行这项
1. Every person who participates as an accomplice to an offence under工作。
chapters VIII, IX, X [or XI] of this Law commits an offence.选择执行《国际追查文书》的国家应确保其枪支立法中包含其对《国际追查文书》
2. A person guilty of an offence under paragraph 1 of this article做出的承诺。《国际追查文书》还为如何提出以及答复追查请求提供了有效指导。各国
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/也可参考《欧洲联盟国际追查示范请求》(《欧洲联盟理事会关于成员国应对其他成员国
up to ...] [a fine of the ... category].警察当局在调查被扣或被发现的犯罪相关枪支供应渠道过程中所提跨界请求的标准程序
Commentary的建议》及其所附手册)。
Mandatory provision根据其国内制度,各国可考虑采取最适当的方式,确保有效执行《枪支议定书》的这一
Source: Protocol, article 5, paragraph 2 (a).强制性条款(例如,通过实施细则、行政程序或总统行政命令)。此种程序可包含以下信息:72 打击非法制造和贩运枪支及其零部件和弹药示范法
Article 5, paragraph 2 (a), requires criminalization of participating as an accomplice in illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, and falsifying or illiciting obliterating, removing or(a) 指定负责接收追查请求的主管当局;
altering the marking(s) on firearms as required by article 8 of the Protocol. This(b) 列入枪支及其零部件和弹药国际追查请求之中的信息
provision is “subject to the basic concepts” of the legal system. This provision至少包括:
need only be included if it is not already included in the national criminal codei) 描述枪支及其零部件和弹药的非法性质的信息、发现
or law.枪支及其零部件和弹药的情形以及请求的法律管辖权;
Article 41. Organizing, directing, aiding,ii) 作为请求主体的枪支及其零部件和弹药的构造、型号、
abetting, facilitating or counselling序号、口径、原产国和其他可用信息;和
1. Every person who organizes, directs, aids, abets, facilitates or counsels another person or persons to commit an offence under chapters VIII,(iii) 追查请求的预期用途。
IX, X [or XI] of this Law commits an offence.(c) [ 主管当局名称 ] 应确认收到追查请求的适当时限
2. A person guilty of an offence under paragraph 1 of this article[......天] ;
shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/(d) 根据国内法律,要求 [ 主管当局名称 ] 自接到追查请求
up to ...] [a fine of the ... category].之日起具体的及时期限内,向请求国提供其所要求的、对追查
Commentary Mandatory provision Source: Protocol, article 5, paragraph 2 (b). This provision need only be included if it is not already included in the national criminal code or law.60 Model Law on Firearms, Their Parts and Components and Ammunition Chapter XIII. Seizure, confiscation and disposal Commentary This chapter addresses the requirements of article 6 of the Protocol relating to the confiscation, seizure and disposal of firearms, their parts and components and ammunition that are or are believed to be illicitly manufactured or trafficked. Article 6 of the Protocol must be read and interpreted together with articles 12-14 of the Convention, which apply to the seizure, confiscation and disposal of property that is either proceeds of crime or used or destined for use in crime. This will generally include illicitly manufactured and/or trafficked firearms, their parts and components and ammunition. To the extent that illicitly manufactured or trafficked firearms, their parts and components and ammunition are considered to have been either property “derived” from these offences or “used or destined for use” in such offences, they become subject to articles 12 and 13 of the Convention, which require States parties to ensure that laws enabling confiscation are in place and to actually seek confiscation by the appropriate authority when this is requested by another State party (see the Legislative Guide, paragraphs 136 and 137). To be in conformity with the mandatory requirements of article 6 of the Protocol, States are required: (a) To ensure that the domestic legal system “enables confiscation” of firearms, their parts and components and ammunition that have been illicitly manufactured or trafficked. The dangerous nature of the items covered by the Protocol may require additional expedited security precautions to ensure that they do not fall into the wrong hands before, during or after the seizure and confiscation process; (b) To seize and destroy firearms, their parts and components and ammunition that have been illicitly manufactured or trafficked. The dangerousness of the items favours a policy of destruction, with other forms of disposal being permitted only where officially authorized; (c) To ensure that confiscated firearms are marked and that the method of disposal of the firearms and ammunition is recorded. This obligation is to be fulfilled in a manner consistent with a State’s existing domestic and administrative systems, leaving the manner and form of implementing this obligation to the discretion of States. Many States already have detailed search, seizure and confiscation/forfeiture provisions (for example, provisions could be within a police act, in criminal procedure legislation or in非法枪支及其零部件和弹药具有实际意义的所有可用信息;
separate legislation addressing confiscation). These legislative regimes are generally very detailed and subject to the basic principles of a State’s legal system Part Two. Mandatory provisions 61(e) 如果请求中未含有答复请求所需的所有必要信息,则
given the possibility of depriving an individual of property. “Confiscation” is[ 主管当局名称] 可要求请求国提供补充信息;
defined in the Convention as including “forfeiture where applicable” in recognition that different legal systems have varying approaches to confiscation and(f) 当提供信息会损害正在进行的刑事调查或违反 [ 涉及
forfeiture. Where such legislation exists, drafters should ensure they apply to保护机密信息的法律名称 ] 时,请求国不能保证对信息进行保密
firearms, their parts and components and ammunition and are available for the的,或出于 [ 相关立法名称 ] 中所述与《联合国宪章》保持一致
illicit manufacturing and trafficking offences. The specific requirements for marking and disposal of the firearms, their parts and components and ammunition的国家安全之原因,[ 主管当局名称 ] 可推迟答复或限制答复某一
must also be met.追查请求的内容,或者拒绝提供所要求的信息。73
Annex IV describes a number of methods of destruction that States can第三部分. 非强制性条款
consider for inclusion in their legislation and associated regulations and policies.评注
A.  Enabling  confiscation:  search and  seizureA节阐述了《枪支议定书》中要求各缔约国考虑纳入其国内立法的中介和中介活动条款。
Commentary Mandatory provision Source: Protocol, article 6, paragraph 1. In requiring the establishment of powers to “enable” confiscation, article 6, paragraph 1, of the Protocol does not specifically mention search and seizure. Article 6, paragraph 1, requires measures that enable confiscation if items “have been illicitly manufactured or trafficked”. However, drafters should consider drafting or ensuring that existing legislation creates a lower standard for the initial seizure of the items (for example, allowing seizure without a search warrant on reasonable grounds), since in many cases this will be done as an investigative measure before illicit manufacturing or trafficking can be fully proved. Seizure may also be necessary as an urgent measure to prevent weapons from being exported illegally or falling into illicit domestic circulation or use. To conform with the Protocol, those powers should be linked to suspicion or other grounds for believing that an offence established in accordance with the Protocol has been or is about to be committed and that the items are either evidence of this or that they are themselves the subject matter of the offence involved. Such powers would generally be consistent with national legislation that implements the seizure and forfeiture provisions of the Convention, although some States apply more expedited procedures to allow firearms to be seized quickly on account of the safety or security risks that may arise if there are procedural delays (see the Legislative Guide, paragraph 139). B.  Confiscation  and  forfeiture Commentary Mandatory provision Source: Protocol, article 6, paragraph 1. Confiscation and forfeiture of property to the State exist widely in the domestic law of most jurisdictions. However, the applicable regimes vary considerably 62 Model Law on Firearms, Their Parts and Components and Ammunition between different States and different legal systems. To conform with the Protocol, drafters should ensure that their existing legal regimes for confiscation and forfeiture enable confiscation of firearms, their parts and components and ammunition. Though it is not required by the Protocol, national legislation could also consider the establishment of specific standards to ensure the secure storage of confiscated and forfeited firearms, their parts and components and ammunition. Such standards would help to ensure that the items are not stored in a dangerous manner. C.  Destruction  or other  authorized  form of  disposal Commentary Mandatory provision Source: Protocol, article 6, paragraph 2. As noted in the Legislative Guide (paragraph 134), while the basic policy of the Convention is that confiscated property should be sold to the benefit of the confiscating State party, for purposes such as sharing with other States parties or for the payment of compensation or restitution to victims of crime (article 14), the dangerousness of the items covered by the Protocol favours a policy of destruction, with other forms of disposal permissible only where additional precautions are taken. Therefore, where firearms, their parts and components and ammunition are seized and subsequently are forfeited to the State, article 6, paragraph 2, of the Protocol requires that the forfeited items be destroyed “unless other disposal has been officially authorized, provided that the firearms have been marked and the methods of disposal of those firearms and ammunition have been recorded”. Article 6, paragraph 2, creates a presumption in favour of destroying firearms, their parts and components and ammunition that have been seized by the State. However, it is up to States to determine what method of destruction they use to destroy firearms, their parts and components and ammunition. Annex IV describes a number of methods of destruction that States can consider for inclusion in their legislation and associated regulations and policies. A State could also take a number of other legal measures to implement the general rule of destruction of firearms. As noted in the Legislative Guide (paragraph 143), this could include: “(a) The establishment of powers to authorize disposal other than by destruction and setting appropriate limits on cases where a decision maker could give such an authorization. In this context, legislation could include examples of authorized means of disposal such as for scientific, historical or forensic purposes; “(b) Legislative or administrative criteria for the issuance or refusal of an authorization to dispose by means other than destruction. This must include Part Two. Mandatory provisions 63 the two requirements set out in article 6, paragraph 2, that the firearms must have been marked and that a record be kept of how they were disposed of. Other criteria could also be established in accordance with domestic policy assessments.” In developing their legislation and associated regulations and policies, drafters must include the following provisions: All firearms and ammunition forfeited to or confiscated by [name of competent authority] under this Law [or other relevant legislation] shall be: (a) Destroyed in accordance with [method of destruction chosen]; or (b) Otherwise disposed of in accordance with the specific authorization of [name of competent authority]. Where firearms are disposed of in another authorized manner, standards for marking the seized firearms that are retained and not destroyed must be established (see article 10 of this Law). A written record of information on firearms disposed of other than by destruction must also be maintained (see article 15 of this Law). Where ammunition is disposed of in a way other than by destruction, a written record of information on the ammunition disposed of other than by destruction must be maintained (see article 16 of this Law).64 Model Law on Firearms, Their Parts and Components and Ammunition Chapter XIV. Jurisdiction Commentary The Convention requires States to establish jurisdiction to investigate, prosecute and punish all offences established under the Convention and the Protocols. Article 15 of the Convention requires jurisdiction to be established in three circumstances: (a) over all offences committed within the State’s territorial jurisdiction; (b) over all offences committed on board a vessel or aircraft registered to the State; and (c) if the national legislation prohibits the extradition of its own nationals, jurisdiction must be established over the offences committed byB节审查了《枪支议定书》中关于各国可采用枪支及其零部件和弹药临时进口、出口和
them anywhere in the world. This third circumstance is to permit the State to过境简化程序的条款。
meet its obligation under the Convention to prosecute offenders who cannotA 节. 必须考虑的条款
be extradited on request owing to nationality.第十六章 .
The Convention requires each中介和中介活动
State party to adopt “such measures as may be necessary”, in recognition of评注
the fact that different legal systems would approach the establishment of jurisdiction in a range of ways. Article 15 of the Convention also contains optional《枪支议定书》第 15条要求尚未建立中介活动管制制度的缔约国考虑建立这一制度。这是
provisions to further extend jurisdiction.本议定书中各国必须考虑执行的唯一条款,不过,要求各国建立此种制度并不具有强制性。
Article 42. Application of this Law因此,最终要由各国来确定是否应通过这方面立法。
This Law shall apply to any offence established under this Law when:决定对中介和中介活动进行管制的国家应尽力采用《枪支议定书》中所述及的措施, 以便将其纳入中介和中介活动管制制度中。首先,各国可以要求中介自己进行注册,确保
(a) The offence is committed [wholly or partly] within the territory对其业务活动进行基本审查。其次,各国可要求每个中介所从事的每一项交易或转让都要 获得独立许可。第三,各国可要求在必须按照本议定书第 10条发放的许可证或授权中
of [name of State];披露中介参与交易的情况及其身份。这些建议措施并不具有强制性,也不是全部。但是,
(b) The offence is committed [wholly or partly] on board a vessel or如果一个国家选择采用管制中介和中介活动的立法,则应确保该立法各项条款与有关进口、 出口和过境管制以及保管记录的总体制度相一致。
aircraft that is registered under the laws of [name of State] at the time the大会第 60/81号决议所设审议在防止、打击和消除小武器和轻武器非法经纪活动
offence was committed;方面加强国际合作的进一步步骤政府专家组报告(A/62/163和 Corr.1)进一步深化了74 打击非法制造和贩运枪支及其零部件和弹药示范法
(c) The offence is committed [wholly or partly] by a [name of State]这个问题,并且采取了若干可以被转化为立法条款的补充建议。虽然该报告中的建议只是 咨询性的,但大会第 63/72号决议鼓励各国采纳这些建议。
national whose extradition is refused on the grounds of nationality.采用某种中介制度的国家不妨设定一种与非法中介有关的罪行。另外,如果一个国家 要求作为进口或出口许可 [ 授权 ] 程序的一部分披露中介信息,则可在与许可证申请表中
Commentary提供虚假或具有误导性信息相关的各种罪行中列入一种未能提供与中介活动有关的必要
Mandatory provision信息罪(见《立法指南》,第 237段)。《枪支议定书》并未对设定这些罪行做出要求
Source: Convention, article 15, paragraphs 1 (a) and (b), and 3.(关于与中介相关的各种犯罪的任择建议文本,见附件一,第 70-72条)。至于可能有助于 起草过程的其他相关文件,起草者也可参考附件二。
Territorial jurisdiction and jurisdiction on board a vessel or aircraft that is registered to the State already exists in all States.A.
In common law countries this中介的注册
may even be the only basis for jurisdiction. The criterion is the place where Part Two. Mandatory provisions 65第 46 条 . 注册要求
the criminal act has been committed (i.e. the locus delicti is in the territory of凡 [ 国家名称 ] 公民或其境内的居民以及位于 [ 国家名称 ] 境内的任何人,从事与进口或出口枪支及其零部件和弹药有关的
the State).中介活动的,必须向[ 指定当局名称 ] 进行注册。
Subparagraph (c) gives effect to article 15, paragraph 3, which requires评注 《枪支议定书》第 15条第 1款 (a)项建议对在本国境内营业的经纪人进行注册,以此 作为国家中介活动管制制度的一个可能部分。中介注册可以成为一种预先筛分的手段, 注册记录可协助执行国内管制和国际信息交流。 起草说明 作为中介正式注册程序的一种替代,国家可以将中介在申请个别中介活动许可证时提供的 信息记录作为一种事实上的注册。 选项 1: 第......条 . 注册 凡依据本法第 54 条之规定申请从事中介活动并获得许可 [书面授权] 的中介均应被自动注册为中介人。第三部分 . 非强制性条款 75 第 47 条 . 注册申请 申请人应以[ 指定当局名称 ] 规定的形式和方式进行注册。
States to establish jurisdiction when the alleged offender is present in their起草说明
territory and the State does not extradite him or her solely on the ground that选项 1:
he or she is their national. In such cases States are also obliged under article 16, paragraph 10, of the Convention to submit the case without undue delay中介注册申请必须填写在[名称/数量]表中,并(酌情)附上
to its competent authorities for the purpose of prosecution.应交付的申请费用[金额]。申请人应在申请表上签字,属于自然人的, 由申请人自己签字,属于法人的,则由申请人的法定代表人签字。
States wishing to consider the extended optional forms of jurisdiction may选项 2: 凡从事枪支及其零部件和弹药中介活动者,均应由 [ 指定 当局名称]进行注册,并应缴纳规定的注册费[金额]如果适用)。
wish to add the following subparagraph to article 42:第48条. 注册[ 授权 ] 标准 如果[ 许可当局名称] 认为符合以下条件的,[ 许可当局名称]
“(d) The offence is committed by a [name of State] national whose应将其注册为一个中介人: (a) 申请人年满或年长于[ 国家法定成人年龄] ; (b) 申请人没有刑事犯罪记录;
extradition is refused on any ground.”(c) 申请人未被判定患有精神疾病,也未被送入任何精神病
This subparagraph is optional, as it gives effect to article 15, paragraph 4,诊治机构; (d) 申请人不是任何管制药物 [ 按照 [ 国内管制药物立法的 相关条款 ] 的定义 ] 的非法使用者或吸毒者;
of the Convention, which provides that a State may establish jurisdiction over(e) 申请人未故意做出与申请表中所要求信息有关的虚假 陈述或表述; (f) 申请人符合被视为相关的注册申请要求以及其他注册要求。76 打击非法制造和贩运枪支及其零部件和弹药示范法
offences when the alleged offender is present in its territory and it does not起草说明 关于 (b)项,在某些管辖区域,如果一个人在某个特定时间段内有任何犯罪记录或某种 犯罪记录的,则禁止其进行中介人注册。而在其他一些管辖区域,只有一个人被定罪或
extradite him or her for any reason. Note that if subparagraph (d) is used, then被控告犯有特定法律所涉某些罪行的,才禁止其进行中介人注册。
there is no need to include subparagraph (c), as (d) covers situations where选项 1: (b) 申请人未被根据 [e. 例如,国内安全立法、关于反腐败 和行贿的国内立法、关于药物滥用的国内立法、关于反对家庭 暴力的国内立法,以及关于枪支中介、进口、出口和过境的立法] 定罪或被控告犯有某种罪行的; 选项 2: (b) 申请人未被任何法院判定有罪或未被控告犯有应处以
extradition is refused for any reason (including nationality).[ 一] 年以上有期徒刑的某种犯罪的;
Beyond the mandatory provisions on jurisdiction, the Convention (article 15)选项 3:
encourages the establishment of jurisdiction in other circumstances, such as in(b) 在申请注册中介人之前 [ 五 ] 年内,申请人未犯下与
all cases where the nationals of a State are victimized, where the offence is枪支及其零部件和弹药中介、进口、出口和过境有关的立法所涉
committed by a national or stateless person residing in its territory or where某项罪行。
the offence is linked to serious crimes and money-laundering planned to be第49条 . 对不注册[ 批准 ] 某个申请人的决定进行复核
committed in its territory (article 15, paragraph 2). The Convention makes clear提交中介注册申请者可向 [ 受权审查注册决定的机构名称 ]
that the bases of jurisdiction are not exhaustive. Article 15, paragraph 6, states申请对许可当局拒绝注册申请的决定进行复核。
that, without prejudice to norms of general international law, the Convention第 50条 . 中介注册和延期的有效性
does not exclude the exercise of any criminal jurisdiction established by a State1. 枪支及其零部件和弹药中介的注册有效期应为[......年]。
party in accordance with its domestic law.2. 在注册期满之前,可申请对注册予以延期 [......日] 。第三部分 . 非强制性条款 77
Extension of jurisdiction over acts committed by a citizen of a State in the3. 如果注册已经到期,申请人必须根据本法第47条之规定
territory of another State (active personality principle) is mostly done with regard提出新的申请。
to specific crimes of particular gravity.第51 条 .
In some jurisdictions the active personality principle is restricted to those acts which are not only a crime according to关于变更信息的通知
the law of the State whose national commits the act, but also according to the发生以下事件的,注册中介人必须在 [......日 ] 内通知 [ 许可
law of the State in whose territory the act is committed.当局名称 ] :
Should States wish to adopt these provisions, they may want to introduce(a) 其注册中所述信息发生实质性变更的;
an additional article in the Model Law on the application of the law outside the(b) 与注册有关的任何人被控告或被判定犯有 [ 应被处以
territory, which could read as follows:......年以上有期徒刑的] 一项罪行的。
This Law shall also apply to any offence established under this Law第52 条 . 中介注册的取消
when:中介注册应在以下情况下予以取消:
(a) The person is a national [or permanent resident] [or habitual resident] of [name of State];(a) 被注册人提出取消要求时;
(b) The offence is committed by a [name of State] national [or habitual(b) 如果新的事实表明,在对初次注册申请进行审查时已经知道
resident] [or permanent resident];66 Model Law on Firearms, Their Parts and Components and Ammunition或存在对注册具有实质意义的、本应导致拒绝给予被注册人注册的证据;
(c) The offence is committed by a stateless person who has his or her(c) 如果被注册人未能遵守与进口、出口和转让枪支及其
habitual residence in [name of State] at the time of the commission of the零部件和弹药有关的相关立法;
offence;(d) 如果被注册人违反或被合理认为已经违反某项具有约束
(d) The offence is committed in the territory of [name of State] with力的联合国安全理事会武器禁运、对缔约国具有约束力或缔约国
a view to the commission of a serious crime within the territory of [name自愿同意遵守的某项区域禁运或某项国内武器禁运的;
of State]; or(e) 如果一个合法的被注册人被解散或一个被注册的自然人死亡。
(e) The offence is committed outside the territory of [name of State]第 53 条 . 记录保管
but the consequences of the offence are directed towards or intended to依据本章之规定进行注册的中介必须根据本法第五章之规定
commit a serious crime within the territory of [name of State].保存记录。
Article 43. Extradition评注
The offences established under this Law shall be extraditable offences.如果某个国家选择对中介活动进行管制,则其应确保也要求中介保存记录。一个国家还可
Commentary考虑保存已被取消注册的或其从事中介活动之申请已被拒绝的中介之记录。78 打击非法制造和贩运枪支及其零部件和弹药示范法
The provisions of the Convention oblige States parties to treat offences established in accordance with the Protocol as extraditable offences under theirB. 对中介活动的许可[授权]
treaties and laws and to submit to competent authorities such offences for第54 条 . 中介许可证的要求
domestic prosecution where extradition has been refused on grounds of nationality (article 16 of the Convention) (see also the Legislative Guide for the1. 如果没有事先得到 [ 许可当局名称 ] 以书面形式签发的
Implementation of the Convention, paragraphs 394-449).关于协商或安排涉及 [ 国家名称 ] 与另一国家之间或涉及某个
The Convention sets a basic minimum standard for extradition for the第三国以及任何其他第三国的枪支及其零部件或弹药转让之行为
offences it covers and also encourages the adoption of a variety of mechanisms designed to streamline the extradition process. States should review的交易许可证 [ 书面授权 ],属于 [ 国家名称 ] 公民或其境内居民
their national legislation on extradition in the light of the provisions in the的以及因其他原因受 [ 国家名称 ] 管辖的任何人均不得从 [ 国家
Convention and ensure that all the mandatory Protocol offences are included名称 ] 领土上或在其领土境内执行或从事或者建议执行或从事
as extraditable offences. In the absence of any extradition treaty or legislative任何中介活动。
provisions, extradition should be in accordance with the procedures set out in2. 在未遵守本条第 1 款所述各项要求的情况下,凡属于
the Convention.Part Two. Mandatory provisions 67[ 国家名称 ] 公民或其居民者均不得从其领土上或在其领土境内
Section C. International cooperation执行或从事或者建议执行或从事任何中介活动。
Commentary3. 在发放许可证 [ 授权 ] 之前,[ 许可当局名称 ] 可要求
This chapter discusses articles 12 and 13 of the Protocol. As many international提供用以支持申请所要求的证明文件的正本或公证副本,用以
cooperation activities would not be specifically set out in legislation, it is up to核实申请中所提供的信息。
States to determine the most appropriate manner to meet these mandatory评注
requirements, depending upon their particular legal system and whether through《枪支议定书》第 15条第 1款 (b)项建议将许可或授权作为管理中介活动的一项措施。
legislation, policy guidelines or regulations or other methods.中介活动可能发生在中介的原籍国、居住地所在国或注册地所在国;也可能发生在其他
Chapter XV. Information exchange国家。枪支未必会经过发生中介活动的所在国领土,中介也未必对枪支拥有所有权。
and international cooperation本条款允许一个国家对从其本国领土从事枪支及其零部件和弹药中介活动的个人及实体
A.  National  point  of  contact行使管辖权,并将管辖范围扩大到在国外从事武器中介活动的本国国民、常住居民和公司。
Article 44. Establishment of a national point of contact本条款还适用于另外一些中介活动,不论所涉物品是否经过发生中介活动的国家领土。
By this Law a national point of contact is established to act as liaison各国可自行决定是否需要规定每一次中介交易都须申请许可证,或发放一般许可证(见下文
with other States on matters relating to the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and第57条)。第三部分 . 非强制性条款 79
Ammunition.起草说明
Commentary如果一个国家已经选择将“A. 中介的注册”纳入其立法之中,则应在本条之中增添以下条款:
Mandatory provision4. 凡申请从事与枪支及其零部件和弹药有关的任何中介
Source: Protocol, article 13, paragraph 2.活动或 [ 相关中介活动 ] 的许可证 [ 书面授权 ] 者,均应在提出
The Protocol requires States to identify a national body or a single point of其许可证 [ 授权 ] 申请时,首先申请进行枪支及其零部件和弹药
contact to act as liaison with other countries on matters related to the Protocol.中介人注册。
A State could also choose to identify a number of bodies as national points of第55条 . 中介活动许可证的申请
contact. (It should be noted that a majority of States parties have notified UNODC that their national points of contact are authorities responsible to the ministers of the interior and justice.) Regardless of what a State decides, it should be made clear who the national point(s) of contact is (are) so other States know who to contact and how to contact them. This information would not be included in national legislation though it should be provided in a format and manner that is easily accessible by other States parties. 68 Model Law on Firearms, Their Parts and Components and Ammunition The focus of this Protocol provision is on international cooperation with other States parties. This is a distinct entity from the “central authority” designated under article 18, paragraph 13, of the Convention to deal with mutual legal assistance. Where a new body is established as the national point of contact, legislation may be needed to do so. In cases where a new unit is created within an existing national agency, such as law enforcement, the need for legislation will depend on whether this is authorized by existing legislation or not. Beyond the broad mandatory obligation set out in article 13, paragraph 2, that the national point of contact liaise with other countries on matters relating to combating illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, the Protocol does not set out any specific responsibilities of the national point of contact. It is at the discretion of the State to determine the specific scope of its functions and activities. Several regional instruments require the designation of a point of contact (for example, the ECOWAS Convention and the Nairobi Protocol). Under the Programme of Action on Small Arms and Light Weapons (chapter II, paragraph 4), States are to designate a national focal point responsible for various aspects of the illicit trade in small arms and light weapons, including “illicit manufacture, control, trafficking, circulation, brokering and trade”. Equally, the International Tracing Instrument (paragraph 25) requires States to designate one or more national points of contact “to exchange information and act as a liaison with States on all matters relating to the implementation of the instrument”. States can consider if it may be appropriate for an already designated authority to act as the national point of contact under this Law. In addition to establishing a national point of contact, States may consider establishing a national commission on firearms. This is not required under the Protocol. However, several global and regional instruments call for the establishment of such a commission. Under the Programme of Action on Small Arms and Light Weapons (chapter II, paragraph 4), States are encouraged to “establish, or designate as appropriate, national coordination agencies or bodies and institutional infrastructure responsible for policy guidance, research and monitoring of efforts to prevent, combat and eradicate the illicit trade in small arms and light weapons in all its aspects”. Similar commitments are contained in a number of regional instruments, such as the ECOWAS Convention and the Nairobi Protocol. States can consider developing an appropriate legislative and institutional framework based on their own situation, including constitutional and other legal systems and cultural traditions. A national commission is responsible for coordinating the activities of various actors at the local, national and regional levels in order to increase the effectiveness of firearms and small arms controls. The United Nations Development Programme has published the How to Guide: the Establishment and Functioning of National Small Arms and Light Weapons Commissions, 2 which could be of assistance to States. 2 Available from www.undp.org/crp/documents/sa_control/SALWGuide_English.pdf.Part Two. Mandatory provisions 69 B.  International  cooperation Commentary Mandatory provision Source: Protocol, article 13, paragraphs 1 and 3. The two broad areas of obligation are: (a) Facilitating cooperation at the bilateral, regional and international levels with other States’ national authorities engaged in the prevention of illicit manufacturing of and trafficking in firearms, their parts and components and ammunition; (b) Facilitating cooperation and support of manufacturers, dealers, importers, exporters, brokers and commercial carriers of firearms, their parts and components and ammunition to prevent and detect illicit manufacturing of and trafficking in firearms, their parts and components and ammunition. It is at the discretion of States how they choose to fulfil these obligations. 1. Information exchange Commentary Mandatory provision Source: Protocol, article 12, paragraphs 1, 2 (a)­(d) and 3. Article 12 of the Protocol addresses the information exchange obligations of States parties. States are to exchange relevant case-specific information on a range of possible matters. This obligation is to be fulfilled in a manner consistent with a State’s existing domestic and administrative systems, leaving the manner and form of implementing this obligation to the discretion of States. While the exchange of information is a mandatory provision, the types of information to be exchanged are not specified. Rather, the Protocol provides a number of suggestions. Where a State has included controls on brokers and brokering activities, this list of information to be exchanged could be expanded to include information on illicit brokering activities. Though it is at the discretion of the State, areas of information exchange in article 12, paragraphs 1-3, of the Protocol could include: (a) Case-specific information on matters including, though not limited to, authorized producers, dealers, importers, exporters and carriers of firearms, their parts and components and ammunition; (b) Organized criminal groups known to be or suspected of taking part in illicit manufacturing of or trafficking in firearms, their parts and components and ammunition;70 Model Law on Firearms, Their Parts and Components and Ammunition (c) The means of concealment used in the illicit manufacturing of or trafficking in firearms, their parts and components and ammunition and ways of detecting them; (d) Methods and means, points of dispatch and destination and routes used by organized criminal groups engaged in or suspected of being engaged in trafficking in firearms, their parts and components and ammunition; (e) Legislative experiences, practices and measures to prevent, combat and eradicate the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition; and (f) Scientific and technological information relevant to law enforcement authorities that will assist in the prevention, detection and investigation of the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition. The Convention also contains provisions on information exchange and law enforcement cooperation (for example, articles 26-28). Drafters should consider these provisions when developing measures to implement the international cooperation provisions of the Protocol, both to ensure consistency and coherence in the delivery of information exchange and cooperation and to determine whether it is feasible to implement the various requirements using the same legislative provisions and/or administrative structures. Drafters can consider the documents in annex II for further guidance on these issues. 2. Confidential information Commentary Mandatory provision Source: Protocol, article 12, paragraph 5. “Subject to the basic concepts of its legal system or any international agreements”, each State is required to guarantee the confidentiality of and comply with any restrictions on the use of information that it receives from another State, including proprietary information pertaining to commercial transactions, if requested to do so by the authorities of the State providing the information. Article 12, paragraph 5, also recognizes that in some cases confidentiality cannot be guaranteed or maintained, usually because the requesting State has procedural protections (many of which are entrenched and enforceable constitutional rights) that require that prosecutors disclose potentially exculpatory information, or in some systems all relevant information, to accused persons prior to trial (see the Legislative Guide for the Implementation of the Protocol, paragraph 244). If such confidentiality cannot be maintained, the authorities of the State that provided the information shall be notified prior to its disclosure.Part Two. Mandatory provisions 71 C.  International  cooperation  for  the  purposes  of  tracing Article 45. International tracing requests [Name of competent authorities] shall be responsible for requesting tracing information from other States and responding to international tracing requests from competent authorities in any case where the firearms, their有关从事枪支和(或)其零部件和(或)弹药中介活动的许可证
parts and components and ammunition involved may have been illicitly[授权]申请必须按照规定的形式和方式向[许可当局名称]提出。
manufactured or trafficked.起草说明
Commentary选项 1(细则条款)
Mandatory provision有关从事枪支和(或)其零部件和(或)弹药中介活动的
Source: Protocol, article 12, paragraph 4.许可证申请必须在 [ 名称/ 数量] 的表格上填写,并(酌情)附上
Article 12, paragraph 4, requires States to “cooperate in the tracing of firearms,应交付的申请费[ 金额]。必须在申请上签字和签注日期,并列入
their parts and components and ammunition that may have been illicitly manufactured or trafficked”. The modalities of tracing are not spelled out in the该表要求提供的信息,包括:
Protocol. However, States should bear in mind that tracing is a law enforcement(a) 申请人的身份,包括公司地址和住所、公司内部负责人
tool and is distinct from the obligations pertaining to mutual legal assistance和联系人;
described in article 18 of the Convention and the national point of contact(b) 已签合同或合同草案的副本,详细具体地说明预期中介
established pursuant to article 13, paragraph 2, of the Protocol.活动所涉枪支及其零部件和弹药的买方情况,以及这些货物的
The Protocol requires States to respond to tracing requests “within available类型、数量和价值;
means”. This provides the State with some discretion as to what is a realistic(c) 一份经公证的最终使用证书,按 [ 见附件一,第 61 条 ]
time frame considering its “available means”, though the Protocol requires that中所列方式规定最终用途和最终目的地(最终用户证书);
responses be “prompt”. It remains up to States to determine the modalities for(d) 设备来源国名称以及出口目的国名称,即便不经过
requesting and responding to tracing requests. States should also ensure that[ 国家名称 ] 转运;
the appropriate national authorities are designated to request and respond to(e) 按 [ 许可当局名称 ] 要求,提供便于对案件情况进行
tracing requests. This varies from State to State. Some States may have a适当评估的[ 任何 ] 其他相关文件;
designated national tracing centre or designate a national police entity or a unit(f) 所有参与方的全部细节,包括交易的财务安排。80 打击非法制造和贩运枪支及其零部件和弹药示范法
within a police entity. In other States it could be the agency responsible for根据案件情况的不同,有时可能无法在审议申请时获得上述所有信息的副本。各国
dealing with serious crimes.可考虑以在许可证生效之前收到补充文献材料为条件签发许可证。
States choosing to implement the International Tracing Instrument关于分包商和财务/保险安排的信息
should ensure that their firearms legislation encompasses their commitments under that Instrument. The International Tracing Instrument also provides useful guidance on making and responding to tracing requests. States鉴于分包做法的普遍采用,各国可以要求提供参与交易的所有分包商的名称,以便作为
may also consult the European Union model international tracing request筛选个人和公司的一种手段。
(Council of the European Union recommendation on a standard procedure在其关于中介问题的报告(A/62/163和Corr.1)中,政府专家组建议,如果小武器
in member States for cross-border enquiries by police authorities in investigating supply channels for seized or recovered crime-related firearms, and和轻武器非法中介活动涉及到尤其是违反联合国安全理事会武器禁运,则各国应确保此种
the annexed manual).密切关联的中介活动受到充分的法律管制,包括运输和融资活动在内。各国可以选择通过
In accordance with their national systems, States can consider the most扩大其“中介”定义的方式对这些活动进行管制,或者通过其他立法(例如,通过银行法
appropriate means to ensure effective implementation of this mandatory provision of the Protocol (for example, through regulations, administrative procedures or executive order). Such procedures could contain the following或运输危险货物法)对上述其他活动(如运输和融资活动)进行管制。
information:72 Model Law on Firearms, Their Parts and Components and Ammunition第 56 条. 中介活动许可证申请的评估标准
(a) Designation of the competent authorities to receive tracing[ 许可当局名称] 应根据本法规定的标准[ 见附件一,第55条
requests;(出口许可证申请的评估程序)] 逐一考虑每项中介活动许可证
(b) Minimum information to be included in requests for the international tracing of firearms, their parts and components and ammunition,申请。
including:评注
(i) Information describing the illicit nature of the firearms, their parts与评估出口许可证所对照的标准清单类似,在对照标准清单批准或不批准许可证之前,应
and components and ammunition, the circumstances under which the首先对是否授予从事中介活动的许可进行评估。附件一第 55条列出了一份可供采取的
firearms, their parts and components and ammunition were found and建议标准。
the legal justification for the request;第 57 条 . 一般许可证
(ii) The make, model, serial number, calibre, country of origin and在视为适当时,[ 许可当局名称 ] 可签发与指定的低风险目的
other available information on the firearms, their parts and components地和(或)最终用户名单相关的中介活动的一般许可证。
and ammunition that are the subject of the request; and评注
(iii) The intended use of the tracing request;各国可选择签发为从事上述指定活动者提供宽泛授权的一般许可证。如果授予一般许可证,
(c) An appropriate time frame [... days] in which [name of competent则被许可人不需要为每一次独立的中介活动交易申请许可证。低风险目的地和(或)最终 第三部分 . 非强制性条款 81
authorities] should acknowledge receipt of a tracing request;用户的名称应在随附的实施细则或立法中加以具体说明,并应作为许可制度的一个有限
(d) In accordance with national laws, the requirement that within a例外发挥作用。这可包括某个贸易区内部的交易或十分密切的商业伙伴之间的交易。在有
specific prompt period of time from the date of the receipt of the tracing些国家,一般许可证在被主管当局撤销之前始终有效。换句话说,各国可以选择在规定的
request, [name of competent authorities] provide all available information时限内签发一般许可证。
sought by the requesting State that is relevant for the purpose of tracing the第58 条. 对中介活动许可证 [ 授权 ] 的撤销或修正
illicit firearms, their parts and components and ammunition;如果具有以下情形,[ 许可当局名称 ] 可以在许可证到期之前
(e) [Name of competent authorities] may seek additional information from the requesting State when the request does not contain all the necessary information needed to respond to the request; (f) [Name of competent authorities] may delay or restrict the content of a response to a tracing request, or refuse to provide the information sought, where releasing the information would compromise ongoing criminal investigations or violate [title of act dealing with protection of confidential information], where the requesting State cannot guarantee the confidentiality of the information or for reasons of national security consistent with the Charter of the United Nations as stated in [title of relevant legislation]. 73 Part three. Non-mandatory provisions Commentary Section A below elaborates on provisions in the Firearms Protocol on brokers and brokering activities that States parties are required to consider for inclusion in their national legislation. Section B examines the provision in the Protocol whereby States may adopt simplified procedures for the temporary import, export and transit of firearms, their parts and components and ammunition. Section A. Must-consider provisions Chapter XVI. Brokers and brokering activities Commentary Article 15 of the Protocol requires States that have not yet done so to consider establishing a system for regulating the activities of brokers. This is the only provision in the Protocol that States are required to consider implementing, though it is not mandatory that a State establish such a system. Thus, it is ultimately left to States to decide whether or not to adopt legislation. States that decide to regulate brokers and brokering activities should endeavour to adopt the measures referred to in the Protocol for inclusion in such a system for regulating brokers and brokering activities. Firstly, States could require the brokers themselves to be registered, ensuring that basic scrutiny could be applied to their business operations. Secondly, States could require that each transaction or transfer undertaken by each broker be licensed separately. Thirdly, States could require disclosure of the involvement and identities of brokers on the licences or authorizations that must be issued in accordance with article 10 of the Protocol. These suggested measures are neither mandatory nor exhaustive. However, where a State chooses to adopt legislation to control brokers and brokering activities, it should ensure that the provisions are consistent with its overall system of export, import and transit controls and record-keeping. The report of the Group of Governmental Experts established pursuant to General Assembly resolution 60/81 to consider further steps to enhance international cooperation in preventing, combating and eradicating illicit brokering in small arms and light weapons (A/62/163 and Corr.1) has further developed the issue and submitted a number of additional recommendations that could be transformed into legislative provisions. Although the recommendations 74 Model Law on Firearms, Their Parts and Components and Ammunition contained in the report are of an advisory nature, the General Assembly encouraged States to adopt them in its resolution 63/72. Should a State adopt a regime for brokering, it may also wish to create an associated offence for illicit brokering. Alternatively, if a State requires disclosure of a broker as part of the import/export licensing/authorization process, offences related to providing false or misleading information on licence application forms could include an offence for failing to provide required information about brokerage activities (see the Legislative Guide, paragraph 237). The establishment of these offences is not required by the Protocol (see annex I, articles 70-72, for optional suggested text on brokering-associated offences). Drafters can also consult annex II for other relevant instruments and documents that might assist in the drafting process. A.  Registration  of  brokers Article 46. Registration requirement Any person who is a citizen of or resident in [name of State] and any person located in [name of State] who engages in brokering activities with respect to the import or export of firearms, their parts and components and ammunition shall be registered with [name of designated authority]. Commentary Article 15, paragraph 1 (a), of the Protocol suggests registration of brokers operating within a State’s territory as a possible part of a national system to regulate the activities of brokers. Registration of brokers can be a pre-screening device and the registration records can assist in enforcement of controls nationally and in the exchange of information internationally. Drafting note As an alternative to a formal registration process of brokers, a State could use the record of information that a broker has provided when applying for an individual brokering activity licence as a de facto registration: Option 1 Article ... Registration Any broker who applies for and receives a licence [written authorization] to engage in a brokering activity pursuant to article 54 of this Law shall be automatically registered as a broker. Part Three. Non-mandatory provisions 75 Article 47. Registration application The applicant shall register in the form and manner prescribed by [name of designated authority]. Drafting note Option 1 Application for registration as a broker must be filed on form [name/ number] and (if applicable) must be accompanied by the required fee of [amount]. An application shall be signed by an applicant who is a natural person personally or by the legal representative of an applicant who is a legal person. Option 2 Every person who engages in brokering activities of firearms, their parts and components and ammunition shall be registered by [name of designated authority] and shall (if applicable) pay the required fee of [amount]. Article 48. Registration [authorization] criteria [Name of licensing authority] shall register a person as a broker if it is satisfied that: (a) The applicant is of or above the age of [State’s age of majority or above]; (b) The applicant does not have a criminal record; (c) The applicant has not been adjudicated as mentally ill or been committed to any mental institution; (d) The applicant is not an unlawful user of or addicted to any controlled substance [as defined in [relevant section and title of national legislation on controlled substances]]; (e) The applicant has not knowingly made any false statement or representation with respect to the information required on the application form; (f) The applicant has met such registration application requirements and other registration requirements as deemed relevant.76 Model Law on Firearms, Their Parts and Components and Ammunition Drafting note With reference to subparagraph (b), in some jurisdictions the existence of any criminal record, or a criminal record within a particular time frame, prohibits a person to register as a broker. In others, conviction or indictment of offences under specified acts will prohibit a person from being registered. Option 1 (b) The applicant has not been indicted for or convicted of an offence in accordance with [e.g. the national security legislation, national legislation on corruption and bribery, national substance abuse legislation, national domestic violence legislation, legislation relating to the brokering, import, export and transit of firearms]; Option 2 (b) The applicant has not been convicted in any court or is not under indictment of a crime punishable by imprisonment for a term exceeding [one] year; Option 3 (b) Within the [five] years prior to the application to register the person as a broker, the applicant has not committed an offence under legislation relating to the brokering, import, export and transit of firearms, their parts and components and ammunition. Article 49. Review of a decision not to register [authorize] an applicant A person who has submitted an application to register as a broker may apply to the [name of body authorized to review registration decisions] for撤销或修改从事枪支及其零部件和弹药中介活动的许可[ 授权]:
a review of a decision of the licensing authority denying an application for(a) 为了获得许可证而提供虚假信息的;
registration.(b) 许可证中所载细节已经变更的;
Article 50. Validity of broker registration and renewal(c) 发放许可的条件未充分满足的; (d) 自签发许可证以来已对目的国实施武器禁运的;
1. Registration of a person as a broker of firearms, their parts and(e) 接收国的形势发生重大变化的;
components and ammunition shall be valid for a period of [.(f) 从规定最终用户转移出去的风险增加的;或 (g) 规定最终用途(用户)发生变更的。 第 59条.
..对中介活动许可证的许可条件 1.
years].发放中介活动许可证必须满足许可当局针对该许可证
2. Registration shall be renewable upon application [... days] prior to规定的所有条件。
its expiration.Part Three. Non-mandatory provisions 772. 中介活动许可证的持有者必须遵守发放该许可证的所有
3. If a registration has expired, the applicant shall file a new application in accordance with article 47 of this Law.条件。
Article 51.3.
Notification of changes in information被许可人必须遵守本法第五章专门针对中介规定的记录
furnished by a registered broker保管要求。 4. 不得将许可证转让其他人。82 打击非法制造和贩运枪支及其零部件和弹药示范法 第 60条. 中介活动许可证 [ 授权 ] 的有效性 1. [ 许可当局名称 ] 必须为中介活动许可证 [ 授权 ] 规定 具体的有效期。 2. 中介活动许可证 [ 授权] 在以下情况下到期:
A registered broker shall, within [... days] of the event, notify [name(a) 在许可证规定的到期日期;
of licensing authority] if:(b) 如果许可证的持有者在许可证规定的到期日期之前向
(a) There is a material change in the information set forth in their[许可当局名称] 交还该许可证;
registration;3. 中介活动许可证[授权]的有效期可根据申请且在[许可
(b) Any of the persons pertaining to the registration are indicted for当局名称 ] 批准后予以延长。 4. 有关延长有效期的申请必须在到期日期之前以书面形式 向[许可当局名称]提出,否则将需要提出新的许可证[授权]申请。
or convicted of an offence [of a crime punishable by imprisonment for a评注
term exceeding ... years].许可证[授权]的有效期应足够长,以确保能够切实完成一项中介交易。第三部分 . 非强制性条款 83
Article 52.B 节 .
Cancellation of registration as a broker任择条款
A registration as a broker shall be cancelled:第十七章. 临时进口、出口和过境的简化程序 评注 正如《枪支议定书》第 10条第 6款所规定的那样,对于出于打猎、射击比赛、评价、
(a) At the request of the registered person;展览或修理等可予核查的合法目的而临时进口或出口的枪支及其零部件和弹药,各国可以
(b) If new facts become evident that, had they been known or existed选择采用简化程序。本议定书中有关此种活动的清单并非详尽无遗。还应当指出的是,
at the time of the review of the initial application for registration, would根据《枪支议定书》第 8条第 1款 (b)项之规定,出于“可核实的合法目的”临时进口 的枪支不需要打上补充进口标识。这一条款只适用于各国根据本议定书第 10条第 6款之
have resulted in a refusal to register the person;规定选择采用简化程序的情形。 正如《立法指南》(第 113段)所指出的,为出于可核查的合法目的而临时进口
(c) If the registered person fails to comply with the relevant legislation relating to the import, export and transit of firearms, their parts and或出口物品设定一些简化程序的立法可创立一套并行表格(例如,申请表和许可表) 以及许可证签发标准和程序,还可对进口和出口许可证申请表加以扩充或调整,使之
components and ammunition;能够用于此种目的。上述立法还可包括快速程序,例如,允许边界检查站主管人员在物品 实际通过边界时或在装运地或在国内接收时签发许可证。由国家自行确定是否采用上述
(d) If the registered person violates or is reasonably believed to have程序或酌情制定其他补充保障措施。但必须坚持基本理念(枪支及其零部件和弹药的 所有者并未在临时进口、出口或过境过程中发生改变,且临时转让不能转变成永久转让)。
violated a binding United Nations Security Council arms embargo, a regional决定采用简化程序的国家应确保这些程序与《枪支议定书》中规定的范围和宗旨保持
embargo either binding on [name of State] or to which [name of State] has一致。
voluntarily consented to adhere, or a national arms embargo;设定简化程序的起草者可以考虑将以下若干条款纳入立法之中,例如:
(e) If a legal registered person is dissolved or a registered natural(a) 确保收集能够识别枪支以及临时进口商或出口商身份的基本信息,以便根据 《枪支议定书》追查枪支及其零部件和弹药;
person dies.(b) 为临时进口的枪支及其零部件和弹药可在其国内停留的时间设置一个期限,
Article 53. Record-keeping拟订保障措施,确保临时进口的枪支被再出口到原产地国家。如果此种交易在所涉限定
A broker registered under this chapter shall maintain records in accordance with chapter V of this Law.期限内进行,则无需按照《枪支议定书》第 7 条之要求将记录保存满 10 年。但是,为了 84 打击非法制造和贩运枪支及其零部件和弹药示范法 确保临时进口简化程序不会给追查枪支设置障碍,国内法应要求在确认枪支被再出口之前
Commentary保存记录;
Where a State chooses to regulate the activities of brokers, it should ensure(c) 立法者也可要求提供证据,证明交易是出于可核查的合法目的; (d) 对于向枪支及其零部件和弹药临时进口国以外国家出口枪支的,可定为相关犯罪;
that brokers are also required to maintain records. A State could also consider 78 Model Law on Firearms, Their Parts and Components and Ammunition在按国内立法要求实行简化许可或授权制度的情况下,对于与未获得简化许可或授权以及
keeping records of brokers whose registrations have been cancelled or whose未在规定时限内再出口之案件有关的犯罪,包括与在许可或授权表上提供虚假或误导性信 息有关的犯罪,均可定为相关犯罪。
application to engage in brokering activities has been refused.第 61 条 . 临时进口、出口或过境许可的简化程序 1. [ 许可当局名称 ] 可根据本法第七章之规定对出于可核查
B.  Licence  for  [authorization of] brokering activities的合法目的的枪支及其零部件和弹药临时进出口和过境适用简化
Article 54. Requirement for a brokering licence程序。 2. 出于本法之目的,可核查的合法目的应包括打猎、运动 射击、评估、展览、修理以及经 [ 许可当局名称 ] 逐一审查并认 为适用本条款的其他活动。 评注 正如《立法指南》所指出的,简化程序适用于个人。因此,这些示范条款不适用于国际 代表团(例如,维持和平部队)中的外国军事人员、外国政府的官方代表或外国政府的 执法人员等团体或个人的临时进口、出口或过境。 第 62 条 . 临时出口许可
1.1.
No brokering activity or proposal to engage in a brokering activity出于可核查的合法目的从事出口的 [ 国家名称 ] 居民
from or within the territory of [name of State] may be carried out or pursued可以按照 [ 许可当局名称 ] 针对个案进行的授权,从 [ 国家名称 ]
by any person who is a citizen of or resident in [name of State] and any领土上临时出口枪支及其零部件和弹药。
person otherwise subject to the jurisdiction of [name of State] without the2. 在从[国家名称]临时运送之外,该居民应利用表格[具体
prior receipt of a licence [authorization] issued in writing by [name of表格的名称 ][或其他临时运送申请文件 ] 申请临时出口许可证。第三部分 . 非强制性条款 85
licensing authority] for the negotiation or arrangement of transactions involving the transfer of firearms, their parts and components or ammunition3. 除了表格[具体表格的名称][或其他临时运送申请文件]
between [name of State] and another country, or between a third country中所要求提供的信息之外,该居民还应提供:
and any other third country.(a) 合法拥有枪支及其零部件和弹药的证据;
2. No brokering activity or proposal to engage in a brokering activity(b) 已经从临时进口国政府那里获得临时进口授权[许可]的
from or within the territory of another country may be carried out or pursued证据或已经出示书面核查证据以证明不需要此种授权;
by any person who is a citizen of or resident in [name of State] without(c) 在目的国内开展预期活动的证据;
complying with the requirements of paragraph 1 of this article.(d) 关于不会在临时出口许可规定的临时转让期间将从
3. Before it issues the licence [authorization], [name of licensing[国家名称 ] 临时运送的枪支及其零部件和弹药用于出售或以其他
authority] may require verification of the information submitted by the provision of original or certified copies of the documentation required in support方式永久转让给其他人的声明 / 承诺。
of the application. Commentary Article 15, paragraph 1 (b), of the Protocol suggests licensing or authorization of brokering as a measure to regulate the activities of brokers. Brokering activities can be conducted in the broker’s country of nationality, residence or registration; they can also be conducted in another country. The firearms do not necessarily pass through the territory of the country where the brokering activity is conducted, nor does the broker necessarily take ownership of the firearms. This provision allows a State to exercise jurisdiction over individuals and entities brokering firearms, their parts and components and ammunition from its own territory and expands jurisdiction to cover its nationals, permanent residents and companies when they conduct arms brokering activity abroad. This provision also covers brokering activities regardless of whether the items pass through the territory of the State where the brokering activity is conducted. States can decide whether they want to require a licence for each brokering transaction or to issue a general licence (see article 57 below). Part Three. Non-mandatory provisions 79 Drafting note Where a State has chosen to include A. Registration of brokers in its legislation, the following provision should be added to this article: 4. Each person applying for a licence [written authorization] to engage in any brokering activities [or associated brokering activities] relating to firearms, their parts and components and ammunition shall, in making their4. 不得从 [ 国家名称 ] 临时运送超过 [......] 只枪支和(或)
licence [authorization] application, first be registered to operate as a broker超过 [......] 发弹药。
of firearms, their parts and components and ammunition.评注
Article 55. Application for a brokering activity licence关于第 3(c)段,例如,可要求申请人出示有关在目的国参加贸易交流会、展览或打猎或
An application for a licence [authorization] for a brokering activity运动射击活动的邀请函。
relating to firearms and/or their parts and components and/or ammunition起草者还应考虑限制对可从其国家临时运送的枪支、枪支零部件和弹药的数量。鉴于
shall be made in the prescribed form and manner to [name of licensing正在从事的一些具体合法活动(例如,展览),起草者在考虑这种限制时,应牢记什么是
authority].合理的做法。
Drafting note Option 1 (Regulation provision) An application for a licence for brokering activities relating to firearms and/or their parts and components and/or ammunition shall be submitted on form [name/number] and (if applicable) accompanied by the required fee of [amount]. The application shall be signed and dated and must contain the information requested on the form, including: (a) The identity of the applicant, including address and domicile of the company, person responsible within the company and contact person; (b) A copy of the signed contract or draft contract, giving the specific details of the buyer of the goods, type, quantity and value of firearms, their parts and components or ammunition covered by the intended brokering activity; (c) A certified end-use certificate stipulating the end-use and final destination of the items in the manner set out in [see annex I, article 61 (End-user certificate)]; (d) The name of the State from which the equipment is to be sourced and to which it is to be exported, even if it is not transported via [name of State]; (e) At the request of [name of licensing authority], [any] other documents enabling a proper assessment of the case; (f) Full details of all parties involved, including the financial arrangements for the transaction. 80 Model Law on Firearms, Their Parts and Components and Ammunition Depending on the circumstances of the case it may not be possible to obtain copies of all such information when an application is being considered. States might consider issuing a licence on the condition of receiving further documentation before the licence is valid for use. Information on subcontractors and financial/insurance arrangements Taking into account the widespread use of subcontracting, a State might also require the names of all subcontractors to be involved in the transaction as a means of screening of individuals and companies. In its report on brokering (A/62/163 and Corr.1), the Group of Governmental Experts recommended that States ensure that such closely associated brokering activities are adequately regulated by law, including transport and financing activities, in cases of illicit brokering in small arms and light weapons involving in particular violations of United Nations Security Council arms embargoes. A State could choose to regulate those activities by broadening its definition of what constitutes “brokering” or regulate those other activities (such as transport如果一个国家选择采用简化程序作为其简化程序制度的一部分,它可以允许边界检查
and financing activities) through other legislation (for example, through the站的主管人员在物品实际通过边界时签发临时出口许可证。申请临时出口许可证时必须
banks act or transport of dangerous goods act).填写的申请表可在出境地或在装运地海关领取。
Article 56.5.
Criteria for assessing a brokering activity licence application临时出口许可证应载有临时出口许可证持有人的名称和
[Name of licensing authority] shall consider brokering activity licence地址、转让的具体合法目的,并且应详细说明其有效期,在任何
applications on a case-by-case basis and in accordance with the criteria set情况下有效期都不得超过 [......天]。
out in [see annex I, article 55 (Criteria for assessing an export licence评注
application)] of this Law. Commentary The granting of a licence to engage in brokering activity should be assessed prior to its approval or disapproval against a list of criteria similar to that which an export licence is assessed against. A suggested list of possible criteria is set out in annex I, article 55. Article 57. General licences Where deemed appropriate, [name of licensing authority] may issue a general licence for specified brokering activities in relation to a specified list of low-risk destinations and/or end-users. Commentary States may opt for issuing of a general licence that would constitute a broad grant of authority to persons engaged in these specified activities. If a general Part Three. Non-mandatory provisions 81 licence has been granted, the licensee does not need to apply for a licence for each individual brokering activity transaction. The names of low-risk destinations and/or end-users should be specifically set out in the accompanying regulations or the legislation itself and would function as a limited exception to the licensing system. This could include trade within a trading zone or very close commercial partners. In some States, general licences remain in force until they are revoked by the relevant authority. Alternatively, a State could choose to issue a general licence for a specified time frame. Article 58. Revocation or amendment of a brokering activity licence [authorization] A licence [authorization] for brokering activities relating to firearms, their parts and components and ammunition may be revoked or amended prior to its expiration by [name of licensing authority] if: (a) False information has been supplied in order to obtain the《枪支议定书》第10条第6款所规定的例外限制只适用于“临时”出口、进口和过境,因此,
licence;需要确定时限。86 打击非法制造和贩运枪支及其零部件和弹药示范法
(b) The details contained in the licence have changed;6. 从 [ 国家名称 ] 临时运送的枪支、枪支零部件和弹药
(c) The conditions on the licence are not fully complied with;不得在临时出口许可证规定的临时转让期内向他人出售,或以
(d) An arms embargo has been imposed on the country of destination其他方式进行永久转让。
since the licence was issued;7. 在离开 [ 国家名称 ] 之前,临时出口许可证持有者应向
(e) The situation in the recipient country has changed significantly;[海关当局名称]进行许可证注册。
(f) There is an increased risk of diversion from the stated end-user;8. 从 [ 国家名称 ] 临时运送的所有枪支及其零部件和弹药
or (g) The stated end-use(r) changes. Article 59. Licence conditions for a brokering activity licence 1. A brokering activity licence is subject to any conditions imposed on the licence by the licensing authority. 2. The holder of a brokering activity licence shall comply with any condition to which the licence is subject. 3. The licensee shall comply with the record-keeping requirements specific to brokers as set out in chapter V of this Law. 4. The licence shall not be transferred to another person.82 Model Law on Firearms, Their Parts and Components and Ammunition Article 60. Validity of a brokering activity licence [authorization] 1. A specific period of validity shall be assigned to a brokering activity licence [authorization] by [name of licensing authority]. 2. A brokering activity licence [authorization] expires: (a) On the date specified in the licence; (b) If surrendered by the holder of the licence to [name of licensing authority] prior to the date specified in the licence. 3. The period of validity of a brokering activity licence [authorization] may be extended on application to and approval from [name of licensing authority]. 4. Applications for extensions of the period of validity shall be submitted in writing to [name of licensing authority] before the expiry date lapses, otherwise a new licence [authorization] application will be required. Commentary The period of validity for a licence [authorization] should be of sufficient duration to ensure that a brokering transaction can realistically be completed. Part Three. Non-mandatory provisions 83 Section B. optional provisions Chapter XVII. Simplified procedures for temporary import, export and transit Commentary As stated in article 10, paragraph 6, of the Protocol, States may choose to adopt simplified procedures to allow private individuals to temporarily import or export firearms, their parts and components and ammunition for verifiable lawful purposes such as hunting, sport shooting, evaluation, exhibitions or repair. This list of activities in the Protocol is not exhaustive. It should also be noted that under article 8, paragraph 1 (b), of the Protocol additional import markings need not be affixed where firearms are imported temporarily for “verifiable lawful purposes”. This provision applies only in cases where States have opted to introduce simplified procedures in accordance with article 10, paragraph 6, of the Protocol. As noted in the Legislative Guide (paragraph 113), legislation establishing simplified procedures for temporary import or export for verifiable lawful purposes could involve creating a parallel set of forms (e.g. application and permit forms) and issuance criteria and procedures, or an expansion or adjustment to the application forms used for import and export licences to permit them to be used for this purpose. It could also involve expedited procedures, such as allowing the issuance of licences by control officers at border points when items actually cross borders or at the point of shipment or receipt once in a country. It is at the discretion of a State whether to adopt such procedures or to develop other further safeguards where appropriate. However, the underlying concepts— that the owner of the firearms, their parts and components and ammunition does not change in a temporary import, export or transit and that a temporary transfer cannot be converted into a permanent transfer—must be maintained.(未以其他方式用于合法授权之活动的)均应在临时出口许可证
If a State decides to adopt simplified procedures, it should ensure that they到期之前退还[国家名称]。凡获得临时出口许可证者,均应在返回
comply with the scope and purpose of the Protocol.[国家名称]之后,向入境港口[海关当局名称]出示其许可证以及
Drafters creating simplified procedures could consider the inclusion of a作为其许可证主体的枪支及其零部件以及未用完的弹药,作为上述
number of provisions, such as:先前被运出 [ 国家名称 ] 的枪支、弹药或其部件已经还回 [ 国家
(a) Ensuring that basic information identifying the firearms and the temporary importer or exporter is collected in order to facilitate the tracing of名称 ]且根据[ 国家名称 ] 之法律由上述人员合法拥有的证据。
firearms, their parts and components and ammunition under the Protocol;第 63 条 . 临时进口许可
(b) Setting a time frame for which temporarily imported firearms, their parts1. 在逐一个案的基础上,出于可核查的合法目的的,非
and components and ammunition may remain in their country and draft safeguards to ensure that temporarily imported items are re-exported back to the[ 国家名称 ] 居民可将枪支及其零部件和弹药临时输入 [ 国家
State of origin. If such transactions take place within this limited time frame, it名称],但条件是非居民应[ 国家名称] 的入境口岸提供:
would be unnecessary to keep records for the full 10 years required by article 7 84 Model Law on Firearms, Their Parts and Components and Ammunition(a) 合法拥有枪支及其零部件和弹药的证据;
of the Protocol. However, to ensure that the option for simplified procedures for(b) 由其原籍国主管当局签发的临时运送许可证,说明临时
temporary imports does not create an obstacle to tracing, domestic law should运送的持续时间,或者证明根据该原籍国法律不需要此种许可证
require that records be kept until the re-export of the firearm is confirmed;的证据;
(c) Legislators could also require evidence that the transaction is for a verifiable lawful purpose;(c) 关于在[ 国家名称] 开展预期活动的证据;
(d) Associated offences can be established for exporting to a State other(d) 关于不会在临时进口许可规定的临时转让期间将临时
than the State from which the firearms, their parts and components and ammunition were temporarily imported; where a simplified permit or authorization运进 [ 国家名称 ] 的枪支及其零部件和弹药用于出售或以其他
system is required by the national legislation, an associated offence for cases方式永久转让给其他人的声明/承诺。 2. 不得将超过 [......] 只枪支和(或)超过 [......] 发弹药
where the simplified permit or authorization was not obtained;临时输入[ 国家名称]。第三部分 .
not re-exporting非强制性条款 87
within the time limit; and offences relating to the giving of false or misleading评注
information on permit or authorization forms.关于第 1款 (c)项,例如,可要求申请人出示在目的国参加贸易交流会、展览或打猎或
Article 61. Simplified procedures for a temporary import,运动射击活动的邀请函。 起草者还应考虑限制可临时输入其国内的枪支、枪支零部件和弹药的数量。
export or transit permit3. 非居民应在进入[ 国家名称] 的入境口岸进行申请,海关
1. [Name of licensing authority] may apply simplified procedures to人员应进行检查,且 [ 海关当局 ] 应签发临时进口许可证,该
the terms of chapter VII of this Law for the temporary import, export and许可证应在离开后交给海关人员。 4. 临时进口许可证应包含许可证持有者的名称和地址、具体 的合法转让目的,并且应具体说明其有效期,该有效期无论如何
transit of firearms, their parts and components and ammunition for verifiable不得超过[......天]。
lawful purposes.5. 无论是否有人随行(但不得邮寄),枪支、枪支零部件
2. For the purpose of this Law, verifiable lawful purposes shall include和弹药都必须与非居民的行李或物品放在一起。 6. 凡拥有临时进口许可证者,均应在携带、保存、安全保管、 运输和展示此种枪支及其零部件和弹药方面遵守依照[ 法律名称] 所确定的安全和安保要求。 7. 作为临时进口许可证主体的任何枪支及其零部件和弹药 均必须为该人员专用,不得在 [ 国家名称 ] 境内向他人出售或以 其他方式永久转让给他人。 8. 当临时进口许可证的持有者离开 [ 国家名称 ] 时,与所 签发临时进口许可证有关的枪支及其零部件以及未使用的弹药均
hunting, sport shooting, evaluation, exhibitions, repairs and other activities必须与该许可证的持有者一起随行。
to which this article is deemed applicable by [name of licensing authority]9. 利用本条款之下所签发的许可证临时进口的任何物品均
on a case-by-case basis.不受[ 第8条(进口时的枪支标识)] 条款的管辖。88 打击非法制造和贩运枪支及其零部件和弹药示范法
Commentary第 64 条 . 临时过境许可
As the Legislative Guide notes, the simplified procedures apply to private individuals.1.
These Model Law provisions therefore do not apply to temporary通过 [ 国家名称 ] 的所有过境者都应在 [ 国家名称 ] 的
imports, exports or transit by groups or persons such as foreign military personnel of an international mission (e.g. peacekeeping forces), official representatives入境口岸申报其出于可核查合法目的而持有的任何枪支、枪支
of foreign Governments or law enforcement officers of foreign Governments.零部件和弹药。[ 海关主管当局官员名称 ] 应对其进行检查,
Article 62. Temporary export permit[ 海关当局名称 ] 应签发临时过境许可证。临时过境许可证应在
1. Firearms, their parts and components and ammunition may be temporarily exported from the territory of [name of State] by a resident of [name通过 [ 国家名称 ] 的过境期内有效,并且应在离开 [ 国家名称 ] 时
of State] to engage in a verifiable lawful purpose as authorized by [name of交还[ 海关当局名称]。
licensing authority] on a case-by-case basis.评注
2. Prior to the temporary removal from [name of State], the resident各国可考虑临时过境许可证在枪支和枪支零部件未实际经过本国领土但只是通过本国机场
shall apply for a temporary export permit on form [name of specific form]或其他入境点过境而非实际经过本国领土(或领水)的例外情况。
[or other temporary removal application document].Part Three. Non-mandatory provisions 852. 如果枪支持有者及其载有枪支的行李将通过某种公共
3. In addition to the provision of the information required on form运输工具进行运送而不离开 [ 国家名称 ] 的海关管辖区以继续其
[name of specific form] [or other temporary export application document]旅程的,则不需要进行申报,如果该枪支持有者能够在任何海关
the resident shall provide:人员提出要求后根据原籍国以及目的国的法律证明其拥有该枪支
(a) Proof of legal ownership of the firearm(s), their parts and components and ammunition;是出于可核查的合法目的。
(b) Proof that a temporary import authorization [permit] from the foreign Government of the country of temporary import has been obtained or评注
written verification has been presented that no such authorization is required;起草者可考虑本条款对因离开过境国海关领土而不需要申报和重新寄存其行李的过境旅客
(c) Proof of the intended activity in the country of destination;通过其国家的适合性。
(d) A declaration/undertaking that no firearm, firearm part, component第 65 条 . 记录保管
or ammunition temporarily removed from [name of State] will be sold, or[许可当局名称或其他主管当局] 应负责保管单位与签发枪支
otherwise permanently transferred, to another person during the period of及其零部件和弹药临时运送和临时进口许可证有关的记录,包括
the temporary transfer that is specified on the temporary export permit.保管枪支及其零部件和弹药的入境及退还日期等记录。此记录应
4. Not more than [...] firearms and/or not more than [...] rounds of保留 [......年 ]。第三部分 . 非强制性条款 89
ammunition shall be temporarily removed from [name of State].评注
Commentary如果临时运送或进口枪支、枪支零部件或弹药是在某个有限时间段内进行,则没有必要
With regard to paragraph 3 (c), applicants could, for example, be required to按照《枪支议定书》第 7条的要求将记录保存满 10年。但是,为了确保选择临时运送
produce an invitation to a trade show, exhibition or a hunting or sport shooting或进口许可证简化程序不会给追查枪支设置障碍,国内法应要求在确认枪支及其零部件和
activity in the country of destination.弹药被退还原籍国之前保存记录。
Drafters should also consider limiting the number of firearms, firearm parts第 66 条 . 关联罪行
and components and rounds of ammunition that can be temporarily removed评注
from their State. In considering such limitations drafters should bear in mind各国可考虑针对未能遵守简化程序条款之行为设定关联罪行。如有必要,起草者还应根据
what is reasonable given the specific lawful activities being undertaken (for其国内法律框架考虑这些罪行的犯罪意图的适当级别。
example, exhibitions).第 67 条 . 未经许可或授权的临时进口、出口或过境
Where a State chooses to introduce expedited procedures as a part of its1. 凡从或经过 [ 国家名称 ] 领土进口、出口或过境运送任何
simplified procedures system, it could allow the issuance of temporary export枪支及其零部件和弹药至其他国家者 [ 视情况需要,具体说明
permits by control officers at border points when the items actually cross borders. Forms that must be completed for a temporary export permit could be意图 ],未经合法授权或获得本法第 62 至 64 条意义上所签发的
made available for completion at a customs office at the point of departure or许可证,构成某种犯罪。
at the point of shipment.2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后被
5. The temporary export permit shall contain the name and address处以[......有期徒刑] 和(或)[....../ 以下罚款 ][......类罚款]。
of the temporary export permit holder and the specific lawful purpose of第 68 条. 向临时进口枪支国以外的国家出口
the transfer, and shall specify the duration of its validity, which in any case1. 凡向 [ 国家名称 ] 临时进口枪支及其零部件和弹药并将该
shall not exceed [... days].物品用于再出口或转运给他人或其他国家者 [ 视情况需要,具体
Commentary说明意图 ],构成某种犯罪。
The limitation of the exception established by article 10, paragraph 6, of the2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后被
Protocol extends only to “temporary” exports, imports and transit, which therefore requires that time limits be established. 86 Model Law on Firearms, Their Parts and Components and Ammunition处以[......有期徒刑] 和(或)[....../以下罚款 ][......类罚款]。90 打击非法制造和贩运枪支及其零部件和弹药示范法
6.第 69 条 .
No firearm, firearm part, component or ammunition temporarily违反临时出口、进口或过境许可的效力
removed from [name of State] shall be sold, or otherwise permanently transferred, to another person during the period of the temporary transfer that is1. 凡根据某一临时出口许可证将枪支或其零部件或弹药运出
specified on the temporary export permit.[ 国家名称 ] 且未在临时出口许可证的有效期内将这些枪支及其
7. Prior to departure from [name of State], the temporary export permit零部件或弹药归还[ 国家名称 ] 者[ 视情况需要,具体说明意图],
holder shall register the permit with [name of customs authority].构成某种犯罪。
8.2.
All firearms, their parts and components and ammunition (not犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后被
otherwise expended for the lawful activity authorized) that are temporarily处以[......有期徒刑] 和(或)[....../以下罚款][......类罚款]。
removed from [name of State] shall be returned to [name of State] before第 70 条. 在临时出口、进口或过境许可表上
the expiration of the temporary export permit. Any person who has been提供虚假或错误信息
issued a temporary export permit shall, upon return to [name of State],1. 如果出于获得本法第 62 至 64 条之下某种许可证之目的,则
present their permit and the firearm(s), parts and components and unspent具有以下情形者[ 视情况需要,具体说明意图 ] :
ammunition that are the subject of the permit to [name of customs authority](a) 做出虚假或误导性或遗漏重大事实陈述的;或
at the port of entry, as proof that such firearms, their parts and components(b) 提供的文件或信息中含有虚假陈述或不如实陈述或遗漏
and ammunition were previously taken out of [name of State], have been重大事实的;
returned to [name of State] and are lawfully possessed under the laws of构成某种犯罪。
[name of State] by such person.2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后被
Article 63. Temporary import permit处以 [......有期徒刑] 和(或)[....../以下罚款][......类罚款]。91
1. Firearms, their parts and components and ammunition may be temporarily imported into [name of State] for a verifiable lawful purpose on a附件一
case-by-case basis by a non-resident of [name of State], provided that at the需要考虑的补充事项
point of entry into [name of State] the non-resident shall provide:评注
(a) Proof of legal ownership of the firearm(s), their parts and components and ammunition;《示范法》附件一载有补充文本草案,其目的是对《示范法》中所载强制性条款草案进行补充。不
(b) A temporary removal permit issued by the competent authority要求各国为了遵守《关于打击非法制造和贩运枪支及其零部件和弹药的补充议定书》而将这些条款
of his or her country of origin, indicating the duration of the temporary纳入其国内立法。本附件中的文本草案体现了源于国内实践和现有除《枪支议定书》以外关于枪支
removal, or proof that no such permit was required under the laws of the问题的全球和区域文书的最佳做法和原则。本附件的目的是协助各国自行通过并实行一种范围更加
State of origin;广泛的枪支及其零部件和弹药立法制度,以便对本议定书强制性条款进行补充。
(c) Proof of the intended activity in [name of State];A. 制造
(d) A declaration/undertaking that no firearm, firearm part, component评注
or ammunition temporarily imported into [name of State] will be sold, or本条款草案属于建议性条款,其目的在于协助各国实际建立一种许可或授权制造商制造枪支弹药的
otherwise permanently transferred, to another person during the period of综合制度。
the temporary transfer that is specified on the temporary import permit.1. 对制造商的许可
2. Not more than [...] firearms and/or not more than [...] rounds of第1条. 许可标准
ammunition shall be temporarily imported into [name of State]. Part Three. Non-mandatory provisions 871. 除非 [ 许可当局名称 ] 认定申请人符合依据 [ 列明许可标准附属
Commentary细则的名称 ] 所确定的许可标准,否则 [ 许可当局名称 ] 不得发放有关
With regard to paragraph 1 (c), applicants could, for example, be required to制造枪支[ 及其零部件 ] 或弹药的许可证。
produce an invitation to a trade show, exhibition or a hunting or sport shooting起草说明
activity in the country of destination.《枪支议定书》未规定许可标准应适用于许可决定或许可标准是什么。但是,在授予制造许可的管辖
Drafters should also consider limiting the number of firearms, firearm parts区域,某些标准无疑适用于申请人。鉴于所涉细节的程度,此种标准可能更适合于附属立法或实施
and components and rounds of ammunition that can be temporarily imported细则,而不是主要立法。根据最佳做法,许可标准应包括三类,一类与个人性格(道德态度、犯罪 92 打击非法制造和贩运枪支及其零部件和弹药示范法
into their State.记录、与犯罪组织或黑手党等组织有没有联系等)有关,另一类与权限和能力(制造的技术要求)有关,
3. A declaration by the non-resident shall be made at the point of还有一类与整个国家价值观(公共安全、国家利益等)有关。
entry into [name of State], an inspection by a customs officer is made and下述清单是源自国内立法和欧安组织《关于对制造小武器和轻武器实施国家管制的最佳做法
[name of customs authority] issues a temporary import permit that shall to指南》(第四章第 2节,第5页)的良好做法。
be presented to the customs officer upon departure.1
4.1.
The temporary import permit shall contain the name and address如果未满足以下条件,[ 许可当局名称 ] 不得签发制造枪支或
of the permit holder and the specific lawful purpose of the transfer, and shall弹药的许可证:
specify the duration of its validity, which in any case shall not exceed [...(a) 申请人或与申请有关的任何负责人达到或超过[国家最低法定
days].成人年龄或以上];和
5. The firearm(s), part(s) and component(s) and ammunition must评注
be with the non-resident’s baggage or effects, whether accompanied or学徒期:如果国家允许学习枪支制造业的监督学徒期可从低于法定成人年龄起算,则起草者需要考虑
un accompanied (but not mailed).是否可向未达到国家法定成人年龄者发放临时或有限许可证。
6. Any person in possession of a temporary import permit shall comply with the safety and security requirements established by [name of law] with respect to the carrying, storage, safe custody, transport and display of such firearms, their parts and components and ammunition. 7. Any firearm, its parts and components and ammunition that are the subject of a temporary import permit shall be for that person’s exclusive use and shall not be sold or otherwise permanently transferred to another person in [name of State]. 8. When the holder of the temporary import permit leaves [name of State], the firearm(s), firearm parts and components and unspent ammunition with respect to which the temporary import permit is issued shall accompany the holder of the permit. 9. Any items temporarily imported with a licence issued under this article are exempt from the provisions of [article 8 (Marking of firearms at import)].88 Model Law on Firearms, Their Parts and Components and Ammunition Article 64. Temporary transit permit 1. All persons in transit through the territory of [name of State] shall make a declaration at the point of entry into [name of State] of any firearm(s), firearm parts and components and ammunition in their possession for a verifiable lawful purpose. An inspection by an officer of [name of customs authority] shall be made, and [name of customs authority] shall issue a temporary transit permit. The temporary transit permit shall be valid for the period of transit through [name of State] and shall be surrendered to [name of customs authority] on departure from [name of State]. Commentary States may consider exceptions for temporary transit permits where the firearm, firearm parts and components and ammunition are not physically moved through the territory of the State but are in transit through an airport or other point of entry into the State but are not physically moved through the territory (or territorial waters) of the State. 2. No declaration shall be required if the person and his or her baggage containing the firearms will be transiting through a public transportation facility without leaving the customs jurisdiction of [name of State] to continue his or her onward journey, if the firearms possessor can demonstrate upon demand from any customs officer that such possession is for a verifiable lawful purpose in accordance with the laws of the State of origin and the State of destination. Commentary Drafters can consider the suitability of this provision for travellers in transit through their State who do not need to declare and redeposit their luggage by leaving the customs territory of the State of transit. Article 65. Record-keeping [Name of licensing authority or other competent authority] shall be responsible for keeping the records related to the issuance of temporary removal and temporary import permits of firearms, their parts and components and ammunition, including record-keeping of the entry and date of return of the firearm(s), firearm part, component or ammunition. Such records shall be kept for [... years].Part Three. Non-mandatory provisions 89 Commentary If temporary removal or import of a firearm, firearm part, component or ammunition takes place within a limited time frame, it will be unnecessary to keep records for the full 10 years as required by article 7 of the Protocol. However, to ensure that the option for simplified procedures for temporary removal or import permits does not create an obstacle to tracing, domestic law should require that records be kept until the return of the firearm, firearm parts or components or ammunition to the country of origin is confirmed. Article 66. Associated offences Commentary States can consider establishing associated offences for failure to comply with the simplified procedure provisions. Where necessary, drafters should also consider the appropriate level of mens rea for those offences in accordance with their national legal framework. Article 67. Temporary import, export or transit without permit or authorization 1. Every person who [specify level of intent, as appropriate] imports, exports or transits any firearms, their parts and components and ammunition from or across the territory of [name of country] to another State without legal authorization or a permit issued in accordance with articles 62 to 64 of this Law commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Article 68. Exporting to a State other than the State from which the firearms were temporarily imported 1. Every person who [specify level of intent, as appropriate] temporarily imports firearms, their parts and components and ammunition into [name of State] and re-exports or re-transfers those items to another person or to another State commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. 90 Model Law on Firearms, Their Parts and Components and Ammunition Article 69. Breaching the validity of a temporary export, import or transit permit 1. Every person who [specify level of intent, as appropriate] removes firearms, or their parts and components or ammunition from [name of State] pursuant to a temporary export permit and does not return those firearms, or their parts and components or ammunition to [name of State] within the duration of the temporary export permit commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Article 70. Giving false or misleading information on temporary export, import or transit permit forms 1. Where for the purpose of obtaining a permit under articles 62 to 64 of this Law, a person who [specify level of intent, as appropriate]: (a) Makes a statement that is false or misleading, or omits a material fact; or (b) Furnishes a document or information containing a false statement or misrepresenting or omitting a material fact; commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be liable to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category].91 Annex I Additional considerations Commentary Annex I to the Model Law contains additional draft text designed to supplement the draft mandatory provisions contained in the Model Law. States are not required to incorporate these provisions into their national legislation in order to comply with the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition itself. The draft text in this annex reflects best practices and principles derived from national practice and existing global and regional instruments on firearms other than the Protocol. This annex is designed to assist States to adopt and implement, at their discretion, a more extensive legislative regime on firearms, their parts and components and ammunition, supplementing the mandatory provisions of the Protocol. A. Manufacturing Commentary These draft provisions are suggested provisions to help States ensure that they have a comprehensive system of licensing or authorizing manufacturers in place. 1.  Licensing  of manufacturers Article 1. Licensing criteria 1. [Name of licensing authority] shall not issue a licence to manufacture firearms [, their parts and components] or ammunition unless [name of licensing authority] is satisfied that the applicant fulfils the licensing criteria established under [title of subsidiary regulations where the licensing criteria will be listed]. Drafting note The Protocol does not stipulate that licensing criteria should be applied to licensing decisions or what those criteria should be. However, in jurisdictions where manufacturing is licensed, invariably certain criteria are applied to applicants. Given the level of detail involved, such criteria may be better suited to subsidiary legislation or regulations rather than primary legislation. According to best practices, licensing criteria should include three categories, related to personal character (moral attitude, criminal record, the absence of any link to criminal or mafia-like organizations, etc.), competence and ability 92 Model Law on Firearms, Their Parts and Components and Ammunition (technical requirements to manufacture) and general national values (public safety, national interest, etc.). The list below constitutes good practice derived from national legislation and the OSCE “Best practice guide on national controls over manufacture of small arms and light weapons” 1 (chapter IV, section 2, page 5): 1. [Name of licensing authority] shall not issue a licence to manufacture firearms or ammunition unless: (a) The applicant or any responsible person in relation to the application is of or above the age of [country’s age of majority or above as the minimum age]; and Commentary Apprenticeships. Drafters will need to consider whether provisional or restricted licences may be issued to persons who are below the age of majority in countries where supervised apprenticeships to learn the trade of firearms manufacture may be taken up at an age that is below the age of majority. (b) [Name of licensing authority] is satisfied that: (i) The applicant and all responsible persons in relation to the application: a. Are fit and proper persons; b. Can carry on the business without being a danger to public safety; c. Have sufficient financial resources to sustain the business; d. Can comply with the storage requirements set out in [title of the subsidiary or other regulations governing safe storage at the time of manufacture]; and e. Have completed a competency test [prescribed by the regulations]; (ii) The persons whom the applicant is proposing to employ in the business are fit and proper persons; (iii) All close associates of the applicant are fit and proper persons; (iv) The premises specified in the application are suitable to carry on the business of manufacturing firearms or ammunition; (v) The issue of the licence is not against the public interest or the activity to be conducted under the licence is not contrary to the interests of national security; and (vi) All the information provided by the applicant as part of the application process is true and accurate. 2. For the purposes of paragraph 1 (b)(iv) of this article, premises are deemed suitable premises for manufacturing firearms or ammunition if: 1 Organization for Security and Cooperation in Europe, Handbook of Best Practices on Small Arms and Light Weapons (Vienna, 2003), part I; available from www.osce.org/files/documents/e/a/13616.pdf.Annex I. Additional considerations 93 (a) [Insert references to the relevant regulations or other provisions, for example, legislation pertaining to occupational health and safety within factories or other business premises; legislation pertaining to specific licensing requirements for carrying on certain dangerous activities; and so on]; (b) The storage facilities located at the premises comply with the requirements set out in [insert an annex to this Law containing storage requirements for manufacturers or insert the title of the subsidiary or other regulations governing safe storage at the time of manufacture]. Commentary Article 11 of the Protocol requires States to take “appropriate measures” to require the security of firearms, their parts and components and ammunition at the time of manufacture, in order to detect, prevent and eliminate their theft, loss or diversion. The Protocol does not specify what those measures should be and so it is up to States to determine the nature of the required security measures (further optional guidance on this is available in the International Small Arms Control Standards, module 05.20, “Stockpile management: weapons”, and module 05.21, “Stockpile management: ammunition”). In some jurisdictions, this involves a requirement that firearms, their parts and components and ammunition be stored in a safe and secure way by the manufacturer in order to prevent theft, loss and diversion. The scope of the requirements vary from simply ensuring that the stock cannot be accessed by the public to detailed provisions regarding the dimensions of the vault that stores the stock, the number of people who must guard the stock and the surveillance equipment that must be employed. The specifications of the storage requirements are often contained in separate, subsidiary regulations that can be easily updated as security technology develops. 3. For the purposes of paragraph 1 (b)(iii) of this article, an applicant is a fit and proper person to carry on the business of being a manufacturer if: (a) The applicant has not, within a period of [ten years] before the application was made, been convicted in [name of State] or elsewhere of [insert relevant(b) [ 许可当局名称 ] 认为:
offences] [an offence contained in this Law], whether or not the offence is an offence(i) 申请人以及与申请有关的所有负责人:
under [name of State] law; anda. 属于适合且适当的人; b. 能够开展这项业务,而不会危害公共安全;
(b) The applicant is not [nor has he or she ever been] a member or associatec. 有足够的经济资源来维持这项业务;
of an organized criminal group;.
and能够遵守 [ 有关制造时进行安全保管的附属细则或其他
(c) The applicant does not suffer from a mental [or physical] condition that细则的名称 ] 中规定的保管要求;和 e. 完成了 [ 实施细则规定的]能力测试; ii) 申请人打算雇用从事本行业的人属于适合且适当的人;
makes him or her unsuitable to operate as a manufacturer; and(iii) 申请人的所有亲密合伙人都是适合且适当的人; iv) 申请中具体说明的场所适合开展制造枪支或弹药之业务;
(d) The applicant does not have a record of substance abuse involving drugsv) 发放许可证不违背公共利益或依据该许可证开展的活动不违背
or alcohol; and国家安全利益;且
(e) The applicant can demonstrate that he or she is of good character throughvi) 申请人提供的作为申请程序一部分的所有信息真实和准确。 2. 为了本条第 1 款 (b)(iv) 项之目的,满足以下条件的场所将被
the provision of references to that effect.视为适合制造枪支或弹药的场所:
Commentary1
There is no requirement under the Protocol that States only allow “fit and proper persons”洲安全与合作组织,《小武器和轻武器最佳做法手册》(维也纳,2003年),第一 部分;可访问:www.osce.org/files/documents/e/a/13616.pdf附件一 . 需要考虑的补充事项 93
to obtain manufacturing licences. Established legal practice in national systems differs(a) [ 插入相关实施细则或其他条款的参考,例如,关于工厂或
and accordingly it is difficult to reach a single, generic definition of what “fit and proper” 94 Model Law on Firearms, Their Parts and Components and Ammunition其他营业场所内部职业健康与安全的立法;关于开展某些危险活动的
entails. It is up to States to determine what the character requirements are, if any, for a具体许可要求的立法;等等 ];
person to obtain a manufacturer’s licence.(b) 位于场所之内的保管设施符合 [ 插入载有制造商保管要求的
Article 2.本法附件,或插入关于制造时安全保管的附属细则或其他实施细则的 名称] 中规定的要求。 评注 《枪支议定书》第 11条要求各国为了侦查、预防和杜绝枪支及其零部件和弹药的失窃、丢失或转移 用途,应在制造时采取“适当措施”,确保枪支及其零部件和弹药的安全。本议定书并未具体说明 应当采取何种措施,因此,各国可自行确定此种必要安保措施的性质(有关这方面的补充任择指南见 《国际小武器管制标准》(模块05.20,“库存管理:武器”和模块 05.21,“库存管理:弹药”)。在 有些管辖区域,这涉及到对制造商为了防止失窃、丢失或转移用途而以某种安全可靠的方式保存枪支 及其零部件和弹药的要求。此种要求的范围从简单到详细,不尽相同,有的只是确保库存不让公众 接触到,有的则涉及到存储货物的储藏室规模、护卫库存所需的人员数量以及必须采用的监测设备等 详细条款。保管技术规范要求通常载入随安全技术发展便于更新的单独附属细则之中。 3.
Review of a decision not to issue a licence为了本条第 1 款 (b)(iii) 项之目的,符合以下条件的制造商 将被视为适合开展制造业务的合适人选,如果:
A person who has applied for a licence under this chapter may apply to [name(a) 在提出申请之前 [ 十年 ] 期内,申请人未在 [ 国家名称 ] 或
of body authorized to review licensing decisions] for a review of a decision of [name别处被判犯有 [ 插入相关罪行 ][ 本法所载某种罪行 ],无论是否属于
of licensing authority]:[国家名称] 法律之下的某种罪行;且
(a) Not to issue a licence; or(b) 申请人不是[也未曾是]某个有组织犯罪集团的成员或合伙人;且
(b) To impose conditions on the licence.(c) 申请人未患有使其不适合成为制造商的精神[或身体]疾病;且
2.  General provisions applying  to manufacturer’s  licences(d) 申请人未有涉及毒品或酒精之类药物滥用的记录;且 (e) 申请人可以通过提供介绍人的方式证明其拥有良好的个人品质。
Commentary评注
The following provisions constitute suggested provisions pertaining to the procedural and《枪支议定书》未对国家只允许“适合和适当的人”获得制造许可证做出要求。各国制度中的既定 做法存在差别,因此难以得出一个单一通用的“适合和适当的”定义。各国可自行规定获得制造许可
administrative elements of a system for licensing manufacturers.证的人需达到的品质要求(如有)。94 打击非法制造和贩运枪支及其零部件和弹药示范法 第2条. 对不发许可证的决定进行复核
Article 3. Application for a manufacturer’s licence依据本章之规定申请许可证者可以向 [ 受权复核许可裁定的机构 名称]申请对[ 许可当局名称] 的以下裁定进行复核:
1. A person who is making an application for a licence to manufacture firearms or ammunition under this chapter shall make that application to [name of(a) 不发许可证的;或
licensing authority].(b) 对许可证施加限制条件的。 2. 适用于制造许可证的一般条款 评注 以下条款构成与许可制造商制度的程序和行政要件有关的建议条款。 第3条. 制造许可证的申请 1. 依据本章规定申请枪支或弹药制造许可证者必须向 [ 许可当局 名称 ] 提出申请。
2.2.
An application shall be in the form and manner approved by [name of licensing authority].申请必须按照[许可当局名称] 批准的形式和方式提出。
3.3.
An applicant shall pay the fee prescribed for the licence application.申请人必须按照规定支付许可证申请费用。
Article 4.第4条.
Information required for an application for a manufacturer’s licence申请制造许可证所需的信息
1.1.
An application by a natural person for a licence under this chapter shall be accompanied by:自然人依照本章之规定提出的申请必须附上:
(a) Proof of the identity of the applicant, including:(a) 申请人的身份证明,包括:
(i) Name;(i) 姓名;
(ii) Physical address;(ii) 实际地址;
(iii) Recent photograph;(iii) 近期照片;
(b) Proof of the identity of any person the applicant proposes to employ in the business, together with:(b) 以及申请人打算雇用并从事本业务的任何人员的身份证明:
(i) Name;(i) 姓名;
(ii) Physical address;Annex I.(ii) 实际地址;附件一 .
Additional considerations 95需要考虑的补充事项 95
(iii) Recent photograph;(iii) 近期照片;
(c) A full set of the applicant’s fingerprints;(c) 申请人的全部指纹;
(d) A full set of the fingerprints of any person the applicant proposes to(d) 申请人打算雇用从事本业务的任何人员的全部指纹;
employ in the business;(e) 证明已经顺利完成[附件一,第1条.
(e) A competency certificate demonstrating satisfactory completion of the许可标准第1款(b)(i)(e)项]
competency test described in [annex I, article 1 (Licensing criteria), paragraph 1 (b)所述能力测试的能力证明; (f) 证明具有 [ 附件一,第 1 条 . 许可证标准第 3 款 (e) 项 ] 所述 之良好品质的介绍人; (g) 根据 [ 附件一,第 1 条 . 许可证标准第 3 款 (c) 和 (d) 项 ] 所 要求的任何体检证明; (h) 有关即将制造的武器的信息; (i) 从事本业务的场所地址;和 (j) [ 许可当局名称 ] 要求的其他信息。 评注 起草者不妨考虑将申请制造许可证所需的详细信息列入附属立法或实施细则而不是列入主要 立法。 2. 法人依照本章之规定提出的申请必须附上: (a) 本公司的创立文件、《公司章程》或其他被许可业务的证明; (b) 关于即将制造的武器的信息; (c) 公司符合[国家保护专利和国家机密信息标准的名称]的证明;和 (d) 关于申请人公司中外国管制和(或)所有权的信息; 评注 除其他外,欧安组织《制造小武器和轻武器国家管制最佳做法指南》(第四章,第 3条,第 6 页)尤其规定,应向指定许可当局提供上述第 4条第 2款 (a)至 (d)项所述信息的正本或公证 副本。 (e) 法人的每一位高级职员的身份,包括:
(i)(e)];(i) 姓名;和
(f) References demonstrating good character as described in [annex I, article 1 (Licensing criteria), paragraph 3 (e)];(ii) 实际地址;96 打击非法制造和贩运枪支及其零部件和弹药示范法
(g) Any medical certificate required in accordance with [annex I, article 1(f) 针对即将签发的许可证的场所,指定负责该场所日常业务管理
(Licensing criteria), paragraph 3 (c) and (d)];的负责人;
(h) Information on the weapons to be manufactured;(g) 上述负责人以及申请人准备雇用从事本业务的任何人员的身份
(i) The address of the premises where the business will be conducted; and (j) Such other information as [name of licensing authority] requests. Commentary Drafters may wish to consider including the details of the information required for an application for manufacturer’s licence in secondary legislation or regulations rather than in the primary legislation. 2. An application by a body corporate for a licence under this chapter shall be accompanied by: (a) The company’s founding documents, articles of incorporation or other proof of licensed business; (b) Information on the weapons to be manufactured; (c) Proof that the company meets [title of State’s standards for protection of proprietary and state classified information]; and (d) Information on foreign control and/or ownership in the applicant company; Commentary The OSCE “Best practice guide on national controls over manufacture of small arms and light weapons” states (chapter IV, section 3, page 6) that, inter alia, original documents or certified copies of the information identified in paragraph 2 (a)­(d) of article 4 above should be provided to the designated licensing authority. (e) The identity of each of the officers of the body corporate, including:证明,包括:
(i) Name; and(i) 姓名;
(ii) Physical address;96 Model Law on Firearms, Their Parts and Components and Ammunition(ii) 实际地址;
(f) With respect to the premises for which the licence is to be issued, nominate the person who will be responsible for the day-to-day management of the(iii) 近期照片;
business on those premises;iv) 上述负责人的全部指纹以及申请人准备雇用从事本业务的任何
(g) Proof of the identity of the responsible person and any person the人员的全部指纹; (h) 证明上述负责人以及申请人准备雇用从事本业务的任何人员 已经顺利完成 [ 附件一,第 1 条 . 许可标准第 1 款 (b)(i)(e) 项 ] 所述
applicant proposes to employ in the business, including:能力测试的能力证明; (i) 证明上述负责人具有 [ 附件一,第 1 条 . 许可证标准第 3 款 (e) 项]所述之良好品质的介绍人; (j) 根据 [ 附件一,第 1 条 . 许可证标准第 3 款 (c) 和 (d) 项 ] 所 要求的与上述负责人有关的任何体检证明; (k) 从事本业务的场所地址;和 (l) [ 许可当局名称] 要求的其他信息。 第 5 条. 制造许可证的细节 根据本章之规定发放的许可证必须具体说明: (a) 如果许可证持有者是自然人,许可证所有者的姓名和住址; (b) 如果许可证所有者是法人,制造商的名称、法人地位和注册地; (c) 许可证的发放日期; (d) 许可证的到期日期; (e) 被许可的活动; (f) 许可当局的名称; (g) 以下人员的近期照片: (i) 如果是向自然人发放的许可证,该自然人的;或 (ii) 如果是法人,负责人的; (h) 以下人员的签字: (i) 如果是向自然人发放的许可证,该自然人的;或 (ii) 如果是法人,负责人的; (i) 该许可证适用的业务场所的实际地址;附件一 . 需要考虑的补充事项 97 (j) [ 本法实施细则或载有制造商安全保管要求的指南的名称 ] 中 所述保管要求的摘要; (k) 根据 [ 附件一,第 6 条 . 对制造许可证的限制 ] 可能适用于该 许可证的任何限制条件; (l) 根据 [《示范法》第 6 条和附件一第 7 条(制造许可证的许可 条件)]可能适用于该许可证的任何条件。 评注 欧安组织《制造小武器和轻武器国家管制最佳做法指南》规定,小武器和轻武器制造许可证应当至少 载有上述第 5条(b)至 (f)项所述信息(第四章,第3条,第6页)。 第6条. 对制造许可证的限制 1. 制造许可证必须受到 [ 许可当局名称 ] 对该许可证施加的任何 限制。 2. 制造许可证的持有者应遵守该许可证施加的任何限制。 3. 在未影响本条第 1 款之规定的情况下,每一张许可证均必须 受到以下条件的限制: (a) 不得将该许可证转让给其他人;和 (b) [ 其他限制]。 起草说明 许可当局可对制造商的业务施加限制,这种限制应从国内立法和许可证上体现出来。例如,可对以下 方面实施限制: 可制造的枪支或弹药的数量; 制造的枪支或弹药的类型(例如,在某些管辖区域,自动武器等某些类型的武器是被禁止的, 且制造商只能受权制造可以合法持有的枪支); 支的出售或转让(例如,制造商只能受权向获得许可的个人或经销商出售枪支,或用于出口); 造商可以参与的活动(例如,制造商可能被禁止从事重新启用、转用或重新启用枪支); 和(或) 可证的可转让性(例如,将许可证转为他人名下不应当是合法行为。可对例外情况 做出规定,例如,在制造商死亡时,将许可证转给其遗产执行人或遗产管理人,或是在98 打击非法制造和贩运枪支及其零部件和弹药示范法 出现制造商破产或资不抵债的情况时,为了结束制造业务之目的,将许可证转给破产 管理人)。 第7条. 制造许可证的许可条件 评注 除了《示范法》第6条草案中所规定的强制性许可条件之外,起草者还可考虑以下其他条件: 每一张制造许可证都必须受以下补充条件的限制: (a) 被许可人必须在任何合理的时间内允许警方人员(或实施细则 可能规定的其他人员)对被许可人依据 [《示范法》第五章 ] 所持有的 信息和记录进行检查; (b) 被许可人必须遵守 [ 附件一,第 38 条(应提交的报告)] 规定 的关于提交报告的要求。 起草说明 可能没有必要将 (a)和 (b)都纳入国内法律。根据所选择的记录保管制度的不同,各国可能会偏重于 其中一种。例如,如果选择由制造商负责保管记录,则只需要对这种记录进行检查。但是,如果选择 由国家保管所有被许可活动的记录,就需要定期提交报告,详细介绍所发生的被许可活动。 (c) 被许可人必须在任何合理的时间内允许警方人员(或实施细则 可能规定的其他人员)对被许可人所持有枪支的保管设施进行检查;和 (d) 被许可人必须按照以下要求,向 [ 许可当局名称 ] : i) 在[被许可人知晓]许可证上所确定之被许可人场所发生的任何 失窃或丢失行为之后二十四小时内,通报此种失窃或丢失的情况; ii) 在 [ 七日 ] 内通报被许可人开展制造业务场所地址变更的任何 情况; iii) 在 [ 七日] 内通报被许可人所使用保管设施变更的任何情况; iv) 在[七日]内通报本业务所雇任何人员身份变更的任何情况;和 v) 被许可人是法人的,在 [ 七日 ] 内通报公司高级职员身份变更 的任何情况。附件一 . 需要考虑的补充事项 99 评注 因为制造许可证的授予取决于是否提供某些信息和证明文件,故许可当局必须了解此种信息或证明 文件中的任何变更,特别是在涉及到许可的其他条件(例如,保管设施)时。 第8条. 许可条件的变更 1. [ 许可当局名称 ] 可能随时变更针对制造许可证规定的任何 条件。 2. 依据本章之规定对某种条件进行的变更应自向许可证持有者 发出变更通知之后起生效。 第9条. 对变更许可条件的决定进行复核 制造许可证的持有者 / 被许可人可向 [ 许可当局名称 ] 提出 申请,要求对 [ 许可当局名称 ] 变更许可证上的任何条件的决定进行 复核。 第 10条. 许可证的有效期 制造许可证应在自发放日期或随后许可证的延期日期起 [......] 年 期内有效,除非根据 [ 附件一,第 6 条(对制造许可证的限制)] 之 规定提前交出或取消或以其他方式停止生效。 第 11 条. 制造许可证的延期 1. 在依据本章规定授予的许可证期满后,持有者可以向 [ 许可 当局名称]申请对许可证进行延期。 2. 申请必须按照[ 许可当局名称] 批准的形式和方式提出。 3. 由法人提出申请的,如果与许可证有关的任何负责人已在许可 证有效期发生变化,则申请必须附上: (a) 上述新人员的身份证明;和 (b) 每个人的全部指纹。100 打击非法制造和贩运枪支及其零部件和弹药示范法 [4. 除了本条第 3 款所述要求之外,如果未向 [ 许可当局名称 ] 披露延期申请人的亲密合伙人,则申请必须附上: (a) 说明上述任何亲密合伙人的姓名和地址的一份声明;和 (b) 上述任何亲密合伙人的全部指纹,在无法获得全部指纹的情况 下,如果 [ 许可当局名称 ] 提出这方面要求,应提供与该亲密合伙人 有关的任何已知信息。] 5. 申请人必须按规定金额支付许可证延期的费用。 6. [ 许可当局名称 ] 可以给许可证延期或拒绝延期,如果是延期, [ 许可当局名称 ] 可改换或变更许可证上列明的条件或在许可证上规定 补充条件。 评注 《枪支议定书》未对各国实行许可证延期制度做出要求。但是,作为一个实际问题,许可制度应包括 做出规定,准许领有许可证者在一定期限到期后重新申请或续延许可证。一种替代办法是将每一个 许可证申请都作为是对新许可证的重新申请。 第 12 条 . 在考虑延期申请期间许可证继续有效 如果许可证持有人依据 [ 附件一,第 11 条(制造许可证的延期)] 之规定申请对许可证予以延期,且未在许可证到期日期之前对申请做出 决定的,则该许可证被视为继续有效,直到就申请做出决定。 第 13 条 . 制造许可证的延期条件 如果 [ 许可当局名称 ] 认为不具备以下条件,则 [ 许可当局名称 ] 不得对制造许可证予以延期: (a) 申请人、申请人的所有亲密合伙人、与申请有关的所有负责人 以及业务中所雇用的任何人员都是适合且适当的人员; (b) 申请中指定的场所适合开展制造业务; (c) 申请人能够遵守 [ 本法实施细则或载有制造商安全保管要求的 指南的名称 ] 中所述保管要求;以及附件一 . 需要考虑的补充事项 101 (d) 对许可证的延期不会危害公共利益。 第 14条 . 对许可证不予延期的决定进行复核 依据本章之规定申请对许可证予以延期者可向 [ 受权复核许可决定 的机构名称 ] 提出申请,要求其对 [ 许可当局名称 ] 拒绝许可证延期的 决定进行复核。 3. 制造许可证的中止、取消和转让 第15条. 制造许可证的中止 1. 如果 [ 许可当局名称 ][ 基于合理理由 ] 认为可能有理由依据 [ 附件一,第 16 条(制造许可证的取消)] 之规定取消某一许可证,则 其可以中止该制造许可证。 2. 如果 [ 许可当局名称 ] 决定中止某一许可证,则其必须将中止 该许可证的通知送达该许可证的持有人。 3. 本条第2 款之下的通知应: (a) 说明许可证被中止;且 (b) 说明[ 许可当局名称] 认为有理由取消该许可证;且 (c) 列出取消理由;且 (d) 说明许可证持有人可以就这一提议提交书面材料且任何书面 材料均必须在发出该通知之后28日内提交。 4. 在接到本条第 2 款所述许可证中止通知之后 28 日内,许可证 持有人可向 [ 许可当局名称 ] 提交书面材料,回答有关取消许可证的 所谓理由。 5. 在接到被许可人根据本条第4款提交的任何书面材料之后[14日] 之内,[许可当局名称]应向被许可人送达一份通知,证实: (a) [ 许可当局名称]已经接到并审查该书面材料;和 (b) 对许可证的中止:
(i) Name;(i) 继续;或
(ii) Physical address; (iii) Recent photograph; (iv) A full set of the responsible person’s fingerprints and of the fingerprints of any person the applicant proposes to employ in the business; (h) A competency certificate demonstrating satisfactory completion of the competency test described in [annex I, article 1 (Licensing criteria), paragraph 1 (b) (i)(e)] with respect to the responsible person and any person the applicant proposes to employ in the business; (i) References demonstrating the good character of the responsible person as described in [annex I, article 1 (Licensing criteria), paragraph 3 (e)]; (j) Any medical certificate pertaining to the responsible person required in accordance with [annex I, article 1 (Licensing criteria), paragraph 3 (c) and (d)]; (k) The address of the premises where the business will be conducted; and (l) Such other information as [name of licensing authority] requests. Article 5. Particulars of a manufacturer’s licence A licence issued under this chapter shall specify: (a) If the licence holder is a natural person, the name and residential address of the licence holder; (b) If the licence holder is a body corporate, the name, corporate status and place of registration of the manufacturer; (c) Date of issue of the licence; (d) Date of expiry of the licence; (e) Licensed activity; (f) Name of the licensing authority; (g) A recent photograph of: (i) In the case of a licence issued to a natural person, that person; or (ii) In the case of a body corporate, the responsible person; (h) The signature of: (i) In the case of a licence issued to a natural person, that person; or (ii) In the case of a body corporate, the responsible person; (i) Physical address of the business premises to which the licence applies; Annex I. Additional considerations 97 (j) A summary of the storage requirements set out in [name of accompanying regulations to the Law or guidelines containing safe storage requirements for manufacturers]; (k) Any restrictions that may apply to the licence in accordance with [annex I, article 6 (Restrictions on a manufacturer’s licence)]; (l) Any conditions that may apply to the licence in accordance with [article 6 of the Model Law and annex I, article 7 (Licence conditions for a manufacturer’s licence)]. Commentary The OSCE “Best practice guide on national controls over manufacture of small arms and light weapons” states that a licence to manufacture SALW should, at a minimum, contain the information specified in subparagraphs (b)­(f) of article 5 above (chapter IV, section 3, page 6). Article 6. Restrictions on a manufacturer’s licence 1. A manufacturer’s licence is subject to any restrictions imposed on the licence by [name of licensing authority]. 2. The holder of a manufacturer’s licence shall comply with any restrictions to which the licence is subject. 3. Without prejudice to paragraph 1 of this article, each licence is subject to the following restrictions: (a) The licence may not be transferred to another person; and (b) [Other restrictions]. Drafting note Licensing authorities may impose restrictions on the operations of manufacturers that should be reflected in the national legislation and on the licence itself. For example, restrictions may be imposed on: The quantity of firearms or ammunition that can be manufactured. The types of firearm or ammunition that can be manufactured (e.g. in some jurisdictions, certain types of weapon such as automatic weapons are prohibited and manufacturers may only be authorized to manufacture firearms that can be legally possessed). The sale or transfer of firearms (e.g. manufacturers may only be authorized to sell firearms to licensed individuals or dealers, or for export). The activities manufacturers can engage in (e.g. manufacturers may be prohibited from reactivating, converting or reactivating firearms). And/or The transferability of the licence (i.e. it should not be lawful to transfer the licence into the name of another person. Exceptions may be made, for example, for the transfer of the licence to an executor or administrator in the event of the death of 98 Model Law on Firearms, Their Parts and Components and Ammunition the manufacturer or to the trustee in bankruptcy if the manufacturer becomes bankrupt or insolvent, for the purposes of winding up the business). Article 7. Licence conditions for a manufacturer’s licence Commentary In addition to the mandatory licence conditions in draft article 6 of the Model Law, drafters can consider the following other conditions: Each manufacturing licence is subject to the following additional conditions: (a) The licensee shall, at any reasonable time, permit inspection by a police officer (or such other person as may be prescribed by the regulations) of the information and records held by the licensee in accordance with [chapter V of the Law]; (b) The licensee shall comply with the requirement to submit reports under [annex I, article 38 (Reports to be submitted)]; Drafting note It may not be necessary to include both subparagraphs (a) and (b). The preference of one over the other will depend on which system of record-keeping the State chooses. For example, if the State chooses the system whereby the responsibility to maintain records rests with the manufacturer, then an ability to inspect those records is appropriate. If, however, the State chooses a system whereby all records of licensed activities are retained by the State, then it will need regular submission of reports detailing licensed activities that have been conducted. (c) The licensee shall, at any reasonable time, permit inspection by a police officer (or such other person as may be prescribed by the regulations) of the licensee’s facilities with respect to the storage of the firearms in the licensee’s possession; and (d) The licensee shall notify [name of licensing authority] of: (i) Any theft or loss of any item from the licensee’s premises identified on the licence, within twenty-four hours of [the licensee becoming aware of] such theft or loss; (ii) Any change in address of the premises where the licensee carries on the business of manufacturing, within [seven days]; (iii) Any change in the storage facilities used by the licensee, within [seven days]; (iv) Any change in the identity of any person employed by the business, within [seven days]; and (v) Where the licensee is a body corporate, any change in the identity of the officers of the company within [seven days].Annex I. Additional considerations 99 Commentary Since the granting of a manufacturer’s licence is dependent on the provision of certain information and documentation, it is important that the licensing authority be aware of any change in that information or documentation, especially where it relates to other conditions of the licence (such as the storage facilities). Article 8. Variation of licence conditions 1. [Name of licensing authority] may, at any time, vary any condition imposed on a manufacturer’s licence. 2. The variation of a condition under this chapter takes effect upon the giving of notice of that variation to the holder of the licence. Article 9. Review of a decision to vary licence conditions The holder of a manufacturer’s licence/licensee may apply to [name of licensing authority] for a review of a decision of [name of licensing authority] to vary any of the conditions on the licence. Article 10. Duration of licences A manufacturer’s licence continues in force for a period of [...] years from the date of issue or the date of subsequent renewal of the licence, which is specified in the licence, unless it is sooner surrendered or cancelled or otherwise ceases to be in force in accordance with [annex I, article 6 (Restrictions on a manufacturer’s licence)]. Article 11. Renewal of a manufacturer’s licence 1. Before the expiration of a licence granted under this chapter, the holder may apply to [name of licensing authority] for renewal of the licence. 2. An application shall be in the form and manner approved by [name of licensing authority]. 3. In the case of an application by a body corporate, if any of the responsible persons in relation to the licence have changed during the course of the licence, the application shall be accompanied by: (a) Proof of the identity of the new persons; and (b) A full set of each person’s fingerprints. 100 Model Law on Firearms, Their Parts and Components and Ammunition [4. In addition to the requirements of paragraph 3 of this article, if there is a close associate of the applicant for renewal who has not been disclosed to [name of licensing authority], the application shall be accompanied by: (a) A statement setting out the name and address of any such close associate; and (b) A full set of the fingerprints of any such close associate or, if it is not possible to obtain a full set of such fingerprints, if [name of licensing authority] so requires, any known information about the close associate.] 5. The applicant shall pay the appropriate fee prescribed for the renewal of licences. 6. [Name of licensing authority] may renew or refuse to renew a licence and, if a licence is to be renewed, [name of licensing authority] may alter or vary the conditions on the licence or impose further conditions on the licence. Commentary There is no requirement in the Protocol that States must implement a system whereby licences can be renewed. However, as a practical matter, a licensing system should include provisions whereby a licence expires after a certain term and the licensee may renew or continue that licence. An alternative is to treat each licence application as a fresh application for a new licence. Article 12. Continuation of a licence during consideration of an application for renewal If a licence holder has applied for renewal of a licence under [annex I, article 11 (Renewal of a manufacturer’s licence)] and that application has not been determined before the date of expiry of the licence, the licence is deemed to continue in force, on and from that date, until the determination of the application. Article 13. Conditions of renewal of a manufacturer’s licence [Name of licensing authority] shall not renew a manufacturer’s licence unless [name of licensing authority] is satisfied that: (a) The applicant, all close associates of the applicant, all the responsible persons in relation to the application and any persons employed in the business are fit and proper persons; (b) The premises specified in the application are suitable to carry on the business of being a manufacturer; (c) The applicant can comply with the storage requirements set out in [title of accompanying regulations to the Law or guidelines containing safe storage requirements for manufacturers]; andAnnex I. Additional considerations 101 (d) The renewal of the licence is not against the public interest. Article 14. Review of a decision not to renew a licence A person who has applied for renewal of a licence under this chapter may apply to [name of body authorized to review licensing decisions] for review of a decision of [name of licensing authority] not to renew the licence. 3.  Suspension,  cancellation and  transfer of manufacturer’s  licences Article 15. Suspension of a manufacturer’s licence 1. [Name of licensing authority] may suspend a manufacturer’s licence if it is satisfied [on reasonable grounds] that there may be grounds for cancelling the licence under [annex I, article 16 (Cancellation of a manufacturer’s licence)]. 2. If [name of licensing authority] decides to suspend a licence, it shall serve notice of the suspension of the licence on the holder of the licence. 3. A notice under paragraph 2 of this article shall: (a) State that the licence is suspended; and (b) State that [name of licensing authority] is satisfied that there are grounds for the cancellation of the licence; and (c) Set out those grounds; and (d) State that the holder of the licence may make written submissions on the proposal and that any written submissions made must be made within 28 days of the giving of the notice. 4. Within 28 days of receiving a notice of the suspension of a licence under paragraph 2 of this article, the holder of the licence may make written submissions to [name of licensing authority] responding to the proposed grounds for the cancellation of the licence. 5. Within [14 days] of receiving any written submissions from the licensee in accordance with paragraph 4 of this article, [name of licensing authority] shall serve a notice on the licensee confirming that: (a) [Name of licensing authority] has received and reviewed the written submissions; and (b) The suspension of the licence is: (i) Continued; or (ii) Revoked.(ii) 撤销。
6.6.
The suspension ends when: 102 Model Law on Firearms, Their Parts and Components and Ammunition中止期在以下情况下结束:102 打击非法制造和贩运枪支及其零部件和弹药示范法
(a) [Name of licensing authority] gives the licensee a written notice revoking(a) [许可当局名称]向被许可人发出书面通知,撤销中止行为的;或
the suspension; or(b) 依据本法之规定取消许可证。
(b) The licence is cancelled under this Law.7. 被许可人无权在中止期内继续制造枪支或弹药。 第16 条 . 制造许可证的取消
7.1.
The licensee is not authorized to manufacture firearms or ammunition如果具有以下情形,[ 许可当局名称 ] 可以取消制造枪支
during the suspension.[ 零部件 ] 或弹药的许可证:
Article 16. Cancellation of a manufacturer’s licence(a) 被许可人已经停止开展制造业务 [ 且已经根据本法之规定将 许可证转让给另一人或实体] 的;
1. A licence to manufacture firearms [, their parts and components] or ammunition may be cancelled by [name of licensing authority] if:(b) [ 许可当局名称 ] 有合理的理由认为被许可人有意提供与申请
(a) The licensee has ceased to carry on business as a manufacturer [and the许可证有关的虚假或误导性信息的;
licence has not been transferred to another person or entity in accordance with this(c) 被许可人不再履行 [ 附件一,第 1 条(许可标准)] 中规定的
Law];全部要求的; (d) 被许可人严重违反根据 [ 附件一,第 6 条(对制造许可证的 限制)] 之规定对许可证规定的某项限制的; (e) 被许可人严重违反根据 [《《示范法》》第 6 条和附件一, 第7条(制造许可证的许可条件)之规定对许可证规定的某项条件的; (f) 被许可人违反本法之中某项条款 [ 无论被许可人是否犯有与 上述违反行为相关的某项罪行] 的;或 (g) [ 许可当局名称 ] 已确定被许可人不再适合持有制造许可证的。 2. 如果 [ 许可当局名称 ] 决定取消某项许可证,则其应向该许可 证的持有人送达取消通知。 3. 本条第2款之下的通知应: (a) 说明许可证被取消;且
(b) [Name of licensing authority] is satisfied on reasonable grounds that the(b) 说明[许可当局名称] 认为有理由取消该许可证;且
licensee knowingly gave information that was false or misleading in relation to the(c) 列出取消理由;且
application for the licence;(d) 说明许可证持有人可以就这一提议提交书面材料且任何书面
(c) The licensee no longer fulfils all of the requirements in [annex I, article 1材料均必须在发出该通知之后28日内提交。附件一 . 需要考虑的补充事项 103
(Licensing criteria)];评注
(d) The licensee has committed a material violation of one of the restrictions《枪支议定书》未规定制造许可制度必须包含允许取消许可证的条款。但是,许可当局有能力在许可证 到期之前取消许可证是有效许可制度的一个必要部分,可以确保在当事人违反许可条件或因未能对
imposed on the licence in accordance with [annex I, article 6 (Restrictions on a所制造武器进行标识而被判定犯有非法制造罪行时撤销制造许可证。
manufacturer’s licence)];第17条. 针对中止或取消的上诉权
(e) The licensee has committed a material violation of one of the conditions针对中止或取消许可证的上诉申请可以根据 [ 国家名称 ] 的适用 程序规则提出。 4. 财产的归还和处置 第18条. 枪支和文件材料的归还 如果制造许可证到期 [ 且未根据附件一第 11 条(制造许可证的 延期)予以延期的 ]、依据 [ 附件一第 15 条(制造许可证的中止)] 予以中止或依据 [ 附件一第 16 条(制造许可证的取消)] 予以取消,则 被许可人应在接到中止或取消通知之后[ 七] 日内,向[ 许可当局名称] 归还: (a) 被许可人 [ 在许可证确定的场所 ] 持有的所有枪支和弹药; (b) 制造许可证;和 (c) 被许可人持有的所有记录。 评注 如果一个人被要求在其制造许可证到期、中止或取消之后归还枪支及其制造许可证,则有必要根据 接到中止或取消通知的方式,对归还武器和文件材料的时间安排提出不同要求。 第19条. 被归还财产的销毁和处置
imposed on the licence in accordance with [article 6 of the Model Law and annex I,1. 领有许可证者根据 [ 附件一第 18 条(枪支和文件材料的归还)]
article 7 (Licence conditions for a manufacturer’s licence)];归还的所有枪支和弹药均应: (a) 根据 [ 附件或实施细则中详细说明的国家所选销毁方法 ] 予以
(f) The licensee has contravened a provision of this Law [whether or not销毁;或104 打击非法制造和贩运枪支及其零部件和弹药示范法 (b) 根据[ 主管当局名称] 的任何指示以其他方式予以处置。
the licensee has been convicted of an offence associated with the contravention];2. 根据本条第1款 (b) 项之规定对被归还枪支予以处置的: (a) 根据 [《示范法》第 10 条 ] 之规定在被归还枪支上打上一个
or识别标识;
(g) [Name of licensing authority] has determined that the licensee is otherwise unfit to hold a licence to manufacture.(b) 由 [ 主管当局名称 ] 根据 [《示范法》第 15 条 ] 之规定保存 有关处置这些被归还枪支所采用处置方法的书面记录; 3. 根据本条第 1 款 (b) 项之规定对被归还弹药予以处置的,由
2. If [name of licensing authority] decides to cancel a licence, it shall serve[ 主管当局名称 ] 根据 [《示范法》第 16 条 ] 之规定保存有关处置这些 被归还弹药所采用处置方法的书面记录。
notice of the cancellation of the licence on the holder of the licence.B. 标识
3.评注 本节分为三个部分: (a) 第 1部分涉及枪支的标识,并且载有旨在对《示范法》中有关强制性要求的文本予以 补充的文本(虽然《枪支议定书》并未对此做出要求); (b) 第 2部分涉及零部件的标识,以便为那些希望在零部件被组装成枪支之前建立零部件 标识制度的国家提供帮助(虽然《枪支议定书》并未对此做出要求); (c) 第 3部分涉及弹药的标识,以便为那些对弹药进行标识以期建立弹药包装标识制度的 国家提供帮助(虽然《枪支议定书》并未对此做出要求)。 1.
A notice under paragraph 2 of this article shall:枪支的标识
(a) State that the licence is cancelled; and(a) 初次标识
(b) State that [name of licensing authority] is satisfied that there are grounds第 20 条 . 检测时的标识(打样标识)
for the cancellation of the licence;1.
and凡制造枪支者均必须确保在[国家名称]内制造的所有枪支上:
(c) Set out those grounds; and(a) 由[ 指定打样机构 ] 进行打样;且
(d) State that the holder of the licence may make written submissions on the(b) 根据[有关打样标识的相关法律、细则或技术规范的名称]进行 打样标识;附件一 . 需要考虑的补充事项 105
proposal and that any written submissions made must be made within 28 days of[ 在枪支被出售或交付购买者之前 ][ 在枪支的制造工作完成之后......
the giving of the notice. Annex I. Additional considerations 103日内]。
Commentary2. 凡进口枪支者必须确保输入 [ 国家名称] 的每一把枪支:
The Protocol does not stipulate that a system of licensing manufacturers must include(a) 由[ 指定打样机构] 进行打样;且
provisions allowing for the licence to be cancelled. However, an ability on the part of the(b) 根据 [ 有关打样标识的相关法律、细则或技术规范的名称 ]
licensing authority to cancel a licence before it expires is a necessary element of an effective licensing regime so as to ensure that if a person violates the conditions of the licence进行打样标识;
or, for example, is convicted of illicit manufacturing by virtue of failing to mark manufactured[在枪支被出售或交付购买者之前 ][ 在进口枪支之后......日内]。
weapons, permission to carry on manufacturing activities can be withdrawn.评注
Article 17. Right of appeal against a suspension or cancellation《枪支议定书》没有要求在检测时对枪支进行标识。但是,那些属于枪支验印国际常设委员会
An application to appeal against a suspension or cancellation may be made in2
accordance with the applicable procedural rules of [name of State].成员
4.  Surrender  and  disposal of property的国家被要求在允许民用枪支进入市场之前对通过验印的枪支进行打样标识。各成员国应当已经制定
Article 18. Surrender of firearms and documentation了能够使其根据《联合国打击跨国有组织犯罪公约》规定的方法、限制和程序进行强制验印的立法。
When a manufacturing licence expires [and is not renewed under annex I,这些验印活动应由指定打样机构进行。 (b) 补充标识 第 21 条 . 国家取得时的标识(转让标识) 每一个公共机构均应确保,除了本法第 7、8、9、[10 和 11] 条所 要求的标识之外,其所取得的所有枪支 [ 为了用于执行其公共职能 ] 都要采取能够识别该机构身份的方式进行标识。 评注 法律出处:《国际追查文书》(第 8条 (d)项)要求各国“确保政府武装部队和安全部队持有的自用 小武器和轻武器......都要进行适当标识”。欧安组织《小武器和轻武器标识、记录保管和追查能力最 佳做法指南》 3 (第三章,第2(b)节,第6页)也建议那些希望提高其武器追查能力的国家可以考虑采 用适当的标识,以便根据武器的用途进一步区分这些武器。起草者可以选择这一条款列入行政指南或 条款之中,而非纳入国内立法。 2 支验印国际常设委员会有14个成员国:奥地利、比利时、智利、捷克共和国、芬兰、 法国、德国、匈牙利、意大利、俄罗斯联邦、斯洛伐克、西班牙、阿拉伯联合酋长国 和大不列颠及北爱尔兰联合王国。 3 洲安全与合作组织,《......最佳做法手册》,第二部分。106 打击非法制造和贩运枪支及其零部件和弹药示范法 (c) 标识方法 第22条. 枪支的标识方法 依据本章之规定进行标识的所有枪支均应根据 [ 本法实施细则的 名称或载有标识技术规范的指南 ] 中规定的技术规范 [ 通过打印永久 标志或将标识刻在枪身或机匣上的方式 ] 进行标识。 评注 《枪支议定书》并未具体说明必须采用的标识方法(说明应当在“打印”在被停用枪支之上的停用 标识除外(本议定书第9条(c)项))。各国应当制定具体说明枪支以及在适当时包括其零部件和弹药 的标识技术要求的细则或指南。即将出版的联合国毒品和犯罪问题办公室《执行枪支议定书技术指南》 以及《国际小武器管制标准》(模块 05.30,“标识和记录保管”)、《内罗毕议定书》和《南共体议定书》 中均载有关于可供采用的标识办法的其他任择指南。 2. 零部件的标识 (a) 初次标识
article 11 (Renewal of a manufacturer’s licence)], is suspended under [annex I,第23条. 制造时的零部件标识
article 15 (Suspension of a manufacturer’s licence)] or is cancelled under [annex I, article 16 (Cancellation of a manufacturer’s licence)], the licensee shall surrender1. 每一位零部件制造商都应根据本条第2款之规定在制造零部件
to [name of licensing authority]:时对每一个基本或主要零部件进行标识。
(a) All firearms and ammunition held by the licensee [at the premises identified on the licence];评注
(b) The manufacturing licence; and《枪支议定书》没有要求在制造时对零部件进行标识。但是,零部件的标识可能有助于防止非法贩运
(c) All records held by the licensee;被拆解的枪支,并且可能有助于对手工或自制生产进行管制。
within [seven] days of notification of the suspension or cancellation.2. 根据本条第 1 款之规定对 [ 国家名称 ] 境内制造的每一件基本 或主要部件或零件适用的唯一身份标识应表明:
Commentary(a) [ 国家名称]是制造国;
If a person is required to surrender firearms and their manufacturing licence upon the(b) 制造商名称;和
expiration, suspension or cancellation of that manufacturing licence, it may be necessary(c) 序号。附件一 . 需要考虑的补充事项 107
to factor in distinct requirements with respect to the timing of the surrender of weapons评注
and documentation that take account of the means by which notification of the suspension or cancellation was received.《枪支议定书》没有对标识零部件做出要求,由各国来确定其是否要求制造商对零部件进行标识以及
Article 19. Destruction and disposal of property surrendered这些标识的性质。 (b) 补充标识 第24条. 进口时的零部件标识 1. 进口零部件的每一个人或 [ 公共服务机构 ] 均应确保根据本条 第3款之规定在零部件被进口到[国家名称]之后[......日内]对每一个 基本零部件进行标识。 2. 本条第1款不适用于: (a) [出于可核查的合法目的] 临时进口的部件或零件; (b) 由某个人最初从 [ 国家名称 ] 出口的部件或零件,且此人在 [ 国家名称]境外继续拥有该部件或零件的所有权的;或 (c) 由某个公共服务机构最初从 [ 国家名称 ] 出口的部件或零件, 且此机构在 [ 国家名称] 境外继续拥有该部件或零件的; (d) [ 任何其他特殊情况 ]。 3. 根据本条第 1 款之规定对进口到 [ 国家名称 ] 境内的每一件 基本或主要零部件适用的唯一身份标识应表明: (a) [ 国家名称 ] 是进口国; (b) 进口年份; (c) [ 其他 ]。 评注 因为《枪支议定书》没有对标识零部件做出要求,故由各国来确定其是否要求在进口时对零部件进行 标识以及这些标识的性质。 (c) 标识方法 第25条. 零部件的标识方法 依据本章之规定进行标识的所有 [ 未组装的 ] 零部件均应根据 [ 本法实施细则的名称或载有标识技术规范的指南 ] 中规定的技术108 打击非法制造和贩运枪支及其零部件和弹药示范法 规范 [ 通过打印永久标志或将标识刻在枪身或机匣上的方式 ] 进行 标识。 评注 《枪支议定书》并未具体说明必须采用的标识方法(说明应当在“打印”在被停用枪支之上的停用 标识除外(《枪支议定书》第9条 (c)项))。各缔约国应当制定具体说明零部件标识技术要求的细则 或指南,并且要求对未组装零部件的标识要明显区别于已组装的枪支。 3. 弹药的标识 (a) 初次标识 第26条. 制造时的弹药标识
1.1.
All firearms and ammunition surrendered by a licensee in accordance with每一个制造弹药的人都应当在制造弹药时根据本条第 2 和 3 款
[annex I, article 18 (Surrender of firearms and documentation)] shall be:之规定对弹药进行标识。
(a) Destroyed in accordance with [specify the destruction method chosen by评注
the State detailed in an annex or accompanying regulations]; or 104 Model Law on Firearms, Their Parts and Components and Ammunition《枪支议定书》没有对制造弹药时的标识问题做出要求。不过,少数国家要求在制造时对弹药或
(b) Otherwise disposed of in accordance with any directions of [name of某些类型的弹药进行标识,且今后在此领域内的技术发展可能会提高制造商对弹药进行标识的
competent authority].能力。 西非经共体《小武器和轻武器及其弹药和其他相关材料公约》(第 18条第 3款)要求对弹药 进行标识,该条款规定: “(a) 标识应包括一个唯一批号、制造商身份以及制造国和制造年份。如果在制造时知道,还应 包括有关买方的身份和目的地的信息。这些细节必须至少一次性显示在装有弹药或爆炸物所用粉未或 液体的封装套(即弹壳)上。标识应使用阿拉伯字母和数字表示。 “(b) 最小的弹药包装应包括第3款(a)项所述信息。”
2.2.
Where surrendered firearms are disposed of in accordance with paragraph 1 (b) of this article:根据本条第 1 款之规定适用于在 [ 国家名称 ] 境内制造的弹药
(a) The surrendered firearms shall be marked with an identification mark in的身份标识应说明:
accordance with [article 10 of the Model Law];(a) 唯一批号;
(b) A written record of the methods of disposal used to dispose of those(b) 制造商名称;
surrendered firearms shall be maintained by [name of competent authority] in(c) [ 国家名称 ] 是制造国; (d) 制造年份。附件一 . 需要考虑的补充事项 109 3. 每一个制造弹药者都应在载有弹药的每一个包装上贴上一个 标签,说明: (a) 弹药的口径[规格 ] ; (b) 唯一批号; (c) 制造商名称; (d) [国家名称 ] 是制造国; (e) 制造年份。 评注 欧洲共同体第2008/51/EC号指令(修订后的第4条第2款)规定: “成员国应确保对完整弹药的每一个基本包装进行标识,以便提供制造商的名称、身份批号、 口径和弹药类型”。 (b) 补充标识 第27条. 进口时的弹药标识
accordance with [article 15 of the Model Law].1. 进口弹药的每一个人或[公共服务机构]均应确保根据本条第3款
3. Where surrendered ammunition is disposed of in accordance with paragraph 1 (b) of this article, a written record of the methods of disposal used to之规定在弹药被进口到[国家名称]之后[......日内]对弹药进行标识。 2. 本条第 1款不适用于: (a) [出于可核查的合法目的]临时进口的弹药; (b) 由某个人最初从[国家名称]出口的弹药,且此人在[国家名称]
dispose of that surrendered ammunition shall be maintained by the [name of境外继续拥有该弹药的所有权的;或 (c) 由某个公共服务机构最初从 [ 国家名称 ] 出口的弹药,且此 机构在 [ 国家名称 ] 境外继续拥有该部件或零件的;
competent authority] in accordance with [article 16 of the Model Law].(d) [ 其他特殊情况 ]。 3. 根据本条第 1 款之规定对进口到 [ 国家名称 ] 境内的弹药适用
B. Marking的唯一身份标识应表明 [ 如果贵国要求在进口时对弹药或弹药包装进行
Commentary标识,则在此插入标识要求的细节]。
This section is divided into three sections:评注 《枪支议定书》并未要求对进口弹药进行标识。110 打击非法制造和贩运枪支及其零部件和弹药示范法
(a) Section 1 relates to the marking of firearms and contains text designed to(c) 标识方法
supplement the Model Law text addressing the mandatory requirements (although this第28条. 弹药的标识方法
is not required under the Protocol);依据本章之规定进行标识的所有弹药均应根据 [ 本法实施细则的 名称或载有标识技术规范的指南 ] 中规定的技术规范 [ 通过在每个弹头 上打印永久微小标志的方式] 进行标识。 评注 各缔约国应当制定实施细则或指南,在需要对弹药进行标识时,对弹药标识的技术要求做出明确规定。 C. 记录保管 评注 这些建议条款对《枪支议定书》中有关记录保管的强制性条款予以补充。其中有很多条款可被载入 《示范法》的实施细则或附属立法。 1. 交易记录 第29条. 关于国内交易的信息 [ 许可当局名称 ][ 每一个被许可制造商 ] 应在交易登记册中保存 每一项交易的记录,该记录应包括以下信息: (a) 受让人的名称;
(b) Section 2 relates to the marking of parts and components, to assist States(b) 受让人的地址;
that wish to establish a system for marking parts and components before they become(c) 交易日期;
part of assembled firearms (although this is not required under the Protocol);(d) 被转让枪支、零部件或弹药的数量;
(c) Section 3 relates to the marking of ammunition, to assist States that mark(e) 对任何被转让枪支[ 零部件或弹药]适用的标识;
ammunition to establish a system for marking ammunition packaging (although this is(f) 每一支被转让枪支的构造、型号、序号、口径;
not required under the Protocol).(g) 许可证编号或表明被转让人有权接收枪支、零部件或弹药的
1.  Marking  of firearms其他证据的细节;
(a)  Initial markings(h) 被转让枪支、零部件或弹药的预期用途(例如,预期用于出口
Article 20.或国内使用);和 [(i) 其他:被转让人的指纹、武器的弹道样本]。附件一 .
Marking at the time of testing (proof marking)需要考虑的补充事项 111
1. Every person that manufactures a firearm shall ensure that every firearm评注
manufactured in [name of State] is:虽然在《枪支议定书》之下未做要求,但保管所有交易的登记册或记录涉及到枪支的出售和取得, 并且在可能的情况下,还会涉及到其零部件和弹药,所以保管该记录将有利于进行追查。 关于取得和拥有武器的欧洲理事会第 91/477/EEC号指令(第 4条)规定,在某个成员国 境内从业的经销商(被界定包括制造商)必须被要求保留经其收到和处理的枪支的登记册,包括 “能够便于识别武器的细节,特别是其类型、构造、型号、口径和序号以及供应商和取得武器者的名称和 地址”。 第30条. 关于出口的信息 除了根据 [ 附件一,第 11 条(制造许可证的延期)和第 12 条(在 考虑延期申请期间的许可证的持续)] 记录的信息之外,[ 许可当局名称] [ 每一个被许可进口商或出口商,视情况需要 ] 还应保留依据本法所 授予许可之下所出口全部物品的记录,包括:
(a) Proofed by [name of the accredited proof house]; and(a) 所有交易的日期;
(b) Marked with a proof mark in accordance with [title of relevant law, regulations or specifications on proof marks];Annex I. Additional considerations 105(b) 进口许可证或授权或任何其他起到进口授权作用的官方文件的
[before it is sold or delivered to the purchaser] [within ... days after the manufacture副本,包括发放国、发放日期和到期日期、授权机构的身份、最终收货 人和枪支和(或)零部件和(或)弹药的数量等细节; (c) 过境授权的副本(如果适用)。 (d) 出口商的名称、地址、电话号码及传真、商业机构的负责人或 代表的名称及签字、许可证和注册号码,如有(包括到期日期); (e) 枪支和(或)零部件和(或)弹药的来源,包括名称、地址和 电话号码; (f) 制造商的名称、地址以及所述物品的制造国; (g) 进口商的名称和地址; (h) 对出口枪支和(或)零部件和(或)弹药的说明(如果适用); 口径、规格或尺寸、型号、数量、货值以及序号;
of the firearm is complete].(i) 最终用户的名称和地址;
2. Every person that imports a firearm shall ensure that every firearm imported(j) 参与交易的任何其他当事人的名称和地址 [ 包括参与交易的 任何中介的名称(如果适用)、地址、电话号码和中介注册号码,以及
into [name of State] is:授权此项交易的中介许可证的公证副本 ] ;112 打击非法制造和贩运枪支及其零部件和弹药示范法
(a) Proofed by [name of the accredited proof house]; and(k) 按照 [ 附件一,第 61 条(最终用户证明)] 规定的方式出具 的最终用户证明 [ 包括枪支和(或)零部件和(或)弹药的最终用途和
(b) Marked with a proof mark in accordance with [title of relevant law, regulations or specifications on proof marks];目的地 ] ;
[before it is sold or delivered to the purchaser] [within ... days after the firearm is[(l) 关于运送枪支所要采用的路线、目的地、最终用途(用户)、
imported].过境国、转运、出入境港口以及任何其他相关路线信息的细节;]
Commentary[(m) 包括安全保管和运输在内安全和安保安排的细节,以防止枪支
There is no requirement under the Protocol that firearms be marked at the time of testing. However, States parties that are members of the Permanent International Commission及其零部件和弹药注入未经授权的个人或实体之手;]
for Firearms Testing or (CIP)[(n) 交易的银行和发放细节;] (o) 申请表要求的任何其他信息。
2第 31 条 . 关于进口的信息
are required to proof mark every successfully tested civilian除了根据 [ 附件一,第 11 条(制造许可证的延期)和第 12 条(在 考虑延期申请期间的许可证的持续)] 记录的信息之外,[ 许可当局名称 ]
firearm prior to putting it on the market. Member countries should already have legislation[ 每一个被许可进口商 ] 还应保留依据本法所授予许可之下所进口全部
in place that makes it compulsory to perform the tests according to the methods, limits物品的记录,包括:
and procedures established by the United Nations Convention against Trans national(a) 进口商的名称、地址、电话号码及 [ 注册号码,如有(包括
Organized Crime. These tests are carried out by accredited proof houses.到期日期)]; (b) 将从哪一个国家进口物品 [ 包括枪支和(或)零部件和(或) 弹药的来源,包括名称、地址和电话号码 ] ; (c) 所有交易日期; (d) 枪支和(或)零部件和(或)弹药的国外卖方及出口商的名称、 地址和电话号码,包括名称、地址和电话号码; (e) 对进口枪支和(或)零部件和(或)弹药的说明(如果适用), 包括(如果适用):口径、规格或尺寸、型号、数量、货值以及序号; (f) 进口的具体目的以及最终收货人的名称和地址(如果不同于 进口商); [(g) 关于运送枪支所要采用的路线、目的地、最终用途(用户)、 过境国、转运、出入境港口以及任何其他相关路线信息的细节;] (h) 参与交易的任何其他当事人的名称和地址 [ 包括参与交易的 任何中介的名称(如果适用)、地址、电话号码和中介注册号码,以及 授权此项交易的中介许可证的公证副本 ] ; (i) 申请表要求的任何其他信息。附件一 . 需要考虑的补充事项 113 第32条. 关于中介活动的信息 除了根据 [ 附件一,第 11 条(制造许可证的延期)和第 12 条(在 考虑延期申请期间的许可证的持续)] 记录的信息之外,[许可当局名称] [ 每一个被许可中介 ] 还应保留依据本法所授予中介许可之下所进行的 全部交易的记录,包括: (a) 中介的身份,包括公司、公司内部负责人以及联系人的地址和 住址;
(b)  Additional markings(b) 已签合同或合同草案的副本,提供有关预期中介许可证的枪支
Article 21. Marking at the time of acquisition by the State (assignment marking)及其零部件和弹药的货物买主、型号、数量和货值的具体细节; (c) 交易日期; [(d) 枪支和(或)零部件和(或)弹药的来源,如果是个人,包括 姓名、地址、电话和传真、居住国代码、公民身份,如果是商业机构或
Every public agency shall ensure that, in addition to the markings required政府单位,包括负责人或代表的姓名和签字;]
under articles 7, 8, 9, [10 and 11] of this Law, every firearm acquired by it [for[(e) 所涉物品的制造商名称及制造国;]
use in the execution of its public functions] is marked in such a way as to identify[(f) 货物的具体技术细节;]
the agency.(g) 经公证的最终用途证明,按照 [ 附件一,第 61 条(最终用途
Commentary证明)] 中所述方式说明物品的最终用途和最终目的地;
Source: The International Tracing Instrument (paragraph 8 (d)) requires States “to ensure[(h) 进口证明或许可的副本,包括发放国、发放日期、授权机构的 身份、授权进口的枪支和(或)零部件和(或)弹药数量;] [(i) 安全和安保安排的全部细节,包括防止枪支及其零部件和弹药
that small arms and light weapons in the possession of the government armed and流入未经授权的个人或实体之手的安全保管和运输细节;]
security forces for their own use ... are duly marked”. The OSCE “Best practice guide(j) 所有参与方的全部细节,包括财务/ 保险安排;
on marking, record-keeping and traceability of small arms and light weapons”(k) 设备来源国和出口国的名称,即使不通过[ 国家名称 ] 运输;
3[(l) 其他。] 2. 制造和处置记录 第 33 条 . 关于被销毁枪支及其零部件和弹药的信息 [ 主管当局名称 ] 应保留根据《示范法》第十三章之规定所销毁的 所有枪支、枪身或机匣或弹药的记录,包括以下信息:114 打击非法制造和贩运枪支及其零部件和弹药示范法 (a) 销毁方法; (b) 销毁日期; (c) 销毁理由; [(d) 其他;] (e) 如果被销毁物品是枪支,对每一个被销毁枪支的说明,包括: (i) 构造; (ii) 型号; (iii) 口径; (iv) 制造商名称; (v) 序号;和 (vi) 所有标识。 (f) 如果被销毁物品是零部件,对每一个被销毁零部件的说明, 包括: (i) 零部件的类型; (ii) 制造商名称;
(chapter III,(iii) 所有标识。
section 2 (b), page 6) also suggests that States wishing to improve the traceability of(g) 如果被销毁物品是弹药,对所有被销毁弹药的说明,包括:
their weapons may consider adopting appropriate markings to further distinguish these(i) 弹药类型;
weapons according to their use. Drafters may choose to include this in administrative(ii) 批号;
guidelines or provisions rather than in national legislation.(iii) 制造商名称;
2(iv) 所有标识;
There are currently 14 members: Austria, Belgium, Chile, Czech Republic, Finland, France,[(h) 其他。]
Germany, Hungary, Italy, Russian Federation, Slovakia, Spain, United Arab Emirates and United Kingdom评注
of Great Britain and Northern Ireland.《枪支议定书》未对被没收和销毁的枪支及其零部件或弹药所要保留的记录做出要求。但是,记录
3销毁活动有助于确保不让非法制造和贩运的枪支及其零部件或弹药进入流通环节(按照本议定书
Organization for Security and Cooperation in Europe, Handbook of Best Practices ..., part II.106 Model Law on Firearms, Their Parts and Components and Ammunition第 6条的要求)。
(c)  Method of marking3. 行政要求
Article 22.第34条.
Method of marking firearms关于被许可人的信息
All firearms marked under this chapter shall be marked [by permanently stamping or engraving the marking on the firearm’s frame or receiver] in accordance with1. [ 许可当局名称 ] 应保留关于持有根据本法所发放的枪支及其
the technical specifications provided in [name of accompanying regulations to the零部件或弹药[制造、进口、出口或中介]许可证的每一个人的信息记录,
Law or guidelines containing marking specifications]. Commentary The Protocol does not specify the method of marking that must be used (other than indicating that deactivation markings should be “stamped” on deactivated firearms (article 9, subparagraph (c), of the Protocol)). States should establish regulations or guidelines that specify the technical requirements for marking firearms and, where applicable, their parts and components and ammunition. Further optional guidance on possible methods of marking is provided in the forthcoming UNODC technical guide to the implementation of the Firearms Protocol, as well as the International Small Arms Control Standards, module 05.30, “Marking and record-keeping”, and in the Nairobi and SADC Protocols. 2.  Marking  of parts and  components (a)  Initial markings Article 23. Marking of parts and components at the time of manufacture 1. Every manufacturer of parts and components shall mark each essential or main part and component, at the time of manufacture, in accordance with paragraph 2 of this article. Commentary There is no requirement under the Protocol that parts and components be marked at the time of manufacture. However, the marking of parts and components can help prevent trafficking in disassembled firearms and can help in the control of craft or homemade production. 2. The unique identification mark applied to every essential or main part or component manufactured in [name of State] in accordance with paragraph 1 of this article shall indicate: (a) That [name of State] is the country of manufacture; (b) The name of the manufacturer; and (c) The serial number.Annex I. Additional considerations 107 Commentary As there is no requirement under the Protocol to mark parts and components, it is up to States to determine whether they will require manufacturers to mark parts and components and the nature of those markings. (b)  Additional markings Article 24. Marking of parts and components at the time of import 1. Every person or [public service agency] that imports parts and components shall ensure that each essential part and component is marked in accordance with paragraph 3 of this article [within ... days] of being imported into [name of State]. 2. Paragraph 1 of this article does not apply to: (a) A part or component that is imported temporarily [for verifiable lawful purposes]; (b) A part or component that was initially exported from [name of State] by a person if the person retained ownership of the part or component while it was outside [name of State]; or (c) A part or component that was initially exported from [name of State] by a public service agency and that remained in the possession of that agency while the part or component was outside [name of State]; (d) [Any other exceptions]. 3. The unique identification mark applied to each essential part and component imported into [name of State] in accordance with paragraph 1 of this article shall indicate:包括:附件一 . 需要考虑的补充事项 115
(a) That [name of State] is the country of import;(a) 被许可人的姓名;
(b) The year of import;(b) 出生日期;
(c) [Other].(c) 被许可人的住址;
Commentary As there is no requirement under the Protocol to mark parts and components, it is up to States to determine whether they will require the marking of parts and components at the time of import and the nature of those markings. (c)  Method  of marking Article 25. Method of marking parts and components All [unassembled] parts and components marked under this chapter shall be marked [by permanently stamping or engraving the marking on the firearm’s frame or receiver] 108 Model Law on Firearms, Their Parts and Components and Ammunition in accordance with the technical specifications provided in [title of accompanying regulations to the Law or guidelines containing marking specifications]. Commentary The Protocol does not specify the method of marking that must be used (other than indicating that deactivation markings should be “stamped” on deactivated firearms (article 9, subparagraph (c), of the Protocol)). States parties should establish regulations or guidelines that specify the technical requirements for marking parts and components where they require unassembled parts and components to be marked as distinct from assembled firearms. 3.  Marking  of  ammunition (a)  Initial markings Article 26. Marking of ammunition at the time of manufacture 1. Every person that manufactures ammunition shall mark all ammunition, at the time of manufacture, in accordance with paragraphs 2 and 3 of this article. Commentary There is no requirement under the Protocol that ammunition be marked at the time of manufacture. Nevertheless, a few States do require that ammunition or certain types of ammunition be marked at the time of manufacture and technological developments in this area may increase manufacturers’ ability to mark ammunition in the future. The marking of ammunition is required under the Economic Community of West African States (ECOWAS) Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials (article 18, paragraph 3), which provides: “(a) The markings shall include a unique lot number, the manufacturer’s identity, as well as the country and year of manufacture. Information concerning the purchaser’s identity and the country of destination should also be included if known at the time of manufacture. These details must feature at least once on the jacket (i.e. cartridge) containing the powder or liquid used in the ammunition or explosive. The markings shall be expressed alphanumerically; “(b) The smallest ammunition packaging shall include information outlined under 3 (a).” 2. The identification mark applied to ammunition manufactured in [name of State] in accordance with paragraph 1 of this article shall indicate: (a) A unique lot number; (b) The name of the manufacturer; (c) That [name of State] is the country of manufacture; (d) The year of manufacture.Annex I. Additional considerations 109 3. Every person that manufactures ammunition shall affix a label to each package in which ammunition is contained, indicating: (a) The calibre [or gauge] of the ammunition; (b) A unique lot number; (c) The name of the manufacturer; (d) That [name of State] is the country of manufacture; (e) The year of manufacture. Commentary European Community directive 2008/51/EC provides (revised article 4, paragraph 2) that: “Member States shall ensure that each elementary package of complete ammunition is marked so as to provide the name of the manufacturer, the identification batch (lot) number, the calibre and the type of ammunition.” (b)  Additional markings Article 27. Marking of ammunition at the time of import 1. Every person [or public service agency] that imports ammunition shall ensure that all ammunition is marked in accordance with paragraph 3 of this article within [... days] of being imported into [name of State]. 2. Paragraph 1 of this article does not apply to: (a) Ammunition that is imported temporarily [for verifiable lawful purposes]; (b) Ammunition that was initially exported from [name of State] by a person if the person retained ownership of the ammunition while it was outside [name of State]; or (c) Ammunition that was initially exported from [name of State] by a public service agency and that remained in the possession of that agency while the ammunition was outside [name of State]; (d) [Other exceptions]. 3. The identification mark applied to ammunition [packaging] imported into [name of State] in accordance with paragraph 1 of this article shall indicate [if your State requires ammunition or ammunition packaging to be marked at the time of import, insert the details of the marking requirements here]. Commentary The Protocol does not require the marking of imported ammunition.110 Model Law on Firearms, Their Parts and Components and Ammunition (c)  Method of marking Article 28. Method of marking ammunition All ammunition marked under this chapter shall be marked [by permanently microstamping the head of each cartridge] in accordance with the technical specifications provided in [title of accompanying regulations to the Law or guidelines containing marking specifications]. Commentary States parties should establish regulations or guidelines that specify the technical requirements for marking ammunition where they require ammunition to be marked. C. Record-keeping Commentary These suggested provisions supplement the mandatory provisions on record-keeping in the Protocol. Many of these provisions might be contained in regulations or secondary legislation accompanying the Law. 1.  Records of  transactions Article 29. Information on domestic transactions [Name of licensing authority] [every licensed manufacturer] shall keep a record of every transaction in a register of transactions that includes the following information: (a) Name of the transferee; (b) Address of the transferee; (c) Date of the transaction; (d) Quantity of firearms, their parts and components or ammunition transferred; (e) The markings applied to any firearm [, its parts and components or ammunition] transferred; (f) The make, model, serial number and calibre of every firearm transferred; (g) Details of the licence number or other evidence of the transferee’s authority to receive the firearm(s), their parts and components or ammunition; (h) The intended use of the transferred firearms, their parts and components or ammunition (e.g. whether they are intended for export or domestic use); and [(i) Other, e.g. fingerprints of the transferee, weapon’s ballistic sample copy.]Annex I. Additional considerations 111 Commentary Although not required under the Protocol, keeping a register or record of all transactions involving the sale and acquisition of firearms and, where feasible, their parts and components and ammunition, will facilitate tracing. European Council directive 91/477/EEC on control of the acquisition and possession of weapons stipulates (article 4) that dealers (defined to include manufacturers) operating in the territory of a member State must be required to keep a register of firearms received and disposed of, including “such particulars as enable the weapon to be identified, in particular the type, make, model, calibre and serial number thereof and the names and addresses of the supplier and the person acquiring the weapon”. Article 30. Information on exports In addition to the information recorded in accordance with [annex I, articles 11 (Renewal of a manufacturer’s licence) and 12 (Continuation of a licence during consideration of an application for renewal)], [name of licensing authority] [every licensed importer or exporter, as appropriate,] shall keep records of all items exported under a licence granted under this Law, including: (a) Dates of all transactions; (b) A copy of the import licence or authorization or any other official document that serves as authorization of the import, including details of the country of issuance, date of issuance and expiration, identification of authorizing agency, the final recipient and the quantity of firearms and/or their parts and components and/ or ammunition; (c) Copies of in-transit authorizations (as applicable); (d) Name of exporter, address, telephone number and fax, responsible person’s or representative’s name if a commercial body and signature, licence and registration number, if any (including expiration date); (e) Source of the firearms and/or their parts and components and/or ammunition, including name, address and telephone number; (f) Manufacturer’s name, address and country of manufacture of the items under consideration; (g) Name and address of the importer; (h) A description of the firearms and/or their parts and components and/or ammunition for export, including (as applicable) the calibre, gauge or size, the model, the quantity, the value of the items and the serial numbers; (i) The name and address of the final end-user; (j) The name and address of any other party to be involved in the transaction [including, as applicable, the name of any broker involved in the transaction, address, telephone number and broker registration number, and a certified copy of the broker licence authorizing the transaction];112 Model Law on Firearms, Their Parts and Components and Ammunition (k) End-user certificate in the manner stipulated in [annex I, article 61 (Enduser certificates)] [including the end-use and destination of the firearms and/or their parts and components and/or ammunition]; [(l) Details of the route to be taken by the items, including destination, enduse(r), transit countries, trans-shipment, ports of entry and exit and any other relevant routing information;] [(m) Details of the safety and security arrangements, including safe storage and transportation, preventing the firearms, their parts and components and ammunition from coming into the possession of unauthorized individuals or entities;] [(n) Banking and insurance details for the transaction;] (o) Any other information as required by the application form. Article 31. Information on imports In addition to the information recorded in accordance with [annex I, articles 11 (Renewal of a manufacturer’s licence) and 12 (Continuation of a licence during consideration of an application for renewal)], [name of licensing authority] [every licensed importer] shall keep records of all items imported under a licence granted under this Law, including: (a) Name of importer, address, telephone number and [registration number, if any (including expiration date)]; (b) The country from which the item(s) is (are) to be imported [, including the source of the firearms and/or their parts and components and/or ammunition, including name, address and telephone number]; (c) Dates of all transactions; (d) The name, address and telephone number of the foreign seller and exporter of the firearms and/or their parts and components and/or ammunition, including name, address and telephone number; (e) A description of the firearms and/or their parts and components and/or ammunition for import, including (as applicable) the calibre, gauge or size, the model, the quantity, the value of the items and the serial numbers; (f) The specific purpose of importation and the name and address of the final recipient (if different from the importer); [(g) Details of the route to be taken by the items, including destination, enduse(r), transit countries, trans-shipment, ports of entry and exit and any other relevant routing information;] (h) The name and address of any other party to be involved in the transaction [including, as applicable, the name of any broker involved in the transaction, address, telephone number and broker registration number, and a certified copy of the broker licence authorizing the transaction]; (i) Any other information as required by the application form.Annex I. Additional considerations 113 Article 32. Information on brokering activities In addition to the information recorded in accordance with [annex I, articles 11 (Renewal of a manufacturer’s licence) and 12 (Continuation of a licence during consideration of an application for renewal)], [name of licensing authority] [every licensed broker] shall keep records of all transactions carried out under a brokering licence granted under this Law, including: (a) The identity of the broker, including address and domicile of the company, person responsible within the company and contact person; (b) A copy of the signed contract or draft contract, giving the specific details of the buyer of the goods, model, quantity and value of firearms, their parts and components or ammunition covered by the intended brokerage licence; (c) Dates of the transactions; [(d) Source of the firearms and/or their parts and components and/or ammunition, including name, address, telephone and fax, country code of residence, citizenship if individual, name of responsible person or representative if commercial or government, and signature;] [(e) Manufacturer’s name and country of manufacture of the items under consideration;] [(f) Precise technical details of the items;] (g) A certified end-use certificate stipulating the end-use and final destination of the items in the manner set out in [annex I, article 61 (End-use certificates)]; [(h) A copy of the import certificate or licence, including country of issuance, date of issuance, identification of authorizing agency, authorized import quantity of the firearms and/or their parts and components and/or ammunition;] [(i) Full details of the safety and security arrangements, including safe storage and transportation, preventing the firearms, their parts and components and ammunition from coming into the possession of unauthorized individuals or entities;] (j) Full details of all the parties involved, including the financial/insurance arrangements; (k) The name of the State from which the equipment is to be sourced and to which it is to be exported, even if it is not transported via [name of State]; [(l) Other.] 2.  Records  of manufacture and  disposal Article 33. Information on destroyed firearms, their parts and components and ammunition [Name of competent authority] shall keep records of every firearm, frame or receiver or ammunition destroyed in accordance with chapter XIII of the Law, including the following information: 114 Model Law on Firearms, Their Parts and Components and Ammunition (a) The method of destruction; (b) The date of destruction; (c) The reason for the destruction; [(d) Other;](d) 近期照片:
(e) Where the item destroyed is a firearm, a description of every firearm(i) 如果许可证发给某个自然人,则提供此人的照片;或
destroyed, including:(ii) 如果是一个法人,则提供负责人的照片;
(i) Make;(e) 指纹:
(ii) Model;(i) 如果许可证发给某个自然人,则提供此人的指纹;或
(iii) Calibre;(ii) 如果是一个法人,则提供负责人的指纹;和
(iv) Name of the manufacturer;[(f) 其他。]
(v) Serial number;2.
and[ 许可当局名称 ] 应保留关于依据本法所发全部许可证的细节
(vi) All markings;之信息的记录,包括:
(f) Where the item destroyed is a part or component, a description of every(a) 许可证的签发地和签发日期;
part or component destroyed, including:(b) 许可证的到期日期; (c) 延期日期(如果适用); (d) 中止日期(如果适用);
(i) The type of part or component;(e) 取消日期(如果适用); (f) 被许可活动;
(ii) Name of the manufacturer;(g) 许可证适用的业务场所的实际地址;
(iii) All markings;(h) [ 插入详细说明保管要求的附件或适用于制造时安全保管问题
(g) Where the item destroyed is ammunition, a description of all the ammunition destroyed, including:的附属或其他细则的名称] 所述许可证适用的保管要求的摘要;
(i) The type of ammunition;(i) 可能适用于许可证的任何限制;和
(ii) The lot number;(j) 可能适用于许可证的任何条件。
(iii) Name of the manufacturer;第 35 条 . 通过检查收集到的信息
(iv) All markings; [(h) Other.] Commentary There is no requirement under the Protocol that records be kept regarding firearms, their parts and components and ammunition that are confiscated and destroyed. However, recording destruction activities helps ensure that illicitly manufactured and trafficked firearms, their parts and components and ammunition are taken out of circulation (as required under the Protocol, article 6). 3.  Administrative  requirements Article 34. Information on licensees 1. [Name of licensing authority] shall keep records of information regarding[ 许可当局名称 ] 应保留通过依据本法所开展的各项检查所收集到
every person who holds a licence [to manufacture, import, export or broker] firearms,的记录。
their parts and components or ammunition, issued under this Law, including:Annex I. Additional considerations 115评注
(a) Name of licensee;如果非国家行为者对保管记录负有主要责任,则国家应保留通过许可申请和检查所收集到的信息记录
(b) Date of birth; (c) Residential address of licensee; (d) A recent photograph of: (i) In the case of a licence issued to a natural person, that person; or (ii) In the case of a body corporate, the responsible person; (e) Fingerprints of: (i) In the case of a licence issued to a natural person, that person; or (ii) In the case of a body corporate, the responsible person; and [(f) Other.] 2. [Name of licensing authority] shall keep records of the information regarding the particulars of every licence issued under this Law, including: (a) Place and date of issue of the licence; (b) Date of expiry of the licence; (c) Date of renewal(s) (where relevant); (d) Date of suspension (where relevant); (e) Date of cancellation (where relevant); (f) The licensed activity; (g) Physical address of the business premises to which the licence applies; (h) A summary of the storage requirements applicable to the licence set out in [insert annex detailing storage requirements or the name of the subsidiary or other regulations governing safe storage at the time of manufacture];(见附件一,第 34条(关于被许可人的信息)和第 35条(通过检查收集到的信息))。116 打击非法制造和贩运枪支及其零部件和弹药示范法
(i) Any restrictions that may apply to the licence;第36条.
and记录的格式
(j) Any conditions that may apply to the licence.选项 1
Article 35. Information collected through inspections根据本法 / 节保留的所有记录均必须以电子形式保存。
[Name of licensing authority] shall keep records of information collected through选项 2
inspections conducted under this Law.根据本法/节保留的所有记录均必须以电子形式或便于及时应对
Commentary追查枪支及其零部件和弹药的协助请求的方式予以保存。
Where actors other than the State have primary responsibility for record-keeping, the评注
State should retain records of information collected through licence applications and正如在《立法指南》第 124段所指出的:
inspections (see annex I, article 34 (Information on licensees) and 35 (Information“虽然没有要求对记录实施电脑化管理,但在可行的情况下采用自动化记录保管将会有助于各国
collected through inspections)).116 Model Law on Firearms, Their Parts and Components and Ammunition履行其及时应对追查请求的义务”。
Article 36. Format of records列入选项2是因为认识到仍然存在这样一种现实,即虽然自动化保存方式应当成为首选办法,但
Option 1有些国家在采用这种方式保存记录方面可能存在困难(见《立法指南》,第124段)。
All records retained in accordance with this Law/section shall be maintained in第37条. 记录的使用
electronic form. Option 2 All records retained in accordance with this Law/section shall be maintained in electronic form or in such a way that allows the provision of prompt responses to requests for assistance in tracing firearms, their parts and components and ammunition. Commentary As noted in paragraph 124 of the Legislative Guide: “There is no requirement that the records be computerized, but the use of automated record-keeping, where feasible, will assist countries in meeting their obligations to respond promptly to tracing requests ...” Option 2 is included in recognition of the fact that it may be difficult for some States to keep the records in automated form, although this should be the preferred method (see the Legislative Guide, paragraph 124). Article 37. Access to records Every person who is required to ensure that a record is kept or to keep a record under this chapter, shall, on demand made by an enforcement officer: (a) Produce the record to that officer and permit that officer to inspect and make copies of any entries in it; (b) Permit that officer to inspect all firearms, their parts and components and ammunition in the possession of that person; and (c) Furnish to that officer any information in that person’s possession with respect to any firearm, its parts and components or ammunition that has been manufactured, purchased or received under the authority of the person’s licence or that the person has in his or her possession or has sold or otherwise transferred or凡被要求确保保存记录或依据本章之规定应保存记录者均应在执法
repaired under the authority of a licence.人员提出要求时:
Commentary(a) 向该执法人员出示记录,并允许该人员对记录中任何条目进行
There is no requirement under the Protocol that States must ensure they have access检查以及制造副本;
to records maintained by licence holders. However, in order to respond to tracing requests(b) 允许该执法人员检查此人持有的所有枪支及其零部件和弹药;和
and to ensure compliance with record-keeping obligations, it is necessary for the relevant(c) 向该执法人员提供此人持有的与其根据许可证授权制造、购买
authority to have the power to access records. This is especially important where the或接收的或其依据许可证授权自己持有或出售或以其他方式转让或修理
State itself does not maintain records in a centralized location, but instead requires的任何枪支及其零部件或弹药有关的任何信息。
authorized entities and individuals to retain records in accordance with the requirements评注
of the Protocol.Annex I. Additional considerations 117《枪支议定书》没有要求各国确保使用许可证持有者保存的记录。但是,为了应对追查请求和确保
The OSCE “Best practice guide on marking, record-keeping and traceability of small履行记录保管义务,相关当局必须拥有使用记录的权力。如果国家本身不在一个集中地点保存记录,
arms and light weapons” notes (section IV, page 8) that all information kept by manufacturers, importers and so on under the record-keeping scheme established by a State而是要求授权实体和个人根据本议定书的要求保存记录,则这一权力尤其重要。附件一 . 需要考虑的补充事项 117
“shall be made available to competent national authorities if requested by national law”.欧安组织《小武器和轻武器标识、记录保管和追查能力最佳做法指南》(第四节,第8页)指出,
The OAS Model Legislation and Commentaries for Strengthening Controls at Export制造商、进口商等依据国家制定的记录保管计划保管的所有信息均“应在国内法要求时向主管国内
Points for Firearms, Ammunition, Explosives and Other Related Materials notes that,当局提供”。
where manufacturers are required to keep records of all products manufactured and those美洲组织《加强枪支、弹药、爆炸物及其他有关材料出口点管制的示范立法和评注》指出,如果
placed in commerce, “these records would be required to be made available to government inspectors and be updated periodically, at least every three months” (commentary要求制造商保管所有被制造产品及投放市场之产品的记录,则“必须向政府检查人员提供这些记录,
to article 5). In its report on problems arising from the accumulation of conventional ammunition并且必须定期更新,至少每三个月一次”(第5条的评注)。
stockpiles in surplus (A/63/182, paragraph 31) the Group of Governmental Experts also在其关于积累过剩的常规弹药储存引起的问题的报告(A/63/182,第 31段)中,政府专家组
notes that, as part of the inspection regimes necessary for ensuring the safety, reliability还指出,作为确保国内库存弹药安全、可靠性和操作有效性所需的检查制度的一部分,必须“获得
and operational effectiveness of ammunition within national stockpiles, it is necessary to有关弹药制造商所掌握的原版样本记录”。这将表明应当要求弹药制造商保留此种记录并允许检查
have “access to master sample records held by the manufacturer of the ammunition in人员进行检查。
question”. This would suggest that manufacturers of ammunition should be required to还应当考虑欧洲联盟框架内现有条款的样本(例如,设立欧共体军民两用物品的出口、转让、
retain such records and grant access to inspectors.中介和过境管制制度的第 428/2009号《欧洲理事会条例》以及关于欧洲议会条例和关于欧洲
Consideration should be also given to the examples of existing provisions within the联盟理事会执行联合国《枪支议定书》第10条以及建立枪支及其零部件和弹药出口授权、进口和
European Union framework (e.g. Council regulation (EC) No. 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items,过境措施的条例建议。该立法将使欧盟立法与本议定书第 10条保持一致,并且涉及到需要采取
as well as the proposal for a regulation of the European Parliament and of the Council必要和适当措施,以使主管国家当局能够:(a)收集关于涉及枪支及其零部件和弹药的任何订单或
of the European Union implementing article 10 of the United Nations Firearms Protocol交易的信息;以及 (b)确定适当采取出口管制措施,其中尤其应包括有权进入某项出口交易相关人员的
and establishing export authorization, import and transit measures for firearms, their parts场所)。
and components and ammunition.第38条.
This legislation would bring the Union’s legislation into应提交的报告
line with article 10 of the Firearms Protocol and refers to the need to take necessary凡被要求依据本章之规定保存记录者均应在 [ 时限,例如,
and proportionate measures to enable the competent national authorities: (a) to gather每个季度提交一次 ] 向 [ 主管当局名称 ] 提交所保存的所有记录的
information on any order or transaction involving firearms, their parts and essential components and ammunition; and (b) to establish that the export control measures are being细节。
properly applied, which may include in particular the power to enter the premises of评注
persons with an interest in an export transaction).《枪支议定书》并未载有关于被许可个人和实体提交其活动报告的明确要求。但是,本议定书第 7条
Article 38. Reports to be submitted要求各国确保保留必要的信息,以便追查和识别非法制造或贩运的枪支。为了能够有效追查枪支,
Every person that is required to keep a record under this chapter shall submit各国需要关于涉及所述枪支的交易的最新信息。
details of every record maintained to [name of competent authority] within [time第39条. 记录的保管
frame, e.g. quarterly returns].本法要求保存的所有记录均应保存在 [ 许可证规定的场所 ] 中的
Commentary安全保管地点。118 打击非法制造和贩运枪支及其零部件和弹药示范法
The Protocol does not contain an explicit requirement that licensed individuals and entities submit reports of their activities. However, article 7 of the Protocol requires States评注
to ensure the maintenance of information that is necessary to trace and identify illicitly《枪支议定书》并未对各国在安全或可靠地点保存或要求授权个人和实体在安全或可靠地点保存记录
manufactured or trafficked firearms. In order to be able to trace firearms effectively, States做出要求。如果各国将本条款实际列入国内立法,它们可能还需要明确规定安全保管要求的性质(例如,
need up-to-date information on transactions involving the firearms in question.在上锁的容器中)。
Article 39.第40条.
Storage of records停业后的记录提交
All records required by this Law to be kept shall be kept in a place of safekeeping [on the premises specified in the licence].118 Model Law on Firearms, Their Parts and Components and Ammunition如果制造、进口或出口枪支及其零部件或弹药许可证持有者停止
Commentary开展作为枪支及其零部件或弹药制造商、进口商或出口商的业务,则
There is no requirement under the Protocol for States to keep or require authorized此人应在停止业务之后 [14 日 ] 内向 [ 主管当局名称 ] 提交其根据本章
individuals and entities to keep records in a safe or secure place. If States do include之规定保存的所有记录。
this provision, they may also want to specify the nature of the safe storage requirements评注
(e.g. in a locked receptacle).法律出处:《使各国能够及时和可靠地识别和追查非法小武器和轻武器的国际文书》第 13条规定,
Article 40. Submission of records upon cessation of business各国应要求停业的公司向国家提交其所持有的与小武器和轻武器有关的记录。《国际追查文书》并未
Where the holder of a licence to manufacture, import or export firearms, their对提交此种记录的时限做出规定。
parts and components or ammunition ceases to carry on business as a manufacturer,第41条. 国家数据库
importer or exporter of firearms, their parts and components or ammunition, that评注
person shall submit all records maintained in accordance with this chapter to the《枪支议定书》未对各国建立和维护一个国家或中央数据库以便保存由国家保管的所有记录问题做出
[name of competent authority] within [14 days] after cessation of the business.要求。但是,在一个中心地点以电子形式保管记录将有助于确保调查非法活动的国家机构能够轻易
Commentary获取所保存的信息,并且确保便于对保存的信息进行更新。国家数据库的质量和有效性将取决于国家
Source: Article 13 of the International Instrument to Enable States to Identify and Trace,维护此种数据库的财政和技术能力以及输入该数据库的数据量。它可能还取决于行业规模。例如,
in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons stipulates that如果一个国家由很多地区组成并且(或)有很多机构需要访问该数据库,则可能更适合维持若干较小
States will require that records pertaining to small arms and light weapons held by的区域数据库。
companies that go out of business be forwarded to the State.D.
No time frame is stipulated枪支及其零部件和弹药的进口、出口和转让
in the International Tracing Instrument.评注
Article 41. National database Commentary There is no requirement under the Protocol for States to establish and maintain a national or centralized database for storing all the records to be kept by the State. However, keeping records in a central location, in electronic form, will help ensure that information is easily accessible by state agencies that are investigating illicit activities and ensures that information can be easily updated. The quality and utility of a national database will depend on a State’s financial and technical capacity to maintain such a database and the amount of data inputted into the database. It may also depend on the scale of operations. For instance, if a State is comprised of many regions and/or there are many agencies that would require access to such a database, it may be more appropriate to除了第 10条规定的强制性要求之外,《枪支议定书》并未明确规定进口和出口许可或授权制度必须
maintain several, smaller regional databases.采取的形式(关于这一方面的指南见《国际小武器管制标准》,模块 03.20,“对小武器和轻武器
D.国际转让的国内管制”)。本议定书还要求各国采取关于国际过境方面的措施。起草者可考虑采用本节附件一 .
Import, export and transit of firearms, their parts需要考虑的补充事项 119
and components and ammunition Commentary Beyond the mandatory requirements in article 10, the Protocol does not specify the form that the system of licensing or authorization of import and export must take (guidance on this is available in the International Small Arms Control Standards, module 03.20, “National controls over the international transfer of small arms and light weapons”). The Protocol also requires that States establish measures on international transit. This section Annex I. Additional considerations 119 provides suggestions that drafters can consider to supplement the mandatory provisions of the Protocol. These provisions might go into the legislation itself or into regulations or secondary legislation. 1.  Registration  of  importers and  exporters Article 42. Registration requirement Any person who is an importer or exporter of firearms, their parts and components and ammunition shall register with/by [name of licensing/competent authority].提供的建议,用以补充本议定书的强制性条款。既可以将这些条款纳入立法本身,也可将其纳入实施
Commentary细则或附属立法之中。
One option for a State seeking measures to enhance the accountability and security of1. 进口商和出口商的注册
its import and export system (in accordance with article 10, paragraph 5, of the Protocol)第42条. 注册要求
is to require companies or individuals wishing to import or export firearms, their parts凡属于枪支及其零部件和弹药进口商或出口商者均必须向 [ 许可
and components and ammunition to register with the relevant government authority. Registration is primarily a means to provide a State with the necessary information on who当局/主管当局名称]注册。
is involved in certain exporting and importing activities and would be a precondition to评注
the issuance of any individual import or export licence.对于寻求采取措施以加强其进口和出口制度的问责与安全的国家(根据《枪支议定书》第 10条
The Protocol presupposes the existence of a licensing/competent authority by virtue of第 5款之规定)来说,一种选择是要求那些希望进口或出口枪支及其零部件和弹药的公司或个人向
article 10, paragraphs 1 and 2. Whether the licensing authority or some other State authority有关政府当局注册。注册主要是为国家提供关于参与某些出口和进口活动者的必要信息的一种手段,
is to process and register or decline registration of importers and exporters is at the discretion of the State. Where registration of importers and exporters of other conventional weapons is already required, the legislation could be extended to ensure that it includes exporters并且也将是发放任何个人进口或出口许可证的一个前提条件。
and importers of firearms, their parts and components and ammunition.《枪支议定书》第 10条第1和2款假设存在许可/主管当局。许可当局或其他一些国家主管当局
Article 43. Registration application是应办理进口商和出口商的注册申请还是应拒绝其注册申请,这由国家自行酌定。如果已要求其他
The applicant shall register in the form and manner prescribed by [name of常规武器进口商和出口商进行注册,则可对该立法进行扩充,以确保将枪支及其零部件和弹药的进口
licensing/competent authority].商和出口商包括在内。
Commentary第43条. 注册申请
Using a legally prescribed form should ensure that the competent authority has all the申请人必须按照主 [ 许可 / 主管当局的名称 ] 规定的形式和方式
necessary information to enable it to determine eligibility for registration. The form could进行注册。
include a requirement for the applicant to provide a photograph of him- or herself and a评注
full set of fingerprints. Drafting note These provisions might be included in regulations or secondary legislation detailing the registration application process. Option 1 An application for registration shall be filed on form [name/number] and shall be accompanied by the required fee of [amount]. An application shall be signed by 120 Model Law on Firearms, Their Parts and Components and Ammunition an applicant who is a natural person personally or by the legal representative of an applicant who is a legal person. Option 2 Every person who engages in the business of exporting or importing firearms and/or their parts and components and/or ammunition shall register with [name of designated authority] and shall pay the required fee of [amount]. Article 44. Registration criteria [Name of licensing/competent authority] shall register a person as an importer or exporter of firearms and/or their parts and components and/or ammunition if it is satisfied that: (a) The applicant is of or above the age of [State’s age of majority or above]; (b) The applicant does not have a criminal record; (c) The applicant has not been adjudicated as mentally ill or been committed to any mental institution; (d) The applicant is not an unlawful user of or addicted to any controlled substance [as defined in [relevant section and title of national legislation on controlled substances]]; (e) The applicant has not knowingly made any false statement or representation with respect to the information required on the application form; (f) The applicant has met such registration application requirements and other registration requirements as deemed relevant.采用法律规定的形式应当确保主管当局拥有使之能够确定是否符合注册资格的所有必要信息。此种
Drafting note形式可能包括要求申请人提供其本人的照片及其指纹。
With reference to subparagraph (b), in some jurisdictions the existence of any criminal起草说明
record or a criminal record within a particular time frame prohibits a person to register这些条款可以列入具体介绍注册申请程序的细则或附属立法之中。
as an importer or exporter. In others, conviction or indictment of offences under specified选项 1
acts will prohibit a person from being registered.注册申请应通过表格 [ 名称 / 编号 ] 提出,并且应附上必要
Option 1 (b) The applicant has not been convicted of or indicted for an offence in accordance with [e.g. the national security legislation, national substance abuse legislation, national domestic violence legislation or legislation relating to the import, export and transit of firearms]; Option 2 (b) The applicant has not been convicted in any court of or is not under indictment for a crime punishable by imprisonment for a term exceeding one year; Annex I. Additional considerations 121 Option 3 (b) Within [five] years before the decision to enter the person in the register, the applicant has not violated legislation relating to the import, export and transit of firearms, their parts and components and ammunition; Option 4 (b) If the applicant has any previous criminal record concerning trafficking in firearms, their parts and components or ammunition, or other serious crimes. Article 45. Review of a decision not to register an applicant A person who has submitted an application to register as an importer or exporter may apply to [name of body authorized to review licensing decisions] for a review of a decision of [name of licensing/competent authority] denying an application for registration. Article 46. Validity of registration and renewal 1. Registration of a person as an importer or exporter of firearms, their parts and components and ammunition shall be valid for [... years]. 2. Registration shall be renewable upon application [... days/... months] prior的 [ 金额 ] 费用。申请人属于自然人的,则应由申请人亲自在申请120 打击非法制造和贩运枪支及其零部件和弹药示范法
to its expiration.上签字,申请人属于法人的,则应由申请人的法定代表在申请上
3. If a registration has expired, the applicant shall file a new application in签字。
accordance with [annex I, article 43 (Registration application)].选项 2
Commentary凡从事枪支和(或)其零部件和(或)弹药出口或进口业务者均
State practice shows that generally the duration of an importer or exporter registration应向[指定当局的名称]进行注册,并且应支付必要的注册费用[金额]。
is between one and five years, though it is at the State’s discretion how long a registration should be valid for.第44 条 .
Some systems allow the applicant to choose the length of time注册标准
and pay a corresponding differentiated fee. A State should consider its administrative[许可 / 主管当局的名称 ] 应对枪支和(或)其零部件和(或)弹药
capacity to implement a renewal system and choose a time frame accordingly.的进口商或出口商进行注册,如果其认为:
The renewal of registration should be long enough to allow the licensing authority(a) 申请人年龄达到或超过[ 国家法定成人年龄或以上] ;
sufficient time to consider the application and make the necessary inquiries.(b) 申请人没有刑事犯罪记录;
Article 47. Notification of changes in information furnished by(c) 申请人未被判定患有精神疾病,也未被送入任何精神病诊治机构;
a registered importer or exporter(d) 申请人不是任何管制药物 [ 按照 [ 国内管制药物立法的相关
A registered importer or exporter shall, within [... days] of the event, notify条款]的定义]的非法使用者或吸毒者;
[name of relevant authority] if:122 Model Law on Firearms, Their Parts and Components and Ammunition(e) 申请人未故意做出与申请表中所要求信息有关的虚假陈述或表述;
(a) There is a material change in the information set forth in their registration; or(f) 申请人符合被视为相关的注册申请要求以及其他注册要求。
(b) Any of the persons pertaining to the registration are indicted for or convicted of [an offence under [reference to particular legislation]] [a crime punishable起草说明
by imprisonment].关于 (b)项,在某些管辖区域,在某个特定时间段内存在任何犯罪记录或某种犯罪记录的,禁止其
Article 48. Cancellation of registration as an importer or exporter进行进口商或出口商注册。而在其他一些管辖区域,只有被定罪或被控告犯有特定法律之下的某些
A registration as an importer or exporter shall be cancelled:罪行的,才被禁止其进行注册。
(a) At the request of the registered person;选项 1
(b) If new facts become evident that, had they been known or existed at the(b) 申请人未被根据 [e. 例如,国内安全立法、关于药物滥用的
time of the review of the initial application for registration, would have resulted in国内立法、关于反对家庭暴力的国内立法,以及关于枪支进口、出口和
a refusal to register the person;过境的立法]定罪或被控告犯有某种罪行的;
(c) If the registered person fails to comply with the relevant legislation relating to the import, export and transit of firearms, their parts and components and选项 2
ammunition;(b) 申请人未被任何法院判定有罪或未被控告犯有应处以一年以上
(d) If the registered person contravenes the provisions of a binding United有期徒刑的某种犯罪的;附件一 . 需要考虑的补充事项 121
Nations Security Council arms embargo, a regional arms embargo either binding选项 3
on [name of State] or to which [name of State] has voluntarily consented to adhere(b) 在决定对其进行注册之前 [ 五 ] 年内,申请人未违反与枪支
or a national arms embargo;及其零部件和弹药进口、出口和过境有关的立法;
(e) If the registered legal person is dissolved or the registered natural person选项 4
dies. Article 49. Record-keeping A person registered under this chapter shall maintain records in accordance with the requirements in chapter V of this Law. 2.   Licensing  [authorization] of  import,  export and  transit of firearms, their parts and  components and ammunition Article 50. Requirement for an import, export or transit licence [authorization] 1. A person shall apply for a licence [authorization] to [name of licensing authority] for the export or import of firearms, their parts and components and ammunition in the form and manner prescribed by [name of licensing authority]. 2. No person may carry in transit through [name of State] any firearms, their parts and components or ammunition without an in-transit [licence] [authorization] issued in the form and manner prescribed by [name of licensing authority].Annex I. Additional considerations 123 Commentary This provision creates a requirement for an import, export or transit licence or authorization. However, the Protocol does not specifically require that transit activity be licensed, only that measures be taken on international transit of firearms, their parts and components and ammunition and that in accordance with Protocol article 10, paragraph 2 (b), transit States have given notice in writing that they have no objection to the transit. It is(b) 如果申请人已经拥有与贩运枪支及其零部件或弹药或其他严重
at the discretion of States to choose the appropriate system of licensing for import and犯罪有关的任何先前犯罪记录。
export and measures for international transit.第45条. 对不为申请人注册的决定进行复核
In practice, States implement a range of systems to licence or authorize imports,提交进口商或出口商注册申请者可向 [ 受权审查注册决定的机构
exports or transit. For example, some States use a system of open licences valid for a名称 ] 申请对[ 许可 / 主管当局] 拒绝注册申请的决定进行复核。
set time period and applicable only for the import, export and transit of civilian weapons第46 条. 注册和延期的有效性
within a particular economic trading group.1.
An open licence system is also used to allow枪支及其零部件和弹药进口商或出口商的注册有效期应为
import, export or transit of civilian weapons to a defined list of States with the requirement to receive authorization for the shipment prior to the export by submitting information[......年 ]。
as to the type, calibre, serial numbers, customers, licence reference and so on. Such2. 在注册期满之前,可申请对注册予以延期 [......日......月]。
procedures must be an exception to the general system of import, export and transit3. 如果注册已经到期,申请人必须根据 [ 附件一,第 43 条
licensing or authorization, apply only where there is a pre-existing agreement between(注册申请)] 之规定提出新的申请。
the States involved and still involve rigorous oversight by state authorities. It is at the评注
discretion of States to choose the appropriate licensing system.各国实践表明,虽然注册有效期应当由各国自行决定,但一般来讲,进口商或出口商注册的有效期
States can also consider allowing, in limited circumstances, multiple export authorizations. “Multiple authorization” means an authorization granted to one specific exporter for多为一至五年。有些制度允许申请人选择时间长度,并且支付相应的差别费用。各国应考虑其执行
multiple shipments to the same end-user or consignee in a third State and covering one延期制度的能力,并且相应选择一种期限。
or more firearms, their parts and components and ammunition; once again this must be注册的延期应当足够长,以使许可当局有足够的时间考虑申请以及提出必要的问题。
an exception and rigorous oversight by state authorities is a must.第 47 条 . 变更注册进口商或出口商所提供信息的通知
Some States also incorporate different procedures into conventional weapons legislation, such as in a conventional arms act. Such procedures, which could also pertain to发生以下事件的,注册进口商或出口商必须在 [......日 ] 内通知
firearms, their parts and components and ammunition, are to address particular circumstances within a defined grouping of States, where one State is providing one component[ 许可当局名称] :122 打击非法制造和贩运枪支及其零部件和弹药示范法
of a final piece of equipment produced in another country. The procedure allows States(a) 其注册中所述信息发生实质性变更的;或者
providing the components to use an international certificate of importation as opposed(b) 与注册有关的任何人被控告或被判定犯有 [ 涉及特定立法 ]
to an end-use certificate. In Europe, for example, this system is called C2I.[ 应被处以监禁的某种犯罪 ] 的一项罪行。
Drafting note第48条. 进口商或出口商注册的取消
Where a State has chosen to include section 1 (Registration of importers and exporters)进口商或出口商注册应在以下情况下予以取消:
in its legislation, the following provision should be added to this article:(a) 被注册人提出取消要求时;
Each person applying for a licence to import or export firearms, their parts and(b) 如果新的事实表明,在对初次注册申请进行审查时已经知道或
components and ammunition internationally shall be registered [authorized] as an importer存在对注册具有实质意义的、本应导致拒绝给予被注册人注册的证据;
or exporter of firearms, their parts and components and ammunition.(c) 如果被注册人未能遵守与进口、出口和转让枪支及其零部件和
Applications  for  an  export or  import  licence  [authorization]弹药有关的相关立法;
Commentary(d) 如果被注册人违反或被合理认为已经违反某项具有约束力的
Setting out a form to process export and import transactions will be needed to gather联合国安全理事会武器禁运、对[ 国家名称 ] 具有约束力或[ 国家名称 ]
the information required by article 10, paragraph 3, of the Protocol. As noted in the自愿同意遵守的某项区域禁运、或者某项国内武器禁运的;
Legislative Guide (paragraph 103), the use of a legally prescribed form will assist in the(e) 如果一个合法的被注册人被解散或某个被注册的自然人死亡。
decision-making process.第49条.
For example, the omission of any of the information required记录保管
on an application form means that the partially completed form would not constitute a依据本章之规定进行注册者必须根据本法第五章之要求保存记录。
formally valid application for the required registration application.2.
Such an application枪支及其零部件和弹药的进口、出口和过境许可[授权]
could not lawfully be considered by decision makers and the refusal to do so would not 124 Model Law on Firearms, Their Parts and Components and Ammunition第50 条. 进口、出口或过境许可证 [ 授权]的要求
be a matter of discretion nor a decision that could be appealed to an administrative1. 应按 [ 许可当局名称 ] 规定的形式和方式向 [ 许可当局的
tribunal or the general courts. If providing false or misleading information is also criminalized, then the completion of the document would also form the basis of a prosecution.名称 ] 申请枪支及其零部件和弹药的许可证[ 授权]。
Using a form should also ensure that the competent authority has all the necessary2. 如果没有按照 [ 许可当局名称 ] 规定的形式和方式签发的
information to enable it to determine eligibility for an export licence.过境 [ 许可证 ][ 授权 ],任何人不得携带任何枪支及其零部件或弹药从
Depending on the style of drafting, the legislation itself or accompanying regulations[ 国家名称]过境。附件一 . 需要考虑的补充事项 123
should detail the exact application procedure, documentation and fee required by an评注
applicant for an export licence or authorization. Other than the in-transit authorization本条款为进口、出口或过境许可证或授权规定了一项要求。但是,《枪支议定书》并未明确要求过境
(where applicable) and a copy of the import licence or authorization document, the content活动应得到许可,只要求对枪支及其零部件和弹药的国际过境采取措施,并要求根据本议定书第10条
of these application procedures are optional and it is left to the discretion of the State第 2款 (b)项之规定向过境国发出书面通知,且过境国不反对其过境。由各国自行选择适当的进口和
to decide on the content and the degree of detail necessary for its legislative or regulatory framework. In accordance with article 10, paragraph 5, of the Protocol, the more出口许可制度以及国际过境措施。
comprehensive the framework, the more secure the licensing or authorization procedures在实践中,各国推行的进口、出口或过境许可证或授权制度各种各样。例如,有些国家采用一种
will be.开放式的许可证制度,此种许可证在规定的时限内有效,并且只适用于在特定经济贸易国家集团内部
Article 51. Application for an export licence [authorization]民用武器的进口、出口和过境。一种开放式的许可证制度也被用于允许向规定国家名单之内的国家
The applicant shall apply for a licence for an export of firearms and/or their进口、出口或过境运输民用武器,但要求在出口之前通过提供有关武器类型、口径、序号、客户、
parts and components and/or ammunition in the prescribed form and manner to许可证参号等信息的方式获得装运授权。此种程序必须是一般进口、出口和过境许可证或授权制度的
[name of licensing authority].一种特殊情况,只适用于所涉国之间先前达成的协定,并且仍然涉及国家当局严格监管的情形。由
Option 1 (Regulation provision)各国自行选择适当的许可证制度。
An application for a licence for an export of firearms and/or their parts and各国也可考虑在一定的情况下允许多种出口授权。“多种授权”系指准许某个特定出口商向位于
components and/or ammunition must be submitted on form [name/number] and第三国的同一个最终用户或收货人装运多次货物,包括一种或多种枪支及其零部件和弹药;这也必须
accompanied by the required fee of [amount]. The application must be signed and是一种例外情况,应受到国家当局的严格监管。
dated and must contain the information requested on the form, including:有些国家也在《常规武器法》等常规武器立法之中列入了不同的程序。此种程序可能也与枪支
(a) Name of exporter, address, telephone number [and registration (authorization) number, if any (including expiration date)];及其零部件和弹药有关,会涉及到某个特定国家集团内部一个国家正在为另一国家生产的最终设备
(b) If the exporter is not the manufacturer, the source of the firearms and/or提供一种部件的特殊情形。这种程序能使提供部件的国家将国际进口证明作为最终用途证明使用。
their parts and components and/or ammunition, including name, address and telephone number;例如,在欧洲,这种制度被称为 C2I制度。
(c) If the exporter is not the manufacturer, the manufacturer’s name and起草说明
address and country of manufacture of the items under consideration;如果一个国家已经选择将第1款(进口商和出口商的注册)纳入其立法之中,则应当在本条之中加入
(d) Where the items have already been manufactured, a description of the以下条款:
firearms and/or parts and components and/or ammunition for export, including (as凡在国际上申请枪支及其零部件和弹药进口或出口许可证者,均应进行枪支及其零部件和弹药
applicable) the calibre, gauge or size, the model, the quantity, the value of the items,进口商或出口商注册[授权]。
[and the serial numbers if known];出口或进口许可证 [ 授权]的申请
(e) Where the items are still to be manufactured, as much detail on the评注
proposed items for export as available at the time of application;需要制定一种处理进出口交易的形式,以便收集《枪支议定书》第 10条第 3款所要求的信息。正如
(f) Name and address of the importer;《立法指南》(第 103段)所指出的,采用一种法律规定的形式将有助于决策进程。例如,遗漏
(g) Where known, the name and address of the final end-user if different申请表上要求填写的任何信息,将意味着部分填写完毕的表格不能成为要求注册申请的正式有效申请。
from the consignee;对于这种申请决策者不会在法律上予以考虑,而拒绝予以考虑不涉及酌处权问题,也不能就此决定向
(h) As known at the time of application, the name and address of any other行政法庭或一般法院提出上诉。如果提供虚假或误导性信息,也要受到处罚,对该文件的填写也将 124 打击非法制造和贩运枪支及其零部件和弹药示范法
party to be involved in the transaction; Annex I. Additional considerations 125构成起诉的依据。使用表格还应确保主管当局拥有使之能够确定是否符合出口许可条件所需的一切
(i) An end-user certificate in the manner stipulated in [annex I, article 61必要信息。
(End-user certificates)];根据起草风格的不同,立法本身或其实施细则应当详细说明申请人申请出口许可证或授权所需的
(j) Any other information as required by the application form;具体申请程序、证明文件和申请费用。除了过境授权(如果适用)及进口许可证或授权文件副本之外,
(k) Where a State chooses to establish a system for regulating the activities这些申请程序的内容是可以选择的,由各国自行确定其立法或管理框架所需的内容及其详细程度。
of those who engage in brokering, pursuant to article 15, subparagraph (c), of the按照《枪支议定书》第 10条第5款之规定,框架越全面,许可或授权程序越可靠。
Protocol, a State could require disclosure on export licence [authorization] applications or accompanying documents of the names and locations of brokers involved第51条. 出口许可证[ 授权] 的申请
in the transaction.申请人应按照规定的形式和方式向 [ 许可当局名称 ] 提出枪支和
Option 2 (Legislation provision)(或)其零部件和(或)弹药的出口许可证申请。
An application for a licence for an export of firearms and/or their parts and选项 1(细则条款)
components and/or ammunition must be made in the prescribed form and manner枪支和(或)其零部件和(或)弹药的出口许可证申请必须在
to [name of licensing authority] and shall include the following information: [see[ 名称 / 数量 ] 表格上填写,并酌情附上应交申请费 [ 金额 ]。必须在
option 1, subparagraphs (a)-(k)].申请上签字和签注日期,并列入该表要求提供的信息,包括:
Article 52. Application for an import licence [authorization](a) 出口商的名称、地址、电话号码 [ 以及注册(授权)号码,
The applicant shall apply for a licence for an import of firearms and/or their如有(包括到期日期)] ;
parts and components and/or ammunition in the prescribed form and manner to(b) 如果出口商不是制造商,填写枪支和(或)其零部件和(或)
[name of licensing authority].弹药的来源,包括名称、地址和电话号码;
Option 1 (Regulation provision)(c) 如果出口商不是制造商,填写制造商的名称和地址以及所涉
An application for a licence for an import of firearms and/or their parts and物品的制造国;
components and/or ammunition must be submitted on form [name/number] and(d) 如果物品已经制造完成,填写出口枪支和(或)其零部件和
accompanied by the required fee of [amount]. The application must be signed and(或)弹药的说明,包括(适用时)口径、规格或尺寸、型号、数量、
dated and must contain the information requested on the form, including:物品价值、[ 以及序号,如果知道];
(a) Name of importer, address, telephone number [and registration number,(e) 如果物品还没有制造完成,填写在申请时已掌握的关于拟议
if any (including expiration date)];出口物品的尽可能详细的信息;
(b) The country from which the article(s) is (are) to be imported;(f) 进口商的名称和地址;
(c) The name, address and telephone number of the foreign seller and exporter of the firearms and/or parts and components and/or ammunition, including name,(g) 知道的话,填写最终用户的姓名和地址(如果不同于收货人);
address and telephone number;(h) 如果在申请时知道,填写参与交易的任何其他当事人的名称和
(d) Description of the firearms and/or parts and components and/or ammunition for import, including (as applicable) the calibre, gauge or size, the model, the地址;附件一 . 需要考虑的补充事项 125
quantity, the value of the items [and the serial numbers if known];(i) 最终用户证明,按 [ 附件一,第 61 条(最终用户证明)] 规定
(e) The specific purpose of importation and, if known, name and address of的方式提供;
the final recipient (if different from the importer);(j) 申请表要求提供的任何其他信息;
(f) As known at the time of application, the name and address of any other(k) 如果一个国家选择根据《枪支议定书》第 15 条 (c) 项之规定,
party to be involved in the transaction;建立一种对参与中介活动进行管理的制度,则该国家可要求在出口许可
(g) Any other information as required by the application form;证[ 授权 ]申请或随附文件上披露参与交易的中介的名称和地址。
(h) Where a State chooses to establish a system for regulating the activities选项 2(立法条款)
of those who engage in brokering, pursuant to article 15, paragraph 1 (c), of the 126 Model Law on Firearms, Their Parts and Components and Ammunition枪支和(或)其零部件和(或)弹药的出口许可证申请必须按照
Protocol, a State could require disclosure on import licence [authorization] applications or accompanying documents of the names and locations of brokers involved in the transaction. Option 2 (Legislation provision) An application for a licence for an import of firearms and/or their parts and components and/or ammunition must be made in the prescribed form and manner to [name of licensing authority] and shall include the following information: [see option 1, subparagraphs (a)-(h)]. Article 53. Conditional export licence [authorization] 1. Where the in-transit authorization and/or the copy of the import licence or authorization documentation are not available at the time of application for an export licence, [name of licensing authority] may issue a conditional export licence or authorization requiring the exporter to provide a copy of the in-transit authorization to [name of licensing authority] at any point prior to the shipment of the export. 2. On confirmation by [name of licensing authority] of receipt of the in-transit authorization and import licence or authorization documentation for the export in question, the export licence should be valid for use. Commentary Article 10, paragraph 2 (a) and (b), of the Protocol states that no export licence or authorization shall be issued before verification that “the importing States have issued import licences or authorization” and “that the transit States have, at a minimum, given notice in writing, prior to shipment, that they have no objection to the transit”. However, it may happen that at the time of applying for an export licence, the exporter is unable to provide the transit authorization. The exporter may also not be able to supply a copy of the import licence or authorization because either: (a) it is not available at the time of application; or (b) the transaction is with a Government that would not itself issue an import licence or authorization if the goods in question were for its own use. In order to maintain compliance with article 10, paragraph 2 (a) and (b), of the Protocol, this draft article permits an import authorization to include an official document that serves as authorization of the import (for example, an end-user certificate or an international import certificate) to accommodate those circumstances where no import licence would be issued. This draft article allows for a conditional export licence to address the commercial reality that certain documentation will not be available at the time of application, but ensures that the mandatory provisions of the Protocol are fulfilled by adding a condition to the licence that does not permit it to be used to export until the exporter has submitted all the necessary documentation. Such conditional authorization does not replace the export licence and should be valid for a limited time period and an export licence would not be valid until receipt of the in-transit authorization or import licence or authorization has been confirmed. Drafters can also consider those situations where the reply from a transit State is not provided in a timely manner or is never provided. In those cases—in particular with regard to shipment of firearms of a lower level of danger with regard to their use (for example, hunting or sport shooting firearms)—feasible provisions should be considered. In all cases Annex I. Additional considerations 127 the spirit of the Protocol provision on transit, namely, to make it possible for the transit State to be aware of the transit via its territory and the possibility for this latter of taking action to ensure any possible control aimed at avoiding diversion, should be maintained. A maximum period for permitting the transit State to react could also be considered. Article 54. Transit licences The applicant shall apply for a licence for the transit of firearms and/or their parts and components and/or ammunition in the prescribed form and manner to [name of licensing authority]. Commentary Suggested provision Source: Protocol, article 10, paragraphs 1, 2 and 5. While the Protocol requires only that transit countries not object to the movement of firearms, their parts and components and ammunition across their territory, States may wish to consider developing a licence or authorization permitting transit movements in order to promote consistency and to deter the production of false documentation. The creation of such forms promotes security. For some States individual transit licences would not be issued in every instance of transit activity, particularly if the items were coming from certain countries or going to certain others, though other “measures” might be required, such as some other form of written authorization. It is at the discretion of the State as to the method chosen to obtain confirmation in writing that the transit State has no objection to the transit. This provision is suitable where a State chooses to implement a transit licence system. The form and manner of issuance and the information required on a transit licence application form is at the discretion of the State. Option 1 (Regulation provision) An application for a licence for the transit of firearms and/or their parts and components and/or ammunition through [name of State] shall be submitted on form [name/number] and (if applicable) accompanied by the required fee of [amount]. The application shall be signed and dated and shall contain the information requested on the form, including: (a) Name of applicant, address and telephone number; (b) Particulars of the intended transport route and mode of transport, the proposed entry and exit and likely date of the entry and exit, to the extent known at the time of application; (c) Expected duration and location of shipment while in bond (if applicable); (d) Description of the firearms and/or parts and components and/or ammunition to be transited, including (as applicable): the calibre, gauge or size, the model, the quantity, the value of the items [and the serial numbers if known];128 Model Law on Firearms, Their Parts and Components and Ammunition (e) Final destination of the firearms. This should be clearly demonstrated through an export licence, end-use certificate or other official documentation showing the final destination and the legal authority for the items to be imported into the country of final destination. An end-user certificate as contemplated in [annex I, article 61 (End-user certificates)] when the items are intended for resale in the country of final destination; (f) A consignment note of the items to be carried in transit through [name of State]; (g) Any other information as required by the application form; (h) Where a State chooses to establish a system for regulating the activities of those who engage in brokering, pursuant to article 15, paragraph 1 (c), of the Protocol, a State could require disclosure on transit licence [authorization] applications or accompanying documents of the names and locations of brokers involved in the transaction. Option 2 (Legislation provision) An application for a licence for the transit of firearms and/or their parts and components and/or ammunition must be made in the prescribed form and manner to [name of licensing authority] and shall include the following information: [see规定的形式和方式向[许可证当局的名称 ] 提出,并且应包括以下信息:
option 1, subparagraphs (a)-(h)].[见选项1,(a)至(k)项]。
Article 55.第52条.
Criteria for assessing an export licence application进口许可证[授权 ] 的申请 申请人应按照规定的形式和方式向 [ 许可当局名称 ] 提出枪支和
[Name of competent authority] shall consider an export licence application on(或)其零部件和(或)弹药的出口许可证申请。 选项 1(细则条款) 枪支和(或)其零部件和(或)弹药的出口许可证申请必须在 [ 名称 / 数量 ] 表格上填写,并酌情附上应交申请费 [ 金额 ]。必须在 申请上签字和签注日期,并列入该表要求提供的信息,包括:
a case-by-case basis and shall not issue such a licence [authorization]:(a) 进口商的名称、地址、电话号码 [ 以及注册(授权)号码,
(a) To persons or groups known to be engaged in domestic or transnational如有(包括到期日期)] ; (b) 即将进口之物品的来源国; (c) 枪支和(或)零部件和(或)弹药的国外卖方及出口商的名称、
criminal activities, including illicit manufacturing of and trafficking in firearms, their地址和电话号码,包括名称、地址和电话号码;
parts and components and ammunition, or who have previous records of such criminal involvement;(d) 对进口枪支和(或)零部件和(或)弹药的说明(如果适用),
(b) Where the export would breach an arms embargo imposed by the United包括(如果适用)口径、规格或尺寸、型号、数量、货值 [ 以及序号,
Nations Security Council;如果知道 ] ; (e) 进口的具体目的和已知最终收货人的名称和地址(如果不同于 进口商); (f) 如果申请时知道,填写参与交易的任何其他当事人的名称和地址; (g) 申请表要求提供的任何其他信息;
(c) Where the intended destination or other factors suggests that the item(s)(h) 如果一个国家选择根据《枪支议定书》第 15 条第 1 款 (c) 项
will be used in or contribute to an ongoing insurgency or armed conflict;之规定,建立一种对参与中介活动进行管理的制度,则该国可要求在126 打击非法制造和贩运枪支及其零部件和弹药示范法
(d) Where the export would contravene international commitments of [name进口许可证 [ 授权 ] 申请或随附文件上披露参与交易的中介的名称和
of State], in particular in relation to arms embargoes adopted by multilateral, regional地址。
and subregional organizations to which [name of State] is a party, or agreements of选项 2(立法条款)
non-proliferation, small arms or other arms control and disarmament agreements to枪支和(或)其零部件和(或)弹药的进口许可证申请必须按照
which [name of State] is a party.规定的形式和方式向[许可证当局的名称 ] 提出,并且应包括以下信息:
Commentary[见选项1,(a)至(h)项]。
The Protocol does not require restrictions on firearms for the purposes of domestic第53条. 有条件出口许可证[授权 ]
controls nor does it contain import and export criteria for security or arms control purposes Annex I.1.
Additional considerations 129如果在申请出口许可证时无法得到过境授权和(或)进口许可证
(see the Legislative Guide, paragraph 108). However, many States already have provisions in their national legislation on the export of military conventional weapons that set或授权文件的副本,则 [ 许可当局名称 ] 可签发一份有条件出口许可证
out the criteria under which licence applications will be assessed for approval or refusal.或授权,要求出口商在装运出口货物之前向任何地点的 [ 许可当局名称]
Such provisions would not normally appear in legislation dealing solely with firearms, but提供过境授权的副本。
States may have obligations under one of the numerous multilateral, regional and subregional documents that provide detailed criteria to consider a licence application.2.
For在 [ 许可当局名称 ] 证实收到上述出口的过境授权和进口许可
example, the OSCE Document on Small Arms and Light Weapons states (section III (b),证或授权文件后,出口许可证将可有效使用。
paragraph 2 (b)) that “participating States will avoid issuing an export licence where it评注
deems there is a clear risk that the small arms in question might”, for example:《枪支议定书》第 10条第 2款 (a)和 (b)项规定,在核实“进口国已经签发进口许可证或授权”且
Be used for the violation or suppression of human rights and fundamental freedoms.“过境国至少在装运之前发出通知称其不反对过境”之前,不得签发任何出口许可证或授权。但是,
Prolong or aggravate an existing armed conflict, taking into account the legitimate可能会出现出口商在申请出口许可证时无法提供过境授权的情况。出口商也可能无法提供进口许可证
requirement for self-defence, or threaten compliance with international law governing或授权的副本,原因是:(a)在申请时无法获得,或者 (b)如果所涉货物不是自己使用,则与政府的
the conduct of armed conflict.交易不是涉及为自己签发进口许可证或授权问题。
Endanger peace, create an excessive and destabilizing accumulation of small arms为了遵守《枪支议定书》第 10条第 2款 (a)和 (b)项之规定,本条草案允许进口授权中包括
or otherwise contribute to regional instability.一份正式文件,该文件将起到进口授权的作用(例如,最终用途证明或国际进口证明),以便将不
Be either re-sold (or otherwise diverted) within the recipient country or re-exported签发进口许可证的情形包含进去。本条款草案允许签发有条件出口许可证,以应对申请时无法获得
for purposes contrary to the aims of the Document.某些证明文件的商业现实,但是为了确保《枪支议定书》的强制性条款得到落实,规定了一项许可证
Be used for the purpose of repression.签发补充条件,根据这项条件,出口商在提交所有必要证明文件之前,不得利用该许可证进行出口。
Support or encourage terrorism. Facilitate organized crime. Other multilateral, regional and subregional documents include the Wassenaar Best Practice Guidelines for Exports of Small Arms and Light Weapons; the European Union Common Position defining common rules governing control of exports of military technology and equipment; and the ECOWAS Convention. Drafters can consider applying these obligations to their legislation for implementing the Firearms Protocol. The Legislative Guide (paragraph 108) also suggests other criteria States can consider. Drafters should ensure that legislation implementing the Protocol is not inconsistent with these policies and legislation and that administrative measures are consistent. States should also consider which is the appropriate competent authority (or authorities) to assess and decide on export licence applications as this often involves broader policy decisions and therefore it might not be appropriate that the licensing authority be given this responsibility. Article 56. Conditions imposed on an import, export or transit licence [authorization] 1. An import, export or transit licence [authorization] is subject to conditions imposed by [name of licensing authority]. 2. The licence shall not be transferred to another person. Commentary Conditions imposed on a licence or authorization can increase the security and authenticity of the licensing or authorization documents in line with article 10, paragraph 5, of the Protocol. States must also take appropriate measures to require the security of firearms, their parts and components and ammunition at the time of import, export and transit (Protocol, article 11, subparagraph (a)). A State can impose a range of conditions 130 Model Law on Firearms, Their Parts and Components and Ammunition on a licence, depending on the nature of the weapons, the quantity, final destination and so on. This could include, for example, imposing conditions on storage or requiring delivery verification. Through customs/border control legislation, States would also be able to physically inspect items once they arrive in their jurisdiction. Conditions on an export licence relating to transport As an additional condition on an export licence, a State may also require that information on the transport of the firearms, their parts and components and ammunition be provided to [name of licensing authority] just before the goods are actually exported (as this information will not be available at the time of applying for or issuing of an export licence). Such information on transport could include: The air carrier and freight forwarding agent involved in the transportation The civil or military aircraft registration这种有条件授权并未替代出口许可,应在一定的期限内有效,而且在确认获得过境授权或进口许可证
The flight route to be used and planned stopovers或授权之前,出口许可证不会生效。
Records of previous similar transfers by air起草者也可考虑过境国未及时或从未提供答复的情况。在这种情况下,特别是涉及到使用危险
Proof of compliance with existing national legislation or international agreements水平较低的枪支装运(例如,猎枪或运动射击枪支)时,应考虑制定一些可行的条款。在任何情况下,
relating to the transport of dangerous goods都应始终贯彻《枪支议定书》过境条款的精神,即让过境国能够了解通过其领土的过境情况,并为 附件一 . 需要考虑的补充事项 127
Article 57. Duties of the holder of a licence过境国采取行动创造条件,以确保其通过任何可能的管制举措,防止武器被转用。还可以考虑允许
1. The licensee shall comply with the relevant record-keeping requirements过境国作出反应的最长时间。
in [chapter V of the Law].第54条. 过境许可证
2. The licensee shall notify [name of licensing authority] of:申请人应当按照规定的形式和方式向 [ 许可当局名称 ] 申请枪支和
(a) Any change in address [of the premises where the licensee carries on the(或)其零部件和(或)弹药的过境许可证。
business], within [... days];评注
(b) Any theft or loss of any item from the licensee’s premises identified on建议条款
the licence, within [24 hours/... days] of the licensee becoming aware of such theft法律出处:《枪支议定书》第 10条第1、2和5款
or loss;虽然本议定书只要求过境国不反对经其领土运送枪支及其零部件和弹药,但各国不妨考虑编制一种
(c) Any significant change in the storage facilities used by the licensee,允许过境运送的许可证或授权书,以便加强一致性和防止提供虚假证明文件。此种表格的编制有助于
within [... days]. Article 58. Inspection 1. The licensee shall at the request of [any police official and other relevant authorities] [any police officer or other person as may be prescribed by the regulations] produce for inspection, at any reasonable time: (a) His or her licence; (b) Any firearms, their parts and components and ammunition in his or her possession or under his or her control; (c) Any information and records held by the licensee in accordance with [chapter V of the Law]. Annex I. Additional considerations 131 2. [Any police official and other relevant authorities] [Any police officer or other person as may be prescribed by the regulations] may inspect, at any reasonable time, the licensee’s facilities for the storage of the firearms, their parts and components and ammunition in the licensee’s possession. Article 59. Validity of an import, export or transit licence [authorization] 1. A specific period of validity shall be assigned to an import, export or transit licence [authorization] by [name of licensing authority]. 2. An import, export or transit licence [authorization] expires: (a) On the date specified in the licence; (b) If surrendered by the holder of the licence to [name of licensing authority] prior to the date specified in the licence. 3. The period of validity of an import, export or transit licence [authorization] may be extended on application to and approval from [name of licensing authority]. 4. Applications for extensions of the period of validity shall be submitted in writing to [name of licensing authority] before the expiry date lapses, otherwise a new licence [authorization] application will be required. Commentary The period of validity for a licence [authorization] should be of sufficient duration to ensure that the transfer can be completed. Some jurisdictions suggest that licences should be valid for a minimum of one year. Article 60. Revocation of a licence [Name of licensing authority] may, by written notice, revoke an import, export or transit licence if the licence holder: (a) No longer qualifies to hold the licence; (b) Has contravened or failed to comply with any provision of this Law or any condition specified in the licence; (c) If new facts become evident that, had they been known or existed at the time of the review of the initial application for licensing [authorization], would have resulted in a refusal to licence [authorize] the import, export or transit licence [authorization]; (d) If the licensed [authorized] person contravenes the provisions of a binding加强安全。对于一些国家而言,它们不会为每一次的过境活动签发单个过境许可证,特别是在物品
United Nations Security Council arms embargo, a regional arms embargo either来自某些国家或进入另外一些国家的情况下,不过,这可能需要采取其他“措施”,比如某种其他
binding on [name of State] or to which [name of State] has voluntarily consented形式的书面授权。国家可自行确定选择何种方法获得过境国不反对过境的书面确认。本条款适合国家
to adhere to a national arms embargo; 132 Model Law on Firearms, Their Parts and Components and Ammunition选择执行过境许可证制度的情形。
(e) If the licensed [authorized] person is convicted of the offence of trafficking过境许可证的发放形式和方式以及该许可证申请表要求提供的信息由国家自行确定。
in firearms, their parts and components or ammunition or other serious offences;选项 1(细则条款)
(f) There has been a material change in circumstances since the licence was枪支和(或)其零部件和(或)弹药的过境许可证申请必须在
issued. Article 61. End-user certificates Whenever firearms, their parts and components and ammunition are exported, the exporter shall ask the importer to obtain from a person authorized by the Government of the importing State a certificate setting out: (a) The exporter’s details, including name, address and business name; (b) End-user information, including name, position, full address and original signature; (c) Country of final destination; (d) A detailed description (type, quantity, characteristics) of the exported firearms and/or their parts and components and/or ammunition, their quantity and value; (e) The signature, name and function of the end-user; (f) The date of the end-user certificate; (g) The authorization to issue the certificate in question. Drafting note A State may have separate conventional arms legislation that broadly addresses the trade in conventional weapons. This legislation may make reference to an end-user certificate as a required document. If such legislation exists, reference could be made directly[ 名称 / 数量 ] 的表格上填写,并酌情附上应付申请费 [ 金额 ]。必须在
to that provision. Option 1 Whenever firearms, their parts and components and ammunition are exported, an end-user certificate as contemplated in section [...] of the [conventional arms control act] shall accompany the export licence application. End­user Where an importer will resell the goods on the local market, the importer generally shall be regarded as the end-user. Other requirements At its discretion, a State can choose to require further information on an end-user certificate. This could include: (a) A description of the end-use of the firearms and/or their parts and components and/or ammunition;Annex I. Additional considerations 133 (b) Assurances that re-export of imported firearms and/or their parts and components and/or ammunition can take place only after receiving a written authorization from [original exporting State]; (c) Certification by the relevant government authorities, according to national practice, as to the authenticity of the end-user. The certification must include the date, name, title and original signature of the authorizing official; (d) An undertaking that proof of importation will be supplied, by means of a delivery verification certificate. Article 62. Delivery verification States can consider these options for text in addition to article 30 of the Model Law: Option 1 After each shipment of firearms, parts and components or ammunition covered by an export licence, within a period of [...] months, the exporter shall provide to [name of licensing authority] proof of their arrival in the authorized country of destination and proof of place and date of arrival at the consignee’s premises. Option 2 An exporter shall retain the original export licence, the relevant bill of lading or airway bill, packing list(s) and exporter invoice pertaining to the firearms, their parts and components or ammunition stated on the export licence for a period of [...] months and shall produce the documents for inspection whenever required to do so by [name of relevant authority]. Article 63. Database on exporters, importers [and brokers] 1. A national database to be administered by [name of designated authority] shall contain information on persons that operate as exporters and importers [and brokers]. At a minimum, the database shall contain:申请上签字和签注日期,并列入该表要求提供的信息,包括:
(a) Names of all registered exporters and importers [and brokers] and pertinent information contained in the registration application;(a) 申请人的名称、地址、电话号码;
(b) Details of import and export [and brokering activity] licence applications,(b) 预期运输路线的细节和运输方式、拟议的出入境地点以及
both approved and declined, and details on the recipient of the firearms and the出入境日期,按照申请时了解信息的程度提供;
final end-users.134 Model Law on Firearms, Their Parts and Components and Ammunition(c) 在关栈时的预期停留时间和装运地点(如果适用); (d) 对过境枪支和(或)零部件和(或)弹药的说明,包括(如果 适用):口径、规格或尺寸、型号、数量、货值 [ 以及序号,如果
2. Such records shall be kept for a minimum of [10] years.知道 ] ;128 打击非法制造和贩运枪支及其零部件和弹药示范法 (e) 枪支的最终目的地。这一点应当通过出口许可证、最终用途证明
Commentary或说明最终目的地以及向最终目的地国家进口物品的法律授权的其他
Suggested provision官方证明文件予以明确证明。当打算在最终目的国将物品用于转售时,
Source: Protocol, article 7.应提供 [ 附件一,第 61 条(最终用户证明)] 中所规定的最终用户证明。
If a State chooses to establish a national database it should be aligned to the recordkeeping requirements established or adopted under chapter V of the Law. Where a State(f) 即将通过[国家名称] 过境的物品的货运单;
chooses to implement controls on brokers and brokering activities, it could also include(g) 申请表要求提供的任何其他信息;
those records within the database. In its report on brokering (A/62/163 and Corr.1, paragraph 40), the Group of Governmental Experts notes that most States keep data regarding(h) 如果一个国家选择根据《枪支议定书》第 15条第 1款(c) 项
persons or entities having obtained a licence to perform brokering activities and transactions for the duration that they deem necessary. If a State chooses to establish a database,之规定,建立一种对参与中介活动进行管理的制度,则国家可能要求在
it should include information pertaining to those persons registered as brokers, importers过境许可证[授权]申请或随附文件上披露参与交易的中介的名称和地址。
and exporters (where registration is required) and details of all received licence applications for brokering activities, imports and exports of firearms, their parts and components选项 2(立法条款)
and ammunition, whether approved or not. Such a database can also assist States in枪支和(或)其零部件和(或)弹药的过境许可证申请必须按照 规定的形式和方式向[许可证当局的名称 ] 提出,并且应包括以下信息:
meeting their international cooperation requirements under the Protocol.[见选项1,(a)至(h)项]。
e.第55 条 .
Penal and provisional provisions评估出口许可证申请的标准
Commentary[ 主管当局的名称 ] 将在逐个案例的基础上考虑出口许可证申请,
Depending their existing laws and the methods chosen to implement the record-keeping,并且在以下情况下不发放此种许可证 [ 授权] :
marking, licensing and other requirements of the Protocol, States may wish to consider(a) 向已经知道参与国内或跨国犯罪活动的人或集团的,包括非法
establishing further offences in several areas, although this is not a mandatory requirement. Should a State adopt a regime for brokering, it may also wish to establish an制造和贩运枪支及其零部件和弹药者,或先前有过此种犯罪记录者;
associated offence for illicit brokering. Alternatively, if a State requires disclosure of a(b) 出口会违反联合国安全理事会实施的武器禁运的;
broker as part of the import/export licensing/authorization process, offences relating to(c) 预期目的地或其他因素表明物品将被用于或助长正在进行之中
providing false or misleading information on licence application forms could include an的叛乱或武装冲突的; (d) 出口会违反[ 国家名称] 的国际承诺,特别是与 [ 国家名称 ] 所 参加的多边、区域和次区域组织通过的武器禁运、不扩散协定、[ 国家 名称 ] 作为一个缔约方的小武器或其他军备管制和裁军协议有关的国际 承诺。 评注 《枪支议定书》并未要求出于国内管制之目的对枪支实施限制,也未载有出于安全或军备管制之目的 的进口和出口标准(见《立法指南》,第 108段)。但是,有很多国家已经在其有关出口军事常规附件一 . 需要考虑的补充事项 129 武器的国内立法中对批准或不批准许可证申请的评估标准做出了规定。此种条款一般不会出现在只 涉及枪支的立法中,但各国有义务依据大量多边、区域和次区域文件中的某份文件对评估许可证申请 的标准做出规定。例如,《欧安组织小武器和轻武器文件》(第三节 (b)项,第 2(b)段)规定,“如果 参加国认为所涉小武器可能明显存在以下风险,应避免签发出口许可证”,例如: 被用于侵犯或镇压人权和基本自由。 虑到对自卫的合法要求,延长或加剧现有武装冲突,或威胁到遵守有关武装冲突行为的 国际法。 及和平、造成过量小武器破坏稳定,或以其他方式助长区域不稳定。 接收国境内被用于转售(或以其他方式被转用),或出于与本文件宗旨相反的目的用于再 出口。 用于镇压目的。 支持或纵容恐怖主义。 助长有组织犯罪。 其他多边、区域和次区域文件包括《瓦塞纳尔小武器和轻武器出口最佳做法指南》、《确定关于 军事技术和军事设备出口管制共同规则的欧洲联盟共同立场》以及《西非经共体公约》。起草者可以 考虑将这些义务适用于其执行《枪支议定书》的立法。《立法指南》(第 108段)还就各国可以考虑 的其他标准提出了建议。起草者应确保执行本议定书的立法与这些政策和立法保持一致,并确保各种 行政措施相统一。 各国还应考虑谁是评估和决定出口许可证申请的适当主管当局,因为这通常涉及到更为广泛的 决策问题,因此,由许可证当局负责这方面工作可能并不合适。
offence for failing to provide required information about brokerage activities (see the第 56条. 对进口、出口、过境许可证 [ 授权]规定的条件
Legislative Guide, paragraph 237).1.
The establishment of any of these offences is not获得进口、出口或过境许可证[授权]必须满足[许可当局名称]
required by the Protocol.规定的各项条件。
1.2.
Offences  specific  to  record-keeping不得将许可证转让他人。
Commentary评注
There is no requirement under the Protocol that States must criminalize the failure to maintain records in accordance with article 7. However, criminalization of such conduct根据《枪支议定书》第10条第5款之规定对许可证或授权规定一些条件,可能会提高许可或授权文件
will help deter persons with an obligation to maintain records from acting without the的安全性与有效性。各国还必须采取适当措施,要求在进口、出口和过境时确保枪支及其零部件和
required diligence, omitting to keep, falsifying or altering such records, and will help弹药的安全(本议定书第 11条 (a)项)。根据武器的性质、数量、最终目的地等方面的不同,国家130 打击非法制造和贩运枪支及其零部件和弹药示范法
ensure the accuracy of records for tracing purposes. While States are required to ensure可以对授予许可证规定各种条件。这可包括,例如,规定保管条件,或要求进行交货核查。通过海关/
that certain records are kept (as discussed in chapter V (Record-keeping) of the Model边界管理立法,各国还可在货物达到其管辖区域后进行物理检查。
Law), they have discretion to impose criminal or administrative penalties and sanctions出口许可证上与运输有关的条件
for a failure to maintain records. The Legislative Guide (paragraph 231) does recommend作为出口许可证上的一项补充条件,国家还可要求在实际出口货物之前向 [许可当局名称 ] 提供有关
that the punishments applied to record-keeping offences should be the same as those运输枪支及其零部件和弹药的信息(因为这种信息在申请或签发出口许可证时无法获得)。此种运输
applied for the basic offences of illicit manufacture and trafficking in order to ensure that信息可包括:
offenders cannot avoid harsher sanctions simply by failing to keep or destroying the参与运输的航空公司或货运代理人
records needed to establish that criminal conduct has taken place. When establishing Annex I. Additional considerations 135飞机的民用或军用注册
the intentional element of the offence, States may want to consider a lower degree of将要采用的和计划中途停留的航线
intention and include also gross negligence, so as to ensure that persons with an obligation to keep and maintain records cannot evade their responsibility by invoking an absence先前类似转机的记录
of intention.守与运输危险品有关的现行国内立法或国际协议的证据。
The nature of the penalties imposed for offences relating to record-keeping will第57条. 许可证持有者的责任
depend on each jurisdiction.1.
The following provisions are designed to assist States in被许可人应遵守 [《示范法》第五章]规定的相关记录保管要求。
establishing criminal offences with respect to record-keeping offences.2.
States that wish被许可人应:
to maintain the penal nature of the provision but impose a lower degree of liability and(a) 在[......日内]向[许可当局名称]通报领有许可证者开展业务
of sanctions, or to consider some other conducts as administrative offences rather than之场所的地址出现的任何变更;
criminal ones, are encouraged to adapt these suggested provisions as required.(b) 在 [24 小时 /......日 ] 内向 [ 许可当局名称 ] 通报领有许可证者
Article 64. Falsification and alteration of records所知晓的、在许可证所确定的被许可人之场所发生的任何盗窃或丢失之
1. Every person who intentionally or negligently makes a false or misleading行为;
entry in or alters a record required to be kept under [chapter V of the Law] commits(c) 在[......日]内向[许可当局名称]通报被许可人所使用的保管
an offence.设施中出现的任何重大变更。
2.第58条 .
A person guilty of an offence under paragraph 1 of this article shall be检查
subject to [imprisonment for ...] and/or [a fine of/up to ...] [a regulatory sanction].1. 被许可人应在 [ 任何警方官员及其他相关当局 ][ 任何警察或
Commentary实施细则可能规定的其他人员 ] 于任何合理的时间提出要求时向其出示
There is no requirement under the Protocol that States criminalize the falsification or以下物品供其检查:
alteration of records required to be kept under article 7 (and article 6, paragraph 2).(a) 其许可证;
However, criminalization of those activities will help deter persons with an obligation to(b) 其拥有或由其控制的任何枪支及其零部件和弹药;
maintain records from falsifying or altering such records and will help ensure the accuracy(c) 由被许可人根据 [《示范法》第五章 ] 之规定持有的任何信息
of records for tracing purposes.和记录。附件一 .
As noted in the Legislative Guide (paragraph 231), an需要考虑的补充事项 131
offence relating to the falsification of records is of particular relevance where persons2. [ 任何警方官员及其他相关当局 ][ 任何警官或实施细则可能
and entities engaged in transferring firearms have the primary responsibility for maintaining records needed for subsequent tracing.规定的其他人员 ] 可在任何合理的时间检查与保管被许可人所拥有的
The OSCE “Best practice guide on marking, record-keeping and traceability of small枪支及其零部件和弹药有关的被许可人的设施。
arms and light weapons” suggests (section V, page 10) that, in addition to activities such第59条. 进口、出口或过境许可证 [ 授权] 的有效性
as falsifying and altering markings on firearms and other activities already covered by1. [ 许可当局名称] 必须为进口、出口或过境许可证 [ 授权] 规定
the Protocol, States should consider establishing any form of falsification of small arms具体的有效期。
and light weapons record-keeping as a penal offence. Article 65. Failure to keep records 1. Every person who intentionally or negligently fails or omits to keep a record in the manner it is required to be kept under [chapter V of the Law] commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a regulatory sanction]. Commentary There is no requirement under the Protocol that States criminalize the failure to keep records required under article 7 (and article 6, paragraph 2). However, penalizing persons 136 Model Law on Firearms, Their Parts and Components and Ammunition for failing to keep records or failing to keep accurate records will help ensure that those persons with an obligation to keep records fulfil their statutory obligations. Such a provision is necessary to ensure satisfactory fulfilment of the obligation to keep records, where a State imposes a record-keeping obligation on authorized entities and persons, and to ensure that offenders cannot avoid harsher sanctions associated with illicit manufacturing and trafficking simply by failing to keep the records needed to establish that criminal conduct has taken place (see the Legislative Guide, paragraph 231). Article 66. Destruction of records 1. Every person who intentionally or negligently destroys any record that is required to be kept under and in accordance with [chapter V of the Law] commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a regulatory sanction]. Commentary There is no requirement under the Protocol that States criminalize the destruction of records required under article 7 (and article 6, paragraph 2). However, penalizing persons who destroy records before the minimum time period specified in article 49 of this annex, will help ensure that those persons with an obligation to keep records fulfil their statutory obligations. Such a provision is necessary to ensure satisfactory fulfilment of the obligation to keep records, where a State imposes a record-keeping obligation on authorized entities and persons, and to ensure that offenders cannot avoid harsher sanctions associated with illicit manufacturing and trafficking simply by destroying the records needed to establish that criminal conduct has taken place (see the Legislative Guide, paragraph 231). Article 67. Failure to submit a report 1. Every person who intentionally or negligently: (a) Fails or omits to submit a report to [name of competent authority] that contains details of all transactions recorded in accordance with [annex I, article 38 (Reports to be submitted)] of this Law; or (b) Submits a report to [name of competent authority] in accordance with [annex I, article 38 (Reports to be submitted)] of this Law that contains false, in accurate or incomplete information; commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a regulatory sanction]. Commentary There is no requirement under the Protocol to require authorized entities and persons who are required to keep records to submit regular reports. If, however, a State chooses Annex I. Additional considerations 137 to demand regular reporting by authorized entities and persons in accordance with [annex I, article 38 (Reports to be submitted)] then an appropriate penalty should be imposed for a failure to submit such a report. As noted in the Legislative Guide (paragraph 23), an offence relating to the failure to report transactions or giving false, inaccurate or incomplete information is of particular relevance where records are retained by a state agency that will be relying on the provision of accurate reports to conduct tracing. F. offences specific to licensing Commentary Legislators and drafters may consider additional offences in relation to the mandatory offences in relation to trafficking. Should a State adopt a system of registration of exporters and importers, it may wish to create an associated offence for carrying out import or export activity without being registered. Additionally, if a State requires an application process for licences or authorization of import and export activities, offences relating to providing false or misleading information on licence application forms could be created. The adoption of these offences is not required by the Protocol. Article 68. Operation without registration [authorization] 1. Every person who [specify level of intent, as appropriate] carries out any import or export activity without [being registered with [name of licensing authority]] [written authorization from [name of licensing authority]] as required by this Law commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be liable to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Commentary Suggested provision Source: Protocol, article 10, paragraphs 1 and 5. This provision could be considered where a State has chosen to implement a system of registration or authorization of those who engage in activities as an importer or exporter. Article 69. Providing misleading or false applications for licences for an import, export or transit activity 1. Where for the purpose of obtaining any form of licence as required under [chapter VII of the Law], every person who [specify level of intent, as appropriate]: (a) Makes a statement that is false or misleading or omits a material fact in a licensing document; or138 Model Law on Firearms, Their Parts and Components and Ammunition (b) Furnishes a document or information containing a false statement or misrepresenting or omitting a material fact in a licensing document; commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall be liable to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Commentary States may consider establishing offences for the giving of false or misleading information, material non-disclosure (to cover cases in which accurate but incomplete information was given) or the falsification or misuse of documents necessary in the licensing or authorization process. These provisions should be consistent with existing domestic criminal law provisions on providing false information or documentation. G. offences specific to brokering Commentary The Protocol requires States parties to consider establishing a system for regulating the activities of brokers. Should a State adopt a regime for brokering, it may also wish to establish an associated offence for illicit brokering. Alternatively, if a State requires disclosure of a broker as part of the import/export licensing/authorization process, offences relating to providing false or misleading information on licence application forms could include an offence for failing to provide required information about brokerage activities (see the Legislative Guide, paragraph 237). The establishment of these offences is not required by the Protocol. Article 70. Illicit brokering 1. Every person who [specify level of intent, as appropriate] engages in any brokering activity without legal authorization or a licence issued in accordance with [title of this Law] commits an offence. 2. A person guilty of an offence under paragraph 1 of this article shall upon conviction be subject to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Article 71. Operating as a broker without registration [authorization] 1. Every person who [specify level of intent, as appropriate] carries out any brokering activity [without being registered with [name of licensing authority]] [without written authorization from [name of licensing authority]] as required by this Law commits an offence.Annex I. Additional considerations 139 2. A person guilty of an offence under paragraph 1 of this article shall be liable to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category]. Commentary This provision could be considered where a State has chosen to implement a system of registration or authorization of those who engage in activities as a broker. Article 72. Providing misleading or false applications for licences for a brokering activity 1. Where for the purpose of obtaining any form of licence for a brokering activity as required under [chapter XVI of the Law], a person who [specify level of intent, as appropriate]:2. 进口、出口或过境许可证[ 授权] 在以下情况下到期:
(a) Makes a statement that is false or misleading or omits a material fact in(a) 在许可证规定的到期日期;
a licensing document; or(b) 如果许可证的持有者在许可证规定的到期日期之前向 [ 许可
(b) Furnishes a document or information containing a false statement or当局名称] 交还该许可证; 3. 进口、出口或过境许可证 [ 授权 ] 的有效期可根据申请且在 [许可当局名称]批准后予以延长。
misrepresenting or omitting a material fact in a licensing document;4. 有关延长有效期的申请必须在到期日期之前以书面形式向 [许可当局名称 ] 提出,否则将需要提出新的许可证[ 授权]申请。
commits an offence.评注
2. A person guilty of an offence under paragraph 1 of this article shall be liable许可证 [ 授权 ] 的有效期应足够长,以确保能切实完成转让之行为。有些管辖区域建议许可证有效期
to [imprisonment for ...] and/or [a fine of/up to ...] [a fine of the ... category].至少为一年。
Commentary第60条. 许可证的撤销
States may consider establishing offences for the giving of false or misleading information, material non-disclosure (to cover cases in which accurate but incomplete information许可证持有人具有以下情形的,[ 许可当局名称 ] 可通过发出书面 通知的方式,撤销进口、出口或过境许可证: (a) 不再拥有持有许可证的资格; (b) 违反或未能遵守本法中的任何条款或许可证中规定的任何条件; (c) 如果新的事实表明,在对许可证 [ 授权 ] 申请进行审查时已经
was given) or the falsification or misuse of documents necessary in the licensing or知道或存在本应导致拒绝签发进口、出口或过境许可证的证据; (d) 如果被许可[授权]人违反某项具有约束力的联合国安全理事会 武器禁运、对 [ 国家名称 ] 具有约束力的或 [ 国家名称 ] 自愿同意加入
authorization process. These provisions should be consistent with existing domestic的区域武器禁运或国内武器禁运的条款;132 打击非法制造和贩运枪支及其零部件和弹药示范法 (e) 如果被许可 [ 授权 ] 人犯有非法贩运枪支及其零部件或弹药的
criminal law provisions on providing false information or documentation.141罪行或其他严重罪行;
Annex II(f) 自签发许可证以来情况已经发生重大变更的。
List of relevant instruments and documents第 61 条 . 最终用户证明 无论在什么时候出口枪支及其零部件和弹药,出口商均应要求 进口商从得到进口国政府授权的人员那里获得一份证明,以期说明:
A. Multilateral and regional instruments and documents(a) 出口商的详细资料,包括姓名、地址和商号名称;
1.  United Nations(b) 最终用户信息,包括姓名、职务、详细地址和原始签名;
Instruments(c) 最终目的地国家;
United Nations Convention against Transnational Organized Crime(d) 对出口枪支和(或)其零部件和(或)弹药的详细说明、数量
1及价值;
Protocol against the Illicit Manufacturing of and Trafficking in Firearms,(e) 最终用户的名字、名称和职务;
Their Parts and Components and Ammunition, supplementing the United(f) 最终用户证明的日期;
Nations Convention against Transnational Organized Crime(g) 签发上述证明的授权。
2起草说明
Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in国家可以制定独立的、广泛涉及常规武器贸易的常规武器立法。该立法可以将最终用户证明规定为 一种必需文件。如果存在此种立法,可直接提及该条款。
Small Arms and Light Weapons in All Its Aspects选项 1
3无论何时出口枪支及其零部件和弹药,出口许可证申请必须附上
International Instrument to Enable States to Identify and Trace, in a Timely[常规武器管制法]第 [......] 条规定的最终用户证明。
and Reliable Manner, Illicit Small Arms and Light Weapons最终用户
4进口商若在本地市场转售货物,则一般应视为最终用户。
Documents其他要求
Report of the Group of Governmental Experts established pursuant to国家可自行酌定,选择要求进一步提供与最终用户证明有关的信息。这可包括: (a) 对枪支和(或)其零部件和(或)弹药的说明;附件一 . 需要考虑的补充事项 133
General Assembly resolution 60/81 to consider further steps to enhance(b) 保证只能在获得 [ 原出口国 ] 的书面授权之后才可以对进口枪支和(或)其零部件和(或) 弹药进行再出口;
international cooperation in preventing, combating and eradicating illicit(c) 有关政府当局根据国内做法提供的最终用户真实性的证明。该证明必须包括授权日期、 授权官员的姓名、职务及其原始签字;
brokering in small arms and light weapons(d) 保证将以交付核查证明的方式提供进口证据。 第62条. 交货核查
5除了《示范法》第 30条之外,各国还可考虑以下选项:
Report of the Group of Governmental Experts established pursuant to General选项 1 在每次装运出口许可证所涉枪支及其零部件或弹药之后,出口商 应在 [......月 ] 之内向 [ 许可证当局名称 ] 提供其到达授权目的国的
Assembly resolution 61/72 to consider further steps to enhance cooperation证据以及到达收货人场所的地点和日期的证据。
with regard to the issue of conventional ammunition stockpiles in surplus 6选项 2
1出口商应将与出口许可证上所述枪支及其零部件或弹药有关的
United Nations, Treaty Series, vol.出口许可证正本、相关提货单或航运收据、包装单以及出口商发票 保存[.
2225, No......
39574.]月,并且在[相关当局名称]要求的时候出示这些文件以供其
2检查。 第 63 条 . 关于出口商、进口商 [及中介 ]的数据库
Ibid., vol. 2326, No. 39574.1. 由 [ 指定当局名称 ] 管理的国家数据库应载有关于以出口商和
3进口商 [ 以及中介] 身份行事者的信息。该数据库至少应载有: (a) 所有注册出口商和进口商 [ 以及中介 ] 的名称以及注册申请中
Report of the United Nations Conference on the Illicit Trade in Small Arms and Light Weapons所包含的相关信息; (b) 关于进口和出口[以及中介活动]许可证申请的详细资料,包括 已经批准的和拒绝批准的,以及枪支收货人及最终用户的详细资料。134 打击非法制造和贩运枪支及其零部件和弹药示范法
in All Its Aspects, New York, 9-20 July 2001 (A/CONF.192/15), chap. IV, para. 24.2. 此种记录至少应当保存 [10] 年。
4评注
A/60/88 and Corr.2, annex; see also General Assembly decision 60/519.建议条款
5法律出处:《枪支议定书》,第7条。 如果一个国家选择建立国家数据库,则其应符合根据《示范法》第五章规定或通过的记录保管要求。 如果一个国家选择对中介和中介活动实施管制,则其也可将这些记录纳入该数据库。在关于中介问题
A/62/163 and Corr.1.的报告(A/62/163和 Corr.1,第 40段)中,政府专家组指出,大多数国家都会在其视为必要的
6期限内保存已获得从事中介活动和交易许可证的人员或实体的记录。如果一个国家选择建立数据库,
A/63/182.142 Model Law on Firearms, Their Parts and Components and Ammunition则其应将那些与注册为中介、进口商和出口商(如果需要注册)的人员有关的信息以及已收到的所有
Report of the Group of Governmental Experts established pursuant to关于枪支及其零部件的中介活动、进口和出口许可证申请的详细资料(无论申请是否获得批准)纳入 数据库。另外,这种数据库有助于各国达到《枪支议定书》规定的国际合作要求。
General Assembly resolution 54/54 V, entitled “Small arms”E. 刑罚和临时条款
7评注
Report of the Ad Hoc Committee on the Elaboration of a Convention against根据一个国家的现行法律及其为执行《枪支议定书》有关记录保管、标识和许可证的要求和其他要求 所选择的方法,各国不妨考虑在若干领域确定另外一些犯罪行为,不过,这并不是一项强制性要求。
Transnational Organized Crime on the work of its twelfth session: interpretative notes for the official records (travaux préparatoires) of the negotiation如果一个国家采用某种中介制度,它不妨确定一种相关的非法中介罪。另外,如果一个国家要求作为
of the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the进口 / 出口许可 / 授权程序的一部分披露中介的身份,则与在许可证申请表上提供虚假或误导性信息
United Nations Convention against Transnational Organized Crime有关的犯罪可包括一种未能提供与中介活动有关的必要信息的罪行(见《立法指南》,第 237段)。
8本议定书未对是否应确定上述任何罪行做出要求。
Legislative Guides for the Implementation of the United Nations Convention1.
against Transnational Organized Crime and the Protocols Thereto专门针对保管记录的罪行
9评注
How to Guide: Small Arms and Light Weapons Legislation 10《枪支议定书》并没有规定各国须将未能根据第 7条规定保管记录的行为定为犯罪。但是,将这类
United Nations Coordinating Action on Small Arms, Project on International行为定为犯罪将有助于对那些有义务保管记录的人起到震慑作用,促使其在工作中小心谨慎,不敢 遗漏、伪造或更改此种记录,另外,这还有助于确保记录的准确性,便于进行追查。虽然各国必须
Small Arms Control Standards有效保管某些记录(正如《示范法》第五章(记录保管)所讨论的那样),但是它们有权自行决定
UNODC Technical Guide to the Implementation of the Firearms Protocol对未能保存记录的行为是实施刑事处罚还是行政处罚和制裁。《立法指南》(第 231段)特别建议对 记录保管方面的犯罪给予与非法制造和非法贩运基本犯罪相同的处罚,以确保犯罪者无法仅仅因为
(forthcoming)未保管或销毁能够确定犯罪行为已发生的记录而逃避更严厉的处罚。在确定犯罪意图要件时,各国需要 附件一 . 需要考虑的补充事项 135 考虑一种更低程度的意图,包括重大过失,以确保有义务保管和保存记录者无法以没有犯罪意图为 借口而逃避其责任。 对保管记录犯罪实施处罚的性质将取决于每一个管辖区域。制定以下条款的目的是帮助各国确定 与保管记录犯罪有关的刑事犯罪。鼓励那些希望保留该条款的刑法性但实施较低程度责任和处罚的 国家或者考虑对其他一些行为采取行政处罚而非刑事处罚的国家根据需要采用上述建议条款。 第64条. 伪造和变造记录 1. 凡故意或因过失保存虚假或具有误导性的或变造依据 [《示范 法》第五章 ] 之规定必须保存的记录者,均构成某种犯罪。
2.  Organization  for Security and Cooperation  in Europe2. 犯有本条第 1 款之下某种罪行者,应被处以 [......有期徒刑 ]
OSCE Plan of Action on Small Arms and Light Weapons 11 OSCE Handbook of Best Practices on Conventional Ammunition 12和(或)[....../以下罚款][一种管理处罚]。
OSCE Principles on the Control of Brokering in Small Arms and Light评注 《枪支议定书》没有要求各国将伪造或变造第 7条(以及第 6条第 2款)之下要求保管的记录定为
Weapons犯罪。但是,将这些活动定为犯罪将有助于对那些有义务保管记录的人起到震慑作用,使其不敢伪造
13或变造此种记录,并确保记录的准确性,便于进行追查。正如《立法指南》(第 231段)所指出的,
Standard Elements of End-User Certificates and Verification Procedures for如果参与转让枪支的人员或实体对保存事后追查所需记录负有首要责任,则有关伪造记录的犯罪就将
SALW Exports特别具有针对性。
14欧安组织《小武器和轻武器标识、记录保管和追查能力最佳做法指南》(第五节,第 10页)建议,
Handbook of Best Practices on Small Arms and Light Weapons除了伪造和变造枪支标识以及《枪支议定书》所涵盖的其他行为之外,各国还应当考虑将以任何形式
15伪造小武器和轻武器记录确定为一种刑事犯罪。
OSCE Document on Small Arms and Light Weapons 16 Principles Governing Conventional Arms Transfers 17第65条. 未能保存记录
“Best practice guide on marking, record-keeping and traceability of small1. 凡故意或因过失未能以 [《示范法》第五章 ] 之下要求的方式 保存或遗漏保存所需记录者,均构成某种犯罪。
arms and light weapons”2. 犯有本条第 1 款之下某种罪行者,应被处以 [......有期徒刑 ]
18和(或)[....../以下罚款][一种管理处罚]。
7评注
A/CONF.192/2.《枪支议定书》没有要求各国将未能保存第7条(以及第6条第2款)之下要求保管的记录定为犯罪。
8但是,处罚未能保管记录或未能保管准确记录者将有助于对那些有义务保管记录的人起到震慑作用,136 打击非法制造和贩运枪支及其零部件和弹药示范法
A/55/383/Add.3.使之履行其法定义务。如果一个国家将保管记录的义务赋予授权实体和个人,则此种条款对于确保
9圆满履行保管记录的义务是必要的,并能确保犯罪者无法仅仅因未保管能够确定犯罪行为已发生的
United Nations publication, Sales No. E.05.V.2.记录而逃避与非法制造和贩运有关的更严厉的处罚(见《立法指南》,第231段)。
10第66条. 毁坏记录
United Nations Development Programme, Bureau for Crisis Prevention and Recovery, How to1. 凡故意或因过失毁坏 [《示范法》第五章 ] 之下要求保存的 记录者均构成某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应被处以 [......有期徒刑 ]
Guide: Small Arms and Light Weapons Legislation (Geneva, 2008).和(或)[....../以下罚款][一种管理处罚]。
11评注
Organization for Security and Cooperation in Europe, document FSC.DEC/2/10.《枪支议定书》没有要求各国将毁坏第 7条(以及第 6条第 2款)之下要求保管的记录定为犯罪。 但是,对在本附件第49条规定最低时限之前毁坏记录者进行处罚将有助于确保那些有义务保管记录
12的人履行其法定义务。如果一个国家将保管记录的义务赋予授权实体和个人,则此种条款对于确保
_____, Handbook of Best Practices on Conventional Ammunition (Vienna, 2008).圆满履行保管记录的义务是必要的,并能确保犯罪者无法仅仅因销毁能够确定犯罪行为已发生的记录 而逃避与非法制造和贩运有关的更严厉的处罚(见《立法指南》,第231段)。
13第67条. 未能提交报告
_____, Forum for Security Cooperation, decision No. 8/04, 24 November 2004. 141. 凡具有以下情形者: (a) 故意或因过失而未能或遗漏向 [ 主管当局名称 ] 提交载有根据 本法 [ 附件一,第 38 条(应提交的报告)] 记录的所有交易的详细资料
_____, Forum for Security Cooperation, decision No. 5/04, 17 November 2004. 15的报告的;或 (b) 故意或因过失而根据本法[ 附件一,第 38 条(应提交的报告)] 向[ 主管当局名称] 提交的报告中载有虚假、不准确或不完整信息的;
_____, Handbook of Best Practices on Small Arms and Light Weapons (Vienna, 2003).均构成某种犯罪。
162. 犯有本条第 1 款之下某种罪行者,应被处以 [......有期徒刑 ]
A/CONF.192/PC/20, annex, appendix.和(或)[....../以下罚款][一种管理处罚]。
17评注
Programme for Immediate Action Series No. 3 (DOC.FSC/3/96), 1993. 18枪支议定书》未要求必须保存记录的授权实体和个人定期提交报告。但是,如果一个国家选择要求 授权实体和个人根据[附件一,第38条(应提交的报告)]定期提交报告,则应对未能提交此种报告者
Organization for Security and Cooperation in Europe, “Best practice guide on marking, recordkeeping and traceability of small arms and light weapons”, in Handbook of Best Practices ..., part II.Annex II. List of relevant instruments and documents 143实施适当的处罚。正如《立法指南》(第23段)所指出的,如果由某个国家机构保存记录,而该机构附件一 . 需要考虑的补充事项 137
3.   Wassenaar Arrangement  on Export Controls  for Conventional Arms and又依赖于向其提供便于追查的准确记录,那么与未能报告交易或提供虚假、不准确或不完整的信息 有关的犯罪才会特别具有针对性。
Dual-Use Goods and TechnologiesF. 专门针对许可证的罪行
Best Practice Guidelines for Exports of Small Arms and Light Weapons评注
Elements for Effective Legislation on Arms Brokering立法人员和起草者可以考虑与非法贩运方面的强制犯罪有关的其他犯罪。如果一个国家采用某种出口
B. Regional instruments and documents商和进口商注册制度,则不妨考虑确定一种与开展注册进口或出口活动相关的犯罪。另外,如果一个
1.  Africa国家要求应为进口和出口活动办理许可证或授权办理申请程序,则可以确定与提供虚假或具有误导性
Instruments信息有关的犯罪。《枪支议定书》未对确定这些犯罪做出要求。
Central African Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components That Can Be Used第68 条. 在没有注册 [ 授权]的情况下开展业务
for Their Manufacture, Repair and Assembly1. 凡未按照本法要求 [ 向 [ 许可当局名称 ] 注册 [ 从 [ 许可当局
19名称]获得书面授权] 而开展从事任何进口、出口活动者[ 视情况需要,
Economic Community of West African States Convention on Small Arms具体说明意图 ] 均构成某种犯罪。 2. 犯有本条第1款之下某种罪行者,应在被宣告有罪之后被处以 [......有期徒刑]和(或)[....../以下罚款][......类罚款]。
and Light Weapons, Their Ammunition and Other Related Materials评注 建议条款 法律出处:《枪支议定书》,第10条第1和5款。 如果一个国家已经针对从事进口商或出口商活动选择执行一种注册或授权制度,则可以考虑本条款。
Nairobi Protocol for the Prevention, Control and Reduction of Small Arms第 69条. 为获得进口、出口或过境许可证提供
and Light Weapons in the Great Lakes Region and the Horn of Africa具有误导性或虚假的申请
Protocol on the Control of Firearms, Ammunition and Other Related Materials in the Southern African Development Community Region1. 如果出于获得 [《示范法》第七章 ] 之下要求的任何形式的
Documents许可证之目的,凡具有以下情形者均构成某种犯罪[视情况需要,具体
Regional Centre on Small Arms and Light Weapons, Best Practice Guidelines for the Implementation of the Nairobi Declaration and the Nairobi说明意图]:
Protocol on Small Arms and Light Weapons(a) 在某个许可文件中做出虚假、具有误导性或遗漏重要事实的
Bamako Declaration on an African Common Position on the Illicit Proliferation, Circulation and Trafficking of Small Arms and Light Weapons陈述的;或138 打击非法制造和贩运枪支及其零部件和弹药示范法
20(b) 在某个许可文件中提供载有虚假陈述或错误表述或遗漏重要
Decision on the illicit proliferation, circulation and trafficking of small arms事实的文件或信息的。
and light weapons2. 犯有本条第1款之下某种罪行者,应在被宣告有罪之后被处以
21[......有期徒刑]和(或)[....../以下罚款][......类罚款]。 评注 各国可考虑将提供虚假或具有误导性的信息、严重不披露(涉及提供准确但不完整信息的情形)、 伪造或滥用许可 [ 授权 ] 程序中所需文件的行为定罪。上述条款应与有关提供虚假信息或证明文件的 现有国内刑法条款相一致。 G. 具体到中介的犯罪 评注 《枪支议定书》要求缔约国考虑建立一种中介活动管理制度。如果一个国家采用某种中介制度,则 不妨考虑给非法中介设定一种相关罪行。换句话说,如果一个国家要求作为进口 / 出口许可 / 授权 程序的一部分披露中介身份,则与在许可证申请表中提供虚假信息或具有误导性信息有关的罪行中, 可包括一种针对未提供有关中介活动之必要信息的罪行(见《立法指南》,第237段)。《枪支议定书》 未对设定上述罪行做出要求。 第70条. 非法中介 1. 凡在未经合法授权或未获得根据 [ 本法的名称 ] 签发的许可证 的情况下从事任何中介活动者 [ 视情况需要,具体说明意图 ] 均构成 某种犯罪。 2. 犯有本条第 1 款之下某种罪行者,应在被宣告有罪之后被处以 [......有期徒刑]和(或)[....../ 以下罚款 ][......类罚款]。 第 71条. 在没有注册 [ 授权]的情况下开展中介业务 1. 凡未按照本法要求 [ 向 [ 许可当局名称 ] 注册 [ 从 [ 许可当局 名称 ] 获得书面授权 ] 而开展从事任何中介活动者 [ 视情况需要,具体 说明意图 ] 均构成某种犯罪。附件一 . 需要考虑的补充事项 139 2. 犯有本条第1款之下某种罪行者,应在被宣告有罪之后被处以 [......有期徒刑]和(或)[....../以下罚款][......类罚款]。 评注 如果一个国家已经针对从事中介活动者选择执行一种注册或授权制度,则可以考虑本条款。 第72 条 . 为获得中介活动许可证提供具有误导性或虚假的申请 1. 如果出于获得 [《示范法》第十六章 ] 之下要求的任何形式的 中介活动许可证之目的,凡具有以下情形者均构成某种犯罪 [ 视情况 需要,具体说明意图] : (a) 在某个许可文件中做出虚假、具有误导性或遗漏重要事实的 陈述的;或 (b) 在某个许可文件中提供载有虚假陈述或错误表述或遗漏重要 事实的文件或信息的。 2. 犯有本条第1款之下某种罪行者,应在被宣告有罪之后被处以 [......有期徒刑]和(或)[....../以下罚款][......类罚款]。 评注 各国可考虑将提供虚假或具有误导性的信息、严重不披露(涉及提供准确但不完整信息的情形)、 伪造或滥用许可 [ 授权 ] 程序中所需文件的行为定罪。上述条款应与有关提供虚假信息或证明文件的 现有国内刑法条款相一致。141 附件二 相关文书和文件清单 A. 多边和区域文书及文件 1. 联合国 文书 《联合国打击跨国有组织犯罪公约》 1 《联合国打击跨国有组织犯罪公约关于打击非法制造和贩运 枪支及其零部件和弹药的补充议定书》 2 《从各个方面防止、打击和消除小武器和轻武器非法贸易的 行动纲领》 3 《使各国能够及时和可靠地识别和追查非法小武器和轻武器的 国际文书》 4 文件 会第 60/81 号决议所设审议在防止、打击和消除小武器和 轻武器非法经纪活动方面加强国际合作的进一步步骤政府 专家组的报告 5 会第61/72号决议所设的、为考虑采取进一步措施,在常规 弹药过剩储存的问题上加强合作的政府专家组的报告 6 1 联合国,《条约汇编》,第2225卷,第39574 号。 2 同上,第2326 卷,第39574号。 3 《联合国小武器和轻武器非法贸易各方面问题大会的报告,2001年7月9日至20日, 纽约》(A/CONF.192/15),第四章,第24段。 4 A/60/88和Corr.2,附件;另见大会第60/519号决定。 5 A/62/163和Corr.1。 6 A/63/182。142 打击非法制造和贩运枪支及其零部件和弹药示范法 为“小武器”的第 54/54 V号决议所设政府专家组的报告 7 订一项打击跨国有组织犯罪公约特设委员会第十二届会议 工作报告:联合国打击跨国有组织犯罪公约关于打击非法制造 和贩运枪支及其零部件和弹药的补充议定书谈判正式记录 (准备工作文件)的解释性说明 8 《执行联合国打击跨国有组织犯罪公约及其各项议定书立法 指南》 9 《如何指导:小武器和轻武器立法》 10 合国小武器协调行动,国际小武器管制标准项目 《联合国毒品和犯罪问题办公室执行〈枪支议定书〉的技术 指导》(即将出版) 2. 欧洲安全与合作组织 欧安组织《小武器和轻武器行动计划》 11 欧安组织《常规弹药最佳做法手册》 12 安组织《小武器和轻武器中介管制原则》 13 《小武器和轻武器出口的最终用户证明的标准要素和核查程序》 14 《小武器和轻武器最佳做法手册》 15 欧安组织《小武器和轻武器文件》 16 《适用于常规武器转让的原则》 17 《小武器和轻武器标识、记录保管和追查能力最佳做法指南》 18 7 /CONF.192/2。 8 /55/383/Add.3。 9 合国出版物,出售品编号:E.05.V.2。 10 合国开发计划署,危机预防和恢复局,《如何指导:小武器和轻武器立法》 (日内瓦,2008年)。 11 洲安全与合作组织,第FSC.DEC/2/10 号文件。 12 洲安全与合作组织,《常规弹药最佳做法手册》(维也纳,2008年)。 13 洲安全与合作组织,安全合作论坛,第8/04号决定,2004年11月24日。 14 洲安全与合作组织,安全合作论坛,第5/04号决定,2004年11月17日。 15 洲安全与合作组织,《小武器和轻武器最佳做法手册》(维也纳,2003年)。 16 /CONF.192/PC/20,附件,附录。 17 《立即行动方案丛刊》,第3辑(DOC.FSC/3/96),1993 年。 18 洲安全与合作组织,《小武器和轻武器标识、记录保管和追查能力最佳做法 指南》,《......最佳做法手册》第二部分。附件二 . 相关文书和文件清单 143 3. 《关于常规武器和两用货物及技术的出口管制的瓦塞纳尔安排》 《小武器和轻武器出口最佳做法指南》 《武器中介问题有效立法的要素》 B. 欧洲文书和文件 1. 非洲 文书 《中部非洲管制小武器和轻武器及其弹药和一切制造、维修、 装配零部件公约》 19 《西非国家经济共同体关于小武器和轻武器、其弹药及其他 相关材料的公约》 《在大湖区和非洲之角防止、控制和减少小武器和轻武器的 内罗毕议定书》 《关于南部非洲发展共同体内管制枪支、弹药和其他有关物资 的议定书》 文件 武器和轻武器区域中心,《执行〈内罗毕宣言〉和〈内罗毕 小武器和轻武器议定书〉的最佳做法指南》 《关于小武器和轻武器非法扩散、流通和贩运的非洲共同立场 的巴马科宣言》 20 《关于小武器和轻武器非法扩散、流通和贩运的决定》 21
2.2.
Americas美洲
Instruments文书
Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials《美洲国家禁止非法制造和贩运枪支、弹药、爆炸物及其他
22有关材料公约》
1922
A/65/517-S/2010/534, annex.19 /65/517-S/2010/534,附件。
2020
A/CONF.192/PC/23, annex./CONF.192/PC/23,附件。
2121
Organization of African Unity, document AHG/Dec.洲统一组织,第 AHG/Dec.
137 (XXXV), July 1999.137(XXXV) 号文件,1999年7月。
2222
United Nations, Treaty Series, vol. 2029, No. 35005.144 Model Law on Firearms, Their Parts and Components and Ammunition合国,《条约汇编》,第2029卷,第35005号。144 打击非法制造和贩运枪支及其零部件和弹药示范法
Documents文件
Draft Model Legislation and Commentaries on Legislative Measures to Establish Criminal Offences in Relation to the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives and Other Related Materials《关于采取立法措施确定与非法制造和贩运枪支、弹药、爆炸物
23及其他有关材料有关的刑事犯罪的示范立法草案和评注》
Model Legislation and Commentaries in Relation to Confiscation and Forfeiture of Firearms, Ammunition, Explosives, and Other Related Materials23
24《关于没收和扣押枪支、弹药、爆炸物及其他有关材料的示范
Proposed Model Legislation and Commentaries for Strengthening Controls立法和评注》
at Export Points for Firearms, Ammunition, Explosives and Other Related24
Materials《加强枪支、弹药、爆炸物及其他有关材料出口点管制的拟议
25示范立法和评注》
Model Legislation on the Marking and Tracing of Firearms25
26《关于标识和追查枪支的示范立法》
Code of Conduct of Central American States on the Transfer of Arms,26
Ammunition, Explosives and Other Related Material《中美洲国家关于转让武器、弹药、爆炸物及其他有关材料的
Model Regulations for the Control of the International Movement of Firearms, Their Parts and Components and Ammunition行为守则》
27《管制枪支及其零部件和弹药国际流动示范条例》
Amendments to the Model Regulations for the Control of the International27
Movement of Firearms, Their Parts and Components and Ammunition:《管制枪支及其零部件和弹药国际流动示范条例修正案:中介条例》 28 《安第斯全面防止、打击和消除小武器和轻武器非法贸易计划》 29 3. 阿拉伯国家 文件 于阿拉伯协调行动共同打击小武器和轻武器非法贸易的 决议 30 拉伯国家小武器和轻武器问题协调中心第一次会议的报告 31 于阿拉伯协调行动共同打击小武器和轻武器非法贸易的 决议 32 《阿拉伯关于武器、弹药、爆炸物及危险材料的示范立法》 33 23 洲国家组织,第 OEA/Ser.L/XXII.6.3-GE/CIFTA/doc.2/07 rev.3号文件。 24 洲国家组织,第 OEA/Ser.L/XXII.2.11- CIFTA/CC-XI/doc.12/10号文件。 25 洲国家组织,第 OEA/Ser.L/XXII.6.2-GE/CIFTA-CICAD/doc.2/06 rev.4号文件。 26 洲国家组织,第 OEA/Ser.L/XXII.6.1-GE/CIFTA-CICAD/doc.3/06 rev.3号文件。 27 洲国家组织,第 OEA/Ser.L/XIV.2.34- CICAD/doc1281/03号文件。 28 洲国家组织,第 OEA/Ser.L/XIV.2.34- CICAD/doc1271/03号文件。 29 第斯共同体,安第斯外交部长理事会,哥伦比亚 Quirama,2003 年 6 月 25 日, 第552号决定。 30 拉伯国家联盟,部长理事会第 6625 号决议,2006 年3月4日。 31 拉伯国家联盟,2005 年。 32 拉伯国家联盟,部长理事会第 6447 号决议,2004 年9月14日。 33 拉伯国家联盟,阿拉伯内政部长理事会,突尼斯,2002年。附件二 . 相关文书和文件清单 145 4. 亚洲及太平洋 文件 《关于执行东盟打击跨国犯罪行动计划的工作方案》 34 《采取共同办法应对武器管制问题》(《楠迪框架》) 35 5. 欧洲 文书 洲议会和欧洲联盟理事会关于执行《联合国枪支议定书》 第 10 条以及制定枪支及其零部件和弹药出口授权、进口和 过境措施的条例提案 立欧共体军民两用物品出口、转让、中介和过境管制制度的 第428/2009 号欧洲理事会条例 36 定关于军事技术和军事设备出口管制共同规则的欧洲联盟 理事会第2008/944/CFSP号共同立场 37 改关于管制取得和持有武器的欧洲理事会第 91/477/EEC 号 指令的欧洲议会和欧洲联盟理事会第2008/51/EC 号指令 38 洲联盟打击非法累积和贩运小武器和轻武器及其弹药战略 39 洲联盟理事会关于武器中介管制问题的第 2003/468/CFSP 号 共同立场 40 洲联盟理事会关于欧洲联盟协助制止过度累积与传播小武器 和轻武器的联合行动以及撤销第 1999/34/CFSP 号联合行动 41 34 《东南亚国家联盟反恐问题特别部长会议联合公报》,吉隆坡,2002 年 5 月 20 日和21日。 35 太平洋警察首长会议和大洋洲海关组织,2000年。 36 《欧洲联盟公报》,L 134,2009年5 月 29 日。 37 上,L 335,2008年12月13日。 38 上,L 179,2008年7月8日。 39 洲联盟理事会,第5319/06号文件。 40 《欧洲联盟公报》,L 156,2003年 6 月 25 日。 41 《欧洲共同体公报》,L 191,2002 年 7 月 19 日。146 打击非法制造和贩运枪支及其零部件和弹药示范法 C. 专题文书和文件 1. 中介 《管制枪支及其零部件和弹药国际流动示范条例修正案:中介
Broker Regulations条例》(见上文)
28洲联盟理事会关于武器中介管制问题的第 2003/468/CFSP 号
Andean Plan to Prevent, Combat and Eradicate Illicit Trade in Small Arms共同立场(见上文)
and Light Weapons in All Its Aspects《关于国家管制中介活动的最佳做法指南》
2942
3.  Arab States安组织《小武器和轻武器中介管制原则》(见上文)
Documents《关于常规武器和两用货物及技术出口管制的瓦塞纳尔安排
Resolution on Arab coordination for combating the illicit trade in small所涉武器中介问题的有效立法要素》(见上文)
arms and light weapons会第 60/81 号决议所设审议在防止、打击和消除小武器和
30轻武器非法经纪活动方面加强国际合作的进一步步骤政府专家
Report of the first meeting of Arab national focal points on small arms and组的报告(见上文)
light weapons2. 追查
31《使各国能够及时和可靠地识别和追查非法小武器和轻武器的
Resolution on Arab coordination for combating the illicit trade in small国际文书》(见上文)
arms and light weapons《欧洲联盟理事会关于成员国应对其他成员国警察当局在调查
32被扣或被发现的犯罪相关枪支供应渠道过程中所提跨界请求的
Arab Model Law on Weapons, Ammunitions, Explosives and Hazardous标准程序的建议》
Material43
33《小武器和轻武器标识、记录保管和追查能力最佳做法指南》
23(见上文)
Organization of American States, document OEA/Ser.L/XXII.6.3-GE/CIFTA/doc.2/07 rev.3.《关于枪支标识和追查的示范立法》(见上文)
24际刑警组织(刑警组织)《枪支追查系统》
____, document OEA/Ser.L/XXII.2.11- CIFTA/CC-XI/doc.12/10.3. 最终用户证明
25《小武器和轻武器出口的最终用户证明的标准要素和核查
____, document OEA/Ser.L/XXII.6.2-GE/CIFTA-CICAD/doc.2/06 rev.4.程序》(见上文)
2642
____, document OEA/Ser.L/XXII.6.1-GE/CIFTA-CICAD/doc.3/06 rev.3.洲安全与合作组织,《关于国家管制中介活动的最佳做法指南》,《小武器和 轻武器最佳做法手册》(维也纳,2003 年)第四部分。
2743
____, document OEA/Ser.L/XIV.2.34-CICAD/doc1281/03.欧洲联盟理事会,第 10000/07 ENFOPOL 104 CRIMORG 99 + COR 1 号文件。附件二 . 相关文书和文件清单 147
28《关于常规武器和两用货物及技术出口管制的瓦塞纳尔安排,
____, document OEA/Ser.L/XIV.2.34-CICAD/doc1271/03.常用最终用户保证:综合指示清单》
2944
Andean Community, Andean Council of Foreign Ministers, Quirama, Colombia, on 25 June 2003,4. 司法互助和引渡
decision 552.《联合国毒品和犯罪问题办公室引渡示范法》
30《联合国毒品和犯罪问题办公室刑事事项互助示范法(包括 民法和普通法系)》 45 据《欧洲联盟条约》第 34 条之规定缔结《欧洲联盟成员 国刑事事项互助公约》的欧洲联盟理事会第 2000/C 197/01 号 法律 46 据《欧洲联盟条约》第 K.3 条拟订的《海关管理部门之间 互助与合作公约》 47 洲联盟理事会关于欧洲逮捕令和成员国之间的移交程序的 第2002/584/JHA 号框架决定。 48 44 《关于常规武器和两用货物及技术出口管制的瓦塞纳尔安排》,在 1999 年全体 会议上商定,并在 2005 年全体会议上作了修正。 45 第53/112号决议修正的大会第45/117号决议,附件。 46 《欧洲共同体公报》,C 197,2000年7月 12 日。 47 上,C 24,1998年1月23日。 48 上,L190,2002年7月18日。149 附件三 国家停用标准 评注 《打击非法制造和贩运枪支及其零部件和弹药的补充议定书》第9条列出了有关停用枪支的一般原则, 但未提供与停用枪支有关的具体技术指南。由各国自行确定其停用标准。下文介绍了一些国家技术 规范的例子。
League of Arab States, Ministerial Council resolution 6625, 4 March 2006.澳大利亚:新南威尔士州,《2006年枪支条例》
31第 34条 收藏枪支
____, 2005.......
32(3) 据本 [1996 年《枪支法》] 第 20 条 (a) 项之规定,枪支收藏者
____, Ministerial Council resolution 6447, 14 September 2004.必须符合这样的条件,即成为收藏品的任何被禁枪支(适用于D 类 许可证的来复枪)均必须采取以下方式致使其永久无法开火:
33(a) 须将一根镗孔直径低碳钢条插入枪管,并延至整个枪管长度,
____, Council of Arab Ministers of the Interior, Tunisia, 2002.Annex II. List of relevant instruments and documents 145(b) 钢条必须被完全焊接到:
4.  Asia and  the Pacific(i) 枪口和齐平面,和 (ii) 枪膛(如果适用),
Documents(c) 管必须焊接到机匣上,以防止拆卸枪管,
Work Programme to Implement the ASEAN Plan of Action to Combat(d) 必须拆下撞针,并将撞针孔焊死, (e) 以拆卸且无损于枪支外观的任何内部弹簧或部件必须拆除,
Transnational Crime(f) 须将枪支的所有扳机都焊接到某个固定位置上,以防止扳机
34起作用,
“Towards a common approach to weapons control” (the Nadi Framework)(g) 支的内部部件(如果可能)必须加以焊接,以防止枪支起作用, (h) 所有枪栓和外部击打工具必须焊接到某个固定位置上,150 打击非法制造和贩运枪支及其零部件和弹药示范法
35(i) 枪支有关的任何其他机制或枪械装置必须焊接到某个封闭的
5.  Europe位置上,以防止起作用。
Instruments(4) 根据本法第 20 条 (a) 项之规定,枪支收藏许可证必须符合这样的 条件,即成为收藏品的任何被禁枪支(适用于 D 类许可证的来复枪)
Proposal for a regulation of the European Parliament and of the Council of均必须采取以下方式致使其永久无法开火:
the European Union implementing article 10 of the United Nations Firearms(a) 须将一根镗孔直径低碳钢条插入枪管,并延至5厘米, (b) 钢条必须被焊接到枪口上, (c) 必须将一根 5 厘米长的钢塞插入枪管并完全焊平, (d) 须将枪管与机匣焊接到一起,以防止拆卸枪管。
Protocol and establishing export authorization, import and transit measures(5) 尽管有 (3) 和 (4) 款之规定,任何被禁枪支均可通过核定方式进行 分段隔离,从而使之永久无法开火(即磨掉枪支的外部部件,以便将其
for firearms, their parts and components and ammunition内部机制暴露出来)。 (6) 为了第(3) 和(4) 款之目的,且除了这些条款的要求之外:
Council of the European Union regulation 428/2009 setting up a Community(a) 所有需要焊接的工作都必须:
regime for the control of exports, transfer, brokering and transit of dual-use(i) 可能焊实,不得以点焊的方式进行,且
items(ii) 过气体保护金属极电弧焊、钨电极惰性气体保护焊、手动
36焊弧电极或带钢丝的气溶焊方式进行,和
Council of the European Union common position 2008/944/CFSP defining(b) 果枪支中有无法顺利焊接但又必须焊接的有色金属成份的 部件,则可以对该部件进行粘贴和钉住,以防止其起作用,和
common rules governing control of exports of military technology and(c) 不适合焊接的材料制成的枪管可用低碳钢条塞堵住,并且用
equipment气体火焰硬钎焊或类似方法进行焊接,和
37(d) 枪支上的所有接头均必须进行焊接,使之阻塞。
European Parliament and Council of the European Union directive 2008/51/加拿大:加拿大枪支注册停用指南 停用涉及到从枪支上拆卸部件或部件的各个部分,并且还涉及到插入 销钉等物品及进行焊接,从而使枪支无法再上膛或装填弹药。附件三 . 国家停用标准 151
EC amending Council directive 91/477/EEC on control of the acquisition1. 口径在 20毫米或以下小武器的停用
and possession of weaponsa. 半自动、全自动、有选射模式的以及经过修改的枪支
381. 必须通过压配合,将与镗孔直径相同或更大的硬化钢盲孔成型
European Union strategy to combat illicit accumulation and trafficking of销放入枪膛的枪管中,在可行的情况下,同时穿过枪身或机匣,以防止 弹药上膛。另外,必须将盲孔成型销焊实,从而使露出的一端被完全
SALW and their ammunition焊死。此处焊接的力度和硬度必须与制造枪支时所采用的金属力度和
39硬度相近。如果枪支口径大于 12.7 毫米(0.5 英寸),则成型销的直径
Council of the European Union common position 2003/468/CFSP on the不需要大于12.7毫米。如果是多管枪支,则所有枪管都必须焊上成型销, 根据需要利用多个成型销来堵塞所有枪膛。
control of arms brokering2. 必须将枪管与枪身或机匣焊接到一起,以防止更换。
403. 支撑弹夹的枪支后膛正面的枪闩部分必须拆除,或者钻出一个
Council of European Union joint action on the European Union’s contribution to combating the destabilizing accumulation and spread of small arms直径至少与弹夹大小的孔,从而使枪闩无法再支撑弹夹。
and light weapons and repealing joint action 1999/34/CFSP4. 机匣必须焊死,以防止更换枪闩。 5. 如果枪支的设计目的是支持全自动射击,则必须使触发机制
41不能再使用。必须通过切割或研磨的方式,销毁全自动射击所需的所有
34触发机制零部件,并且要焊死,以防止更换。
See the Joint Communiqué of the Special Association of Southeast Asian Nations (ASEAN)b. 来复枪、散弹枪和非左轮手枪 1. 必须按照第1条a项之规定对枪管、枪闩以及枪身或机匣进行修改。 2. 如果枪闩是以一个单件形式出现,则必须将其与枪身或机匣
Ministerial Meeting on Terrorism, Kuala Lumpur, 20 and 21 May 2002.焊接到一起,以防止更换。
35c. 左轮手枪、旋转来复枪和散弹枪以及玩具左轮手枪和弹珠左手枪
South Pacific Chiefs of Police Conference and Oceania Customs Organization, 2000.1. 枪管和旋转弹膛必须用膛径硬化钢销进行堵塞,横过整个枪管 和旋转弹膛的长度。成型销必须和枪口、枪管 / 旋转弹膛槽焊到一起,
36从枪口装弹药的枪支除外,这种枪支应将成型销与机匣后端焊到一起。
Official Journal of the European Union, L 134, 29 May 2009.焊接的力度和硬度必须与枪支的力度和硬度相近。
37d. 黑火药来复枪和散弹枪 1. 必须按照第 1.c.1 段所述方式,使用一个盲孔成型销将传火孔 之前的枪管堵死。152 打击非法制造和贩运枪支及其零部件和弹药示范法 2. 传火孔必须焊死。如果是爆破枪,接头必须焊死,然后将其焊 到枪管上,以防止更换。 e. 弹匣 1. 必须将推弹环与弹匣内壁焊到一起,以防止装填弹药。 2. 必须将弹匣与枪身或机匣焊到一起,以防止拆卸或更换。 2. 特殊设计或构造的枪支
Ibid., L 335, 13 December 2008.a. 如果枪支是用特殊材质制造或具有特殊设计,则可以允许对1.a
38至 e 项所述程序进行变更。但是,任何程序变更都必须达到与原来程序
Ibid., L 179, 8 July 2008.相同的目标。 南非:2007 年《枪支管制修正条例》
39第 107条 枪支的停用
Council of the European Union, document 5319/06.......
40(9) 军械工人必须采用以下方式停用枪支:
Official Journal of the European Union, L 156, 25 June 2003.(a) 枪管和枪膛:
41枪管和枪膛的后部插入一个紧配合金属塞并进行固定焊接,
Official Journal of the European Communities, L 191, 19 July 2002.146 Model Law on Firearms, Their Parts and Components and Ammunition以阻止弹夹上膛或装弹药。 (b) 左轮手枪的旋转弹膛: 旋转弹膛的后部插入一个紧配合金属塞并进行固定焊接,以 阻止弹夹上膛或装弹药。
C. thematic instruments and documents(c) 撞针:
1.  Brokering短撞针,并通过焊接方式将后膛面上的撞针孔焊死。
Amendments to the Model Regulations for the Control of the International(d) 后膛面: 45 度角拆除 75% 或以上的后膛面。如果是左轮手机, ‘后膛面’系指与枪管成直线并支撑弹夹基本部分的区域。
Movement of Firearms, Their Parts and Components and Ammunition:(e) 滑片、枪栓或枪闩: 45度角拆除 75%或以上的锁紧面。附件三 . 国家停用标准 153
Broker Regulations (see above)(f) 枪身或机匣: 除 75% 或以上的上膛坡道、锁紧台肩和支撑物,并且将
Council of the European Union common position 2003/468/CFSP on the一个金属塞焊入其中,以便防止安装标准滑片、枪栓或枪闩。 大不列颠及北爱尔兰联合王国 大不列颠及北爱尔兰联合王国的枪支停用标准载于篇幅长达 47 页的
control of arms brokering (see above)《散弹枪弹匣改装及枪支停用技术规范》(2010 年修订)。附表 4 载有
“Best practice guide on national control of brokering activities”《枪支停用技术规范》(可访问:www.homeoffice.gov.uk/publications/
42police/firearms/deactivation-of-firearms-2010?view=Binary)。155
OSCE Principles on the Control of Brokering in Small Arms and Light附件四
Weapons (see above)销毁方法
Elements for Effective Legislation on Arms Brokering of the Wassenaar评注 《打击非法制造和贩运枪支及其零部件和弹药议定书》第 6条第 2款载有一项关于支持销毁国家 所扣押的枪支及其零部件和弹药的设想,但是,《枪支议定书》并未载有与销毁方法有关的指南或
Arrangement on Export Controls for Conventional Arms and Dual-Use具体要求。因此,各国可自行决定采取何种销毁方法来销毁其扣押和没收的枪支及其零部件和弹药。 在确定所要采用的销毁方法时,各国可参照秘书长关于小武器、轻武器、弹药和爆炸物销毁方法的
Goods and Technologies (see above)报告 (S/2000/1092)中所描述和建议的方法。下文摘录了报告中着重讲述销毁方法的章节。还鼓励
Report of the Group of Governmental Experts established pursuant to General Assembly resolution 60/81 to consider further steps to enhance international cooperation in preventing, combating and eradicating illicit brokering in small arms and light weapons (see above)各国参考《国际小武器管制标准》模块 5.50(销毁:武器),该模块以一种国际标准的形式更新和
2.  Tracing详细介绍了秘书长的报告。
International Instrument to Enable States to Identify and Trace, in a Timely...... B. 销毁方法 20. 以下是销毁小武器和轻武器最常用的某些方法的说明。其目的不是 要评定或推荐任何特定方法,而只是为了说明每一种方法的技术要件
and Reliable Manner, Illicit Small Arms and Light Weapons (see above)和限制因素,及其较具普遍性的优点和缺点。以下清单并非面面俱到, 因为还有许多其他方法可以销毁一个武器或使之失去作用。
Council of the European Union recommendation on a standard procedure烧毁
in member States for cross-border enquiries by police authorities in investigating supply channels for seized or recovered crime-related firearms and21. 这里讨论两种烧毁方法,一种方法廉价而简单,另一个方法复杂
the annexed manual而且可能比较昂贵: (a) 露天烧毁:
43(i) 许多情况下都曾有效地使用过露天烧毁的方法。这是成功地
“Best practice guide on marking, record-keeping and traceability of small销毁武器的一种简单而廉价的方法。这种方法唯一必需的材料 是某种类型的燃料(木材或煤)和加强热度的易燃物质(例如
arms and light weapons” (see above)汽油)。需要掌握的唯一技能是使武器处于安全状态,适当地
Model Legislation on the Marking and Tracing of Firearms (see above)堆放武器,以最大限度地加以销毁,并核实武器是否已完全 156 打击非法制造和贩运枪支及其零部件和弹药示范法
International Criminal Police Organization (INTERPOL) Firearms Tracing销毁。另一项安全措施是将武器的枪口全部朝一个方向放置,
System并在进行烧毁时禁止闲人在场和行动;
3.  End-user  certificates(ii) 毁的优点还在于可引起受冲突影响的人民高度注意,以及从
Standard Elements of End-User Certificates and Verification Procedures for政治上和心理上向其表明立场;
SALW Exports (see above)(iii) 是,烧毁的一个主要缺点是,如果燃烧时的热量不足,烧毁
42的效果并不好。对这些武器进行再次烧毁、回收和掩埋,使之
Organization for Security and Cooperation in Europe, “Best practice guide on national control of不能轻易再行使用,或是以大锤敲打等其他方法进一步加以
brokering activities”, in Handbook of Best Practices on Small Arms and Light Weapons (Vienna, 2003),摧毁,则可以克服这一缺点; (iv) 应考虑到的一点是,除非一个国家具有完善的钢铁工业, 否则烧毁武器的废料价值可能无法充抵它们的运输费用。那样 的话,最好这些废料深埋,或在可能的情况下用于建造某种 和平纪念物。 (v) 优点: a. 简单和具有成本效益; b. 可以在收集地点或其附近进行; c. 只需最低程度的训练和设备; d. 令人高度注意,具有心理和政治价值; (vi) 缺点: a. 在销毁武器方面不是一直 100% 的有效; b. 所得废料价值甚低; c. 时的空气污染造成环境问题,尤其是武器中含有高百分率 的塑料和聚合物时更令人关切; (b) 在铸造炉/鼓风炉内熔化: (i) 可以利用电炉、鼓风炉或铸造炉的地方,这可能是最佳的 销毁方法,不过,需要将武器运送一段距离,因为相关的基础 设施很少刚好位于武器收集或储存的地点,这可能会引起费用 问题。采用这种方法也需要制定全面的销毁计划,包括把所有 非钢铁部分从武器上拆除,进行安全检查,提供可靠的运输, 并对这项基本属于商业运作的工作不断进行监督; (ii) 化过程在技术上是安全的,产生的环境影响最小。除拆除非 金属部分和辅助设备之外,不需要再进行任何补充处理。回收 利用熔化的金属残余是完全有可能的,不过,这取决于武器 的数量和高级钢材所占的百分比。铸造设施可以免费提供 这项服务,以换取熔化的残余物。这可能有助于抵消运输 费用和其他相关费用;附件四 . 销毁方法 157 (iii) 建造小型土高炉来处理数量较少的武器,不过,利用其他 方法来处理少量武器的效率可能更高;
part IV.(iv) 优点:
43a. 完全和绝对销毁;
Council of the European Union, document 10000/07 ENFOPOL 104 CRIMORG 99 + COR 1.Annex II. List of relevant instruments and documents 147b. 具有成本回收的可能性;
Wassenaar Arrangement on Export Controls for Conventional Arms and(v) 缺点:
Dual-Use Goods and Technologies, End-User Assurances Commonly Used:a. 需要固定设施;
Consolidated Indicative Listb. 可能需要大量运输费用。
44露天引爆
4.22.
Mutual  legal assistance and  extradition如果有合格的炸药技术人员,则可采用露天引爆这一较为简易的
UNODC Model Law on Extradition方法,将武器置于浅坑内,并将炸药装药放在武器上。以销毁突击步枪
UNODC Model Law on Mutual Assistance in Criminal Matters (for both而言,利用引爆可销毁机匣、枪栓、枪管和扳机等。这可能是一个成本
civil and common law systems)昂贵的过程,除非作为解除军备过程的一部分,从原武器拆取炸药如
45塑料炸药引爆。安全程序必须十分严格,不仅在处理和使用炸药方面,
Council of the European Union Act 2000/C 197/01 establishing, in accordance with article 34 of the Treaty on European Union, the Convention on而且在销毁场地、有关人员、无关人员以及财产之间必须确保足够的安全
Mutual Assistance in Criminal Matters between the Member States of the距离。总有可能出现以下情况,即某些武器或部件会被爆炸抛出坑外,
European Union在这种情况下,爆炸后必须对四周地区进行彻底检查。另外,还必须进行
46详细检查,以确保武器已全部被销毁。在坑内填土、安置沙袋或水袋
Convention, drawn up on the basis of article K.3 of the Treaty on European可减少这种顾虑。严格按程序进行,就可将武器毁坏,使之无法重新使用。
Union, on Mutual Assistance and Cooperation between Customs23. 这一方法特别适于销毁迫击炮、反坦克炮和轻便防空导弹系统发射
Administrations器等。另外,少量大口径武器可用炮膛内引爆强烈炸药的方法销毁:
47(a) 优点:
Council of the European Union framework decision 2002/584/JHA on the(i) 销毁率极高,特别对于较大型武器;
European arrest warrant and the surrender procedures between member(ii) 可见度高,具有象征价值;
States(b) 缺点:
48(i) 需要熟练的技术人员;
44(ii) 可能需要将炸药运入一个没有安全保证的作业区;
Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and(iii) 需要制定详细的安全程序;
Technologies, agreed at the 1999 plenary meeting, amended at the 2005 plenary meeting.(iv) 残余物必须清除或掩埋;
45(v) 回收利用的可能性极低;
General Assembly resolution 45/117, annex, as amended by resolution 53/112.(vi) 环境可能受到噪音、空气或地面污染的影响;158 打击非法制造和贩运枪支及其零部件和弹药示范法
46(vii) 销毁小武器而言不具有成本效益,除非可从原武器拆用大量
Official Journal of the European Communities, C 197, 12 July 2000.引爆炸药。
47切割
Ibid.24.
, C 24, 23 January 1998.切割受到广泛利用,可以以多种方式进行。但是,就效果而言,不同
48 Ibid., L 190, 18 July 2002.149 Annex III National deactivation standards Commentary Article 9 of the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition sets out general principles pertaining to deactivation, but does not provide specific, technical guidelines pertaining to deactivating firearms. It is up to States to determine their own deactivation standards. Examples of national specifications are provided below. Australia: New South Wales, Firearms Regulation 2006 Clause 34  Firearms  collections ... (3) In accordance with section 20 (a) of the [Firearms Act 1996], a firearms collector licence is subject to the condition that any prohibited firearm (being a rifle to which a category D licence applies) that is part of the collection must be rendered permanently incapable of being fired in the following manner: (a) a bore diameter mild steel rod must be inserted into the barrel of the firearm extending for the full length of the barrel, (b) the steel rod must be fully welded to: (i) the muzzle and finished flush, and (ii) the chamber of the firearm (if applicable), (c) the barrel must be welded to the receiver to prevent the barrel from being removed, (d) the firing pin must be removed and the firing pin hole welded closed, (e) any internal springs or components that can be removed without detracting from the external appearance of the firearm must be removed, (f) any trigger of the firearm must be welded in a fixed position to prevent the trigger from working, (g) the internal components of the firearm must (if possible) be welded to prevent the firearm from working, (h) any bolts and external hammers must be welded in a fixed position,150 Model Law on Firearms, Their Parts and Components and Ammunition (i) any other mechanism or action in respect of the firearm must be welded in a closed position to prevent the firearm from working. (4) In accordance with section 20 (a) of the Act, a firearms collector licence is subject to the condition that any prohibited firearm (being a shotgun to which a category D licence applies) that is part of the collection must be rendered permanently incapable of being fired in the following manner: (a) a bore diameter mild steel rod must be inserted into the barrel of the firearm for a distance of 5 cm, (b) the steel rod must be welded flush to the muzzle, (c) a 5 cm long steel plug must be inserted into the chamber and fully welded flush, (d) the barrel must be welded to the receiver to prevent the barrel from being removed. (5) Despite subclauses (3) and (4), any such prohibited firearm may be rendered permanently incapable of being fired by being sectionalised (that is, by milling away the external parts of the firearm to expose its internal mechanisms) in an approved manner. (6) For the purposes of subclauses (3) and (4), and in addition to the requirements of those subclauses: (a) any welding required to be done must: (i) be substantial and, wherever practicable, not be done by way of spot welding, and (ii) be done by way of gas metal arc, gas tungsten arc, manual arc electrode or gas fusion with steel wire, and (b) if a firearm has a component of a non-ferrous composition that cannot be satisfactorily welded but is required to be welded, that component may be glued and pinned to prevent it from working, and (c) the barrel of a firearm that is constructed of material unsuitable for welding may be plugged with a mild steel rod and welded by gas brazing or a similar method, and (d) any nipple of a firearm must be welded so that it is blocked. Canada: Canadian Firearms Registry Deactivation Guide Deactivation involves the removal of parts or portions of parts from a firearm, and the addition of pins and welds so that the firearm can no longer chamber or fire ammunition.Annex III. National deactivation standards 151 1.  Deactivation of Small Arms  of Calibre 20mm or Less a. Semi-automatic, Full Automatic, Selective Fire, and Converted Firearms 1. A hardened steel blind pin of bore diameter or larger must be force fitted through the barrel at the chamber, and where practical, simultaneously through the frame or receiver, to prevent chambering of ammunition. Furthermore, the blind pin must be welded in place so that the exposed end of the pin is completely covered by weld. This strength and hardness of the weld must be similar to that of the metal used in the construction of the firearm. In the case of firearms having calibres greater than 12.7mm (.5 inch), the pin need not be larger in diameter than 12.7mm. In the case of multi-barrelled firearms, all barrels must be pinned, using as many pins as necessary to block all chambers. 2. The barrel must be welded to the frame or receiver to prevent replacement. 3. The breech face or portion of the breech bolt which supports the cartridge must be removed or drilled out to a diameter at least as large as the base of the cartridge, so that the bolt can no longer support the cartridge. 4. The receiver must be welded closed to prevent replacement of the breech bolt. 5. In the case of firearms designed to support full-automatic fire, the trigger mechanism must be rendered unusable. Any trigger mechanism part or component which is necessary for full-automatic fire must be destroyed by cutting or grinding and welded in place to prevent replacement. b. Rifles, Shotguns and Handguns Other Than Revolvers 1. The barrel, bolt and frame or receiver must be modified as in 1.a. 2. The bolt, if present as a separate piece, must be welded to the frame or receiver to prevent replacement. c. Revolvers, Revolving Rifles and Shotguns, and Cap and Ball Revolvers 1. The barrel and cylinder must be blocked by a hardened steel pin of bore diameter which traverses the entire length of the barrel and cylinder. The pin must be welded in place at the muzzle, barrel/cylinder gap and except for muzzle-loading firearms, at the breech end of the frame. The strength and hardness of the welds must be similar to that of the firearm. d. Black Powder Rifles and Shotguns 1. The barrel must be blocked immediately forward of the flash hole using a blind pin in the manner described in paragraph 1.c.l.152 Model Law on Firearms, Their Parts and Components and Ammunition 2. The flash hole must be welded closed. In the case of percussion guns, the nipple may be welded closed and then welded to the barrel to prevent replacement. e. Magazines 1. The magazine follower must be welded to the interior of the magazine to prevent loading of ammunition. 2. The body of the magazine must be welded to the frame or receiver to方法产生的结果也不同。更具体地讲,技术稍高一些的方法是使用
prevent removal or replacement.氧乙炔炬或等离子切割器,而不是传统的锯片,因此,销毁的武器很难
2.  Firearms of Unusual Design or Construction再用作零部件。一般而言,在切割从手枪到突击步枪这类小武器时,
a. Allowances may be made for variations of the procedures outlined in 1.a.武器的枪管、机匣、枪栓和扳机机制会被完全切开。切割装置产生的
to e. if the firearm is made of unusual substances or is of an unusual design. However, any variation in the procedure must accomplish the same goals as the original温度越高,金属受到的损坏就越大,重新用来制造武器或部件的机会就
procedures.越小。通过切割来销毁小武器和轻武器的方法很多:
South Africa: Firearms Control Amendment Regulations, 2007(a) 氧乙炔切割:
Clause 107  Deactivation of firearms(i) 乙炔切割是一个已经得到证实的、能销毁所有类型武器的
...方法。设备操作相当简单,经过一天的训练就能使用这种方法。
(9) A gunsmith must deactivate a firearm in the following manner:所需的设备在全世界各地均可租用或买到,可以由直升机、
(a) Barrel and Chamber:轻型飞机或轻型卡车运送。另外,这种切炬基本上不需要维修,
A tight fitting metal plug to be inserted from the rear end and welded in几乎在每一个国家都很容易找到备件;
place to prevent chambering of a cartridge or loading of a powder charge.(ii) 于进行这类工作的氧乙炔切割器的价格在 200 美元至 500
(b) Revolver cylinder:美元之间。使用时,无需用电;
A tight fitting metal plug to be inserted from the rear end and welded in(iii) 种方法实际上只有一个缺点,这就是每次可以销毁的武器
place to prevent chambering of a cartridge or loading of a powder charge.数目有限。销毁武器所需要的时间因武器的大小不同而有别,
(c) Firing Pin:操作者的技能和经验也会影响销毁速度。一天八小时之内实际
To be shortened and the firing pin hole in the breech face to be closed上可以销毁的突击步枪数目粗略平均数为 300-400 件。根据
by welding. (d) Breech face: 75% or more to be removed at an angle of 45 (degrees). In the case of a revolver ‘breech face’ refers to the area supporting the base of the cartridge in line with the barrel. (e) Slide, Bolt or Breech-block: 75% or more of the locking surfaces to be removed at an angle of 45 (degrees). Annex III. National deactivation standards 153 (f) Frame or Receiver: 75% or more of the feed-ramp, locking shoulders and supports to be removed and a metal obstruction welded in place to prevent a standard slide, bolt or breech-block from being fitted. United Kingdom of Great Britain and Northern Ireland Standards for firearms deactivation in the United Kingdom of Great Britain and Northern Ireland are contained in the 47-page “Specifications for the adaptation of shotgun magazines and the deactivation of firearms” (revised 2010). Schedule 4 contains the “Specifications for the deactivation of firearms” (available from www.home office.gov.销毁情况的不同(即销毁是由一个流动单位执行或在一个有
uk/publications/police/firearms/ deactivation-of-firearms-2010?view=Binary). 155围墙保护的固定地点执行),这种方法可能还有一个缺点,这
Annex IV Destruction methods Commentary Article 6, paragraph 2, of the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition includes a presumption in favour of destroying firearms, their parts and components and ammunition that have been seized by the State, but the Protocol contains no guidelines or specific requirements with respect to the method of destruction. Accordingly, it is up to States to determine what methods of destruction they use to destroy seized and confiscated firearms, their parts and components and ammunition. In determining the destruction methods to be employed, States could consider the methods described and recommended in the report of the Secretary-General on methods of destruction of small arms, light weapons, ammunition and explosives (S/2000/1092). An extract of the section of the report pertaining specifically to methods of destruction is provided below. States are also encouraged to consult the International Small Arms Control Standards module 5.50, “Destruction: weapons”, which updates and expands upon the report of the Secretary-General in the form of an international standard. ... B. Methods of destruction 20. The following is a description of some of the most common methods that have been used for the destruction of small arms and light weapons. The purpose is not to rank or recommend any particular method, but simply to present the technical necessities and constraints of each method, as well as more general advantages and disadvantages. The list is not exhaustive, as there are a multitude of ways that a weapon can be made inoperable or destroyed. Burning 21. The two burning methods discussed here are at opposite ends of the spectrum ranging from the cheap and simple to the complex and possibly costly: (a) open-pit burning: (i) Open-pit burning has been effectively used in a number of situations. It is a simple and cheap way to destroy weapons successfully. The only materials necessary for this method would be some type of fuel (wood or coal) and a flammable substance to intensify the heat (gasoline for 156 Model Law on Firearms, Their Parts and Components and Ammunition example). The only skills needed would be in rendering the weapons safe, stacking the weapons to maximize their destruction and verifying the destruction complete. An additional safety measure would be to have all muzzles of the weapons pointing in one direction and forbidding the presence or movement of unauthorized personnel during the burning; (ii) Burning has the added advantage of making a highly visible, political and psychological statement to the conflict-affected population; (iii) However, one of the main disadvantages of burning is its ineffectiveness if there is not sufficient heat produced. This could be overcome by re-burning, recycling the weapons, burying them beyond economical recovery, or by disabling them further through other means such as using a sledgehammer; (iv) An additional consideration should be the fact that unless the country has a well-established steel industry, the scrap value of the burned arms would probably not offset the transportation costs. It would then be best either to bury the scrap or, possibly, to construct a peace monument. (v) Advantages: a. Simple and cost-effective; b. Can be done in or near the collection point; c. Has minimum training and equipment requirements; d. High visible impact with psychological and political value; (vi) Disadvantages: a. Not always 100 per cent effective in destroying the weapons; b. Minimal value for resulting scrap; c. Environmental concerns with temporary air pollution, especially if there are high percentages of plastics and polymers in the weapons; (b) Melting in foundries/blast furnaces: (i) Where it is possible to utilize electrical, blast or foundry furnaces, this is probably the optimum method of destruction. It inevitably means transporting the weapons over some distance and, as the infrastructure is rarely co-located where the weapons are collected or stored, there will likely be cost concerns. This method also requires a comprehensive destruction plan including stripping the weapons of all non-steel components, making safety checks, providing secure transportation and maintaining oversight of what will essentially be a commercial operation; (ii) The melting process is technically safe and has minimal environmental impact. It dispenses with the need for any supplementary process, except for stripping the non-metallic parts and ancillary equipment. Depending on the quantity of weapons and the percentage of high-grade steel, there is a good possibility of recycling the molten metal residue. Foundry furnaces might provide their services free of charge in exchange for the residue. This could assist in offsetting transportation and other related costs; Annex IV. Destruction methods 157 (iii) While it is possible to construct small backyard furnaces to deal with smaller amounts of weapons, other methods of dealing with low volume are likely to be more efficient; (iv) Advantages: a. Complete and absolute destruction; b. Possible cost recovery; (v) Disadvantages: a. Requires a fixed facility; b. Could involve significant transportation costs. Open-pit detonation 22. Open-pit detonation is a relatively simple exercise, assuming the availability of qualified technicians. Destruction can be effected by laying weapons out in a shallow pit and placing explosive charges so that, in the case of the destruction of assault rifles, the receiver, bolt, barrel and trigger housing would be destroyed. This could be an expensive process unless there are donor charges such as plastic explosives that have been collected as part of a disarmament process. Safety procedures have to be rigid, not just in the handling and use of explosives, but ensuring that adequate safety distances are in place between the demolition site, the personnel involved, the general population and property. There is always the possibility that some weapons or parts might be thrown or kicked out of the pit by the explosion and, in that case, the surrounding area must be thoroughly checked after the blast. In addition, a detailed check will have to be done to ensure complete destruction. These concerns could be minimized by tamping the site with earth, sandbags or water bags. A well-executed procedure would mutilate the weapons beyond reuse. 23. This method is particularly well-suited for the destruction of mortars, anti-tank guns and portable launchers of anti-aircraft missile systems. In addition, small quantities of large calibre weapons can be destroyed by detonating a high explosive charge in the chamber: (a) Advantages: (i) Destruction rate is very good, especially for larger weapons; (ii) Highly visible and has symbolic value; (b) Disadvantages: (i) Requires skilled technicians; (ii) Could involve bringing explosives into an insecure operational area; (iii) Requires detailed safety procedures; (iv) Residue must be removed or buried; (v) There are minimum recycling possibilities; (vi) The environment could be impacted by noise, air and ground pollution; 158 Model Law on Firearms, Their Parts and Components and Ammunition (vii) Not cost-effective for destruction of small arms unless there is an abundance of donor charges. Cutting 24. Cutting has been widely used and can be done in a variety of ways. However, the various methods also produce different outcomes regarding effectiveness. More specifically, the slightly higher-tech methods of using either oxyacetylene torches or plasma cutters over conventional saw blades leave far fewer possibilities that the disabled weapons can be used for spare parts. In general, when cutting small arms from handguns to assault rifles, the weapons are cut completely through the barrel, receiver, bolt and trigger mechanism. The higher the temperature generated by the cutting device, the higher the damage to the metal and the less chance the weapon or parts can be rebuilt. There are several ways to destroy small arms and light weapons through cutting: (a) oxyacetylene cutting: (i) Oxyacetylene cutting is a proven method of destroying all types of weapons. The equipment is relatively simple to use, and personnel can be trained to use it in one day. The equipment needed is available for lease or sale worldwide, and can be transported by helicopter, light aircraft or light truck. Additionally, the torch is almost maintenance free and spare parts are easy to come by in almost every country; (ii) The cost of an oxyacetylene cutter appropriate for this type of task would be from $200 to $500. There is no electric power requirement; (iii) The only real disadvantage of this method is the number of weapons that can be destroyed in a given time. The time it takes varies from weapon to weapon based on size. Operator skill and experience also have a bearing on the speed of destruction. The average number of assault rifles that could realistically be destroyed in an eight-hour day would be 300 to 400. Another disadvantage that could arise depending on the situation in which the destruction is being carried out (i.e., whether destruction is done by a mobile unit or at a well-secured stationary site) would be the attractiveness of the equipment to theft. This is a就是销毁设备可能对窃贼具有吸引力。所有使用机械销毁武器
disadvantage for all methods, using any sort of machinery;的方法可能都有这个缺点;
(iv) Advantages:(iv) 优点:
a.a.
Simple, safe and requires little training;简单、安全,基本上不需要进行操作训练;
b.b.
Close to 100 per cent effective in rendering weapons useless, especially if two cuts are made;武器报废的效果接近100%,特别是在切割两次的情况下;
c.c.
Easily maintained and transported;易于维护和运输;
d.d.
Environmentally sound despite the generation of some toxic fumes;虽然会产生一些有毒烟雾,但无害环境;
e. Some material is available for recycling; Annex IV. Destruction methods 159e. 有些材料可回收利用;附件四 . 销毁方法 159
(v) Disadvantages:(v) 缺点:
a.a.
Time-consuming if a large quantity of weapons is to be destroyed;毁大量武器十分耗时;
b.b.
Labour-intensive;劳动强度高;
(b) oxygasoline cutting:(b) 氧汽油切割:
(i) The oxygasoline torch cuts steel using gasoline for fuel, and can be used(i) 汽油炬利用汽油作为燃料切割钢材,可直接用来代替乙炔炬。
as a direct replacement for the acetylene torch. The design keeps the这种切割炬的设计把燃料保持在液体状态,直到切割末端,
fuel as a liquid all the way to the cutting tip, which prevents back-flash这样可以防止燃料反向燃烧,因为没有氧气汽油是不会点燃的。
down the fuel line since gasoline can not ignite without oxygen. Like像氧乙炔一样,当燃烧某些聚合物和塑料时,应对环境和使用者
oxyacetylene, where certain polymers and plastics are burned, environmental and user health precautions should be taken such as ensuring的健康采取一些预防措施,确保空气流通和(或)戴上适当
adequate ventilation and/or the wearing of an appropriate mask filter.的过滤面罩。同乙炔炬相比,氧汽油炬似乎有许多优点,
The oxygasoline system has certain advantages over the acetylene torch,包括:切割迅速、切割干净(对武器销毁来说这不是一项优点)、
including: cutting faster, cutting cleaner (not an advantage for weapons destruction), reduced fuel costs, increased safety and easier fuel storage.燃料费用较低、更加安全和燃料更易储存。
(ii) Advantages:(ii) 优点:
a.a.
Simple, safe and requires little training;简单、安全,基本上不需要进行操作训练;
b.b.
Environmentally sound, despite the generation of some toxic fumes;管会产生一些有毒烟雾,但无害环境;
c.c.
Cost-effective to operate;具有成本效益;
d.d.
Easily maintained and transported;易于维护和运输;
(iii) Disadvantages:(iii) 缺点:
a.a.
More costly for initial purchase;初次采购费用较高;
b.b.
Time-consuming if a large quantity of weapons is to be destroyed;毁大量武器十分耗时;
c.c.
Labour-intensive;劳动强度高;
(c) Plasma cutting:(c) 等离子切割:
(i) In equipment cost, a plasma cutter is more expensive than an oxyacetylene torch. However, it can do the same job as the torch in about half(i) 备成本方面,等离子切割器比氧乙炔炬更昂贵。但是,它只
the time and is easier to use, thus labour costs could be saved. This需要使用氧乙炔炬一半的时间就可以完成相同的工作量,而且
difference in labour and equipment cost would have to be calculated for容易使用,因此可以节省劳动成本。在寻求最具成本效益的
the most cost-efficient method. The plasma cutter also makes a much方法时,必需把人工成本和设备成本方面的差异计算在内。
cleaner cut than an oxyacetylene torch. Plasma cuts rather than burns,等离子切割器也比氧乙炔炬切割得干净的多。由于等离子用于
thus it is best for weapons with high levels of polymers and plastics. It切割,而非烧毁,因此这种方法最适用于使用聚合物和塑料
also releases fewer toxic fumes. Because this cleaner cut does not produce the same amount of slag, it may make the pieces more susceptible较多的武器。它所释放的有毒气体也较少。因为较干净的切割
to repair or re-use. However, this should be of only slight concern,不会产生同样多的金属渣,这可能会使切割后的各部分更容易
especially when double cuts can be made more efficiently with the修复或再被利用。但是,不必对此过于担心,特别是利用等离子
plasma cutter;切割器可以更有效率地进行二次切割;
(ii) The average cost of a plasma cutter is $2,000. It would require 220 volts of electrical current and could be used with a portable generator. A(ii) 离子切割器的平均价格为2 000美元。它需要220伏的电流,
5-kilowatt generator costs approximately $800. Additionally, the cutter也可以使用便携式发电机。5 千瓦发电机的费用大约为 800
would require an air compressor; 160 Model Law on Firearms, Their Parts and Components and Ammunition美元。另外,切割器还需要一个空气压缩器;160 打击非法制造和贩运枪支及其零部件和弹药示范法
(iii) Advantages:(iii) 优点:
a.a.
Safe, requires little training;安全、基本上不需要进行操作训练;
b.b.
Environmentally sound despite generation of some toxic fumes;尽管会产生一些有毒烟雾,但无害环境;
c.c.
Close to 100 per cent effective in rendering weapons useless,武器报废的效果接近 100%,特别是在进行两次切割的
especially if two cuts are made;情况下;
d.d.
Can do twice the work in the same amount of time as the同样的时间里,同氧乙炔炬相比,可以完成两倍的
oxy acetelyne torch;工作量;
(iv) Disadvantages:(iv) 缺点:
a.a.
Could be too expensive if used to destroy small quantities of果是销毁少量武器,费用过高;
weaponry;b. 净的切割可能会增加切割残块被重新利用的危险(不用
b. A cleaner cut could increase the risk of parts being re-used (only a太担心);
slight concern);c. 劳力强度较高;
c. Somewhat labour-intensive;(d) 液压剪切割:
(d) Hydraulic shears cutting:(i) 界许多地方的警察部队都曾利用此种方法来销毁收集或没
(i) Numerous police forces around the world have used this method of收来的武器。切割剪为销毁所有类型武器提供了一种十分有效、
destruction for collected or seized weapons. Cutting shears provide a简易而无害环境的方法。而且,液压剪可以在一天之内销毁
simple, environmentally friendly and effective way to destroy weapons几千件武器。虽然这种方法简易而有效,但价格可能过高。
of all sizes and types. Additionally, hydraulic shears could destroy thousands of weapons in one day. While this method is simple and efficient,液压剪的价格从 1 万美元到 1.5 万美元不等,这取决于液压剪
it may also be cost-prohibitive. Shears can cost from $10,000 to $15,000,的功率、可弯曲和切割的钢材厚薄,或是液压剪完成这项工作
depending on the power source, the thickness of steel they can bend or的速度。可以购置新的或使用过的所需机器,也可根据个别
cut and how fast they can do the job. The machinery needed can be需要(流动或固定地点销毁)定制。虽然这些机器相当昂贵,
bought new or used, and can also be custom-designed to fit individual但它们很坚固,可以切割木材、塑料和聚合物,寿命长、容易
needs (mobile vs. stationary destruction). Although these machines are维修、而且由于易于使用,可以雇用廉价劳动力。因此在实施
quite expensive, they are rugged, can cut wood, plastics and polymers,一项计划完善的、持续的武器收集和销毁方案时,液压剪可能
have a long life, are easily serviced, and can take advantage of low-cost是一种值得投资的设备;
labour owing to their ease of use. Thus, hydraulic shears may be a(ii) 用已安装在现有工业设施内的液压剪也是一种可行办法,
worthwhile investment if a well-planned and sustained weapons collection and destruction programme is to be implemented; (ii) Hydraulic shears already installed in an existing industrial facility are an attractive option because the capital acquisition cost can be absorbed by an operation other than the destruction operation;因为购取的资本费用可由该设施的运作而非销毁运作吸收;
(iii) Advantages:(iii) 优点:
a.a.
Simple to use and requires little training;易于使用,基本上不需要进行操作训练;
b.b.
100 per cent effective in rendering weapons useless if two cuts are割两道即可使武器报废的效果接近 100% ;
employed;c. 迅速、可靠、使用寿命长;
c.d.
Fast, reliable and long-lived;如果不掩埋残块,则对环境无害;
d.e.
Environmentally benign if the scrap is not buried;可以销毁大量武器;
e. Large numbers of weapons can be destroyed;(iv) 缺点:
(iv) Disadvantages:a. 用于销毁少量武器可能过于昂贵;附件四 . 销毁方法 161
a. Could be too expensive for small quantities of weapons; Annex IV. Destruction methods 161b. 维修水平高;
b.c.
High maintenance level;某些较大型的小武器和轻武器可能用途有限;
c. Limitations with some of the heavier small arms and light(e) 其他切割方法:
weapons; (e) other cutting methods: (i) There are numerous other “lower-tech” methods that could be used to destroy weapons, such as hack saws, bench saws and band saws. These methods would obviously not be practical for destroying more than a(i) 然有许多“低技术”方法可以用来销毁武器,例如弓锯、台锯
handful of weapons. Advantages to these cutting methods are mobility和带锯。用这些方法来销毁较多的武器显然是不切实际的。
and low cost. If a collection programme were to move around a country这种切割方法的优点是具有流动性和成本低。如果要在国内或
or region, and it were expected to collect only a few weapons at each区域内四处收集武器,而且预期在每一个地点都只能收集到
site, this method might be considered;少数几件武器,则可以考虑这些方法;
(ii) Advantages:(ii) 优点:
a.a.
Simple to use;易于使用;
b.b.
Inexpensive;费用低廉;
c.c.
Mobile;具有流动性;
(iii) Disadvantages: a. Labour-intensive, since only a handful of weapons can be destroyed at a time; b. Not 100 per cent effective in destroying weapons unless there are numerous cuts. Bending/crushing 25. The destruction or rendering unserviceable of weapons through bending or crushing ranges from very sophisticated factory-type systems to practical systems in the field: (a) Crushing by hydraulic press: (i) Hydraulic presses may be employed in bending and partly crushing weapons. These presses are typically large, very heavy, fixed-installation machines that require mounting on a solid foundation and an adequate power supply. They also require the degree of maintenance associated with large industrial equipment; (ii) Weapons would be severely mutilated, however, strict verification would be required to ensure that a pool of spare parts for weapons is not created. Supplementary destruction methods might be required depending on the weapon type or types involved. It is very suitable for anti-tank guns, recoilless rifles, missile launchers and like systems; (iii) Advantages:(iii) 缺点:
a.a.
High volume;动强度高,因为每次只能销毁几件武器;
b. Reliable for most weapons; 162 Model Law on Firearms, Their Parts and Components and Ammunitionb. 销毁武器方面并非 100% 有效,除非多次切割。
(iv) Disadvantages:扭弯/压碎
a.25.
Requires a supplementary method in certain circumstances;以扭弯和碾碎的方法销毁武器或使武器丧失效用,既可利用十分
b. Fuels and lubricants required may be an environmental复杂的工厂系统,也可利用现场的实用系统:
consideration;(a) 用液压机碾碎:
c. Recycling may be restricted owing to the presence of varnish,(i) 以利用液压机来扭弯或部分压碎武器。这些液压机一般十分
carbon, plastic, etc.;庞大、很笨重、是固定安装的机器,需要安置在一坚固的基础
(b) Crushing by vehicles:上,并且需要充分的电力供应。它还需要大型工业设备所需的
(i) A fairly simple method to at least disable weapons is through the use维修;
of heavy vehicles. The most effective vehicles are those with caterpillar(ii) 须将武器拆毁,不易重造,但需要进行严格的核查,以确保
tracks and weighing between 30 and 40 tons, e.g., tanks or heavy construction vehicles. One would simply need to have the track pads不会产生出一些分离的武器部件。视销毁武器的类型而定,
removed, lay the weapons on a flat hard surface such as asphalt or可能需要采取补充销毁方法。它对销毁反坦克炮、无后坐力
concrete and run over the weapons with the vehicle several times. Care must be taken to ensure that the weapons are separated far enough to ensure a good heavy run over each one. Likewise, if the weapons are laid against a curb, log or steel rail, they could be bent or broken using any sort of heavy vehicle. In all cases where supports are used it is necessary to guard against items being thrown up or aside when subjected to pressure. Finally, front-end loader vehicles can use their bucket/ blade combination to bend or break weapons in a manner similar to the use of shears; (ii) A disadvantage to this method is the lack of completeness. This can be overcome by having visual inspections conducted by competent supervisors to determine the number of runs required to destroy the weapons. Additionally, this could simply be an intermediate method to disable the weapons before complete destruction by some other method such as burning;步枪、导弹发射器和类似系统非常合适;
(iii) Advantages:(iii) 优点:
a.a.
Simple to execute, minimum training required;容量大;
b.b.
Requisite equipment widely available;对大部分武器而言,可靠性高;162 打击非法制造和贩运枪支及其零部件和弹药示范法
c. Inexpensive;(iv) 缺点: a. 在某些情况下需要采用补充方法; b. 需燃料和润滑油有可能引起环境污染问题; c. 于夹杂了清漆、炭、塑料等,可回收利用的范围可能有限;
d. High volume of weapons can be destroyed in one day;(b) 用车辆碾碎:
e. Environmentally benign if the scrap is not buried;(i) 少使武器失去效用的一个相当简单的方法是用重型车辆
f. Provides an opportunity for high visual impact with psychological碾碎武器。最有效的车辆可能是重量在30到40吨之间的履带
and political value;车辆,例如坦克或重型建筑车辆。人们只需要把履带垫拿下,
(iv) Disadvantages:将武器置于坚硬的平面上,例如沥青或混凝土地面上,然后
a. Not 100 per cent effective in destroying all weapons;用车辆碾压那些武器若干次即可。必需注意武器间应有足够
b. Strict verification required;的间隔,以保证每一件武器都被碾压过。同样地,如果把
c. Difficult to do in remote, rural areas;武器搭在路边镶边石、圆木或钢轨上,利用任何类型的重型
d. Not practical for a wide-ranging mobile destruction plan. Annex IV. Destruction methods 163车辆都可以把那些武器扭弯或压坏。不论何种情况,当使用
Shredding支撑物垫起时,在下压时必须注意是否有任何部件飞起或
26. Of all the methods mentioned, shredding is one of the fastest and most effective for destroying weapons. A large, mobile shredder can literally destroy thousands压偏。最后,前端式装载机也可利用它们的铲斗 / 铲刀,以
of weapons per day, and there is absolutely no possibility that any parts could be类似使用剪切机的方式来扭弯或击碎武器;
re-used. Additionally, shredded scrap metal can be recycled to recapture some of(ii) 种方法的缺点是效率不高。这一缺点可以用以下方法克服,
the costs of this method, although this would be minimal owing to the lower quality即由合格的监督人员用肉眼进行观察,以确定车辆是否开过了
of scrap produced if non-metallic parts are not removed in advance.销毁武器所需的次数。另外,在以燃烧等其他方法完全销毁
27. The primary disadvantages to this method are the expense and availability of武器之前,这是使武器失效的一种暂行方法;
the requisite equipment. Even in countries that have established recycling facilities,(iii) 优点:
there are only a few of these machines.a.
The larger ones cost several million dollars.容易实施,基本上不需要进行操作训练;
Smaller models in the $350,000 range are also available.b.
This method would only到处都可以得到所需的设备;
be cost-effective if many thousands of weapons were to be destroyed or if thec. 费用低廉;
country had an already well-established shredding and recycling capability:d. 一天之内可以销毁大量武器;
(a) Advantages:e. 如果不掩埋废料,则对环境无害;
(i) Simple to use;f. 供了造成视觉效果的机会,具有心理和政治上的价值;
(ii) 100 per cent assurance of complete destruction;(iv) 缺点:
(iii) Some costs can be recovered through recycling;a. 对销毁所有武器并非100% 有效;
(iv) Can destroy thousands of weapons at a time;b. 需要严格核查;
(b) Disadvantages:c. 难以在偏远的农村地区进行;
(i) Extremely expensive equipment to buy if not already availabled. 对范围广泛的流动销毁计划来说不切实际。附件四 . 销毁方法 163
in-country;切碎
(ii) Mobile systems are limited by rough terrain;26. 在所有提到的方法中,切碎是最快和最有效的一种武器销毁方法。
(iii) Not cost-effective for quantities of weapons less than several thousand一个大型流动式的切碎机确实每天可以销毁几千件武器,而且任何碎片
or that have to be transported over long distances to a fixed facility.都绝对无法回收重新利用。另外,可以回收被切碎机切碎的金属碎片,
Dumping at  sea以抵消采用这种方法的部分费用。不过,如果事先未拆除非金属部分,
28. This method of destruction is often rejected for environmental reasons. While以致所产生的碎片质地较低,则所能抵消的费用会十分有限。
protection of the environment must always be of high importance, there could be27. 这种方法的主要缺点是费用高和不易得到所需设备。即使在具备
circumstances where the method is acceptable. Historically, this has been one of the回收设施的国家里,这类机器也为数不多。大型机器可能价值几百万
most frequently used methods and it is, in fact, more environmentally sound than美元。较小的机器仍需 35 万美元左右。因此,只有销毁好几千件武器
many other methods as it involves only inert metal with small amounts of contaminants. In any case, global, national and regional norms and instruments must be或有关国家拥有完善的切碎和回收能力时,这种方法才具有成本效益:
consulted in accordance with the provisions of the Convention on the Prevention of(a) 优点:
Marine Pollution by Dumping of Wastes and Other Matter (the London Convention).(i) 易于使用;
1(ii) 保证 100% 彻底销毁;
29. This method can be expensive, as it requires moving the weapons to a port,(iii) 有些费用可通过回收利用予以抵消;
packaging them in barrels or sea containers (drilled with holes to ensure that they(iv) 一次可以销毁几千件武器;
1(b) 缺点:
Opened for signature at London, Mexico City and Washington, D.C., on 29 December 1972 (http://(i) 果国内原来没有,购买这类设备极为昂贵;
untreaty.un.org).164 Model Law on Firearms, Their Parts and Components and Ammunition(ii) 流动系统受到崎岖地形的限制;
sink and free air space being filled with concrete ballast), arranging for a ship with(iii) 于数量在几千件以下的武器而言,不具有成本效益,因为武器
onboard crane facilities and passage to an area with a deep ocean trench, i.e., beyond须长途运送到固定设施。
the continental shelf. There are scientific formulas available to calculate the buoyancy and density of the package to be dumped to ensure that it does not float. This倾弃到海中
is essentially a commercial operation so no training is required.28.
Security prior to由于环境的原因,这种销毁方法往往不被采用。虽然保护环境始终
dumping and verification that a dump has actually been made, requires a certain是非常重要的,但在某些情况下还是适于采用这种方法的。历史上,这
amount of planning and resources:一直是最常用的方法,而且事实上,它比许多其他方法对环境更无害,
(a) Advantages: (i) High-volume capacity; (ii) Recovery virtually impossible; (b) Disadvantages: (i) Expensive, depending on volume; (ii) Logistically difficult; (iii) No recycling possibilities; (iv) Negative psychological impact owing to low visibility to the conflict-因为它只涉及附带少量污染物的无危害性金属。在任何情况下,都必须
affected population. Burial on  land 30. This method would normally be supplementary to one of the other methods discussed. In certain circumstances it could be a “stand alone” method if there was依照《防止倾倒废物及其他物质污染海洋的公约》(《伦敦公约》)相关
sufficient guarantee that the weapons would not be recoverable. This could involve规定,适用全球、国家和区域的规范和文书。
the use of mines or abandoned quarries/excavations, especially if an explosive blast1
was used to cover the weapons.29.
Although this method does not actually destroy采用上述方法可能成本很高,因为这需要把武器运到港口,把它们
weapons, it could be combined with embedding the weapons in cement, which装入桶内或海运集装箱内(打上洞,去除随水泥块进入的空气,以保证
would make the possibility of recovery even more unlikely.1
31. Burial on land can also be done by placing weapons in a pit, covering them972年12月29日在伦敦、墨西哥城和华盛顿特区开放供签字(http://untreaty.un. org/)。164 打击非法制造和贩运枪支及其零部件和弹药示范法
with common salt, replacing the soil over the weapons and then wetting the area它们沉入海底),用船上起重设施把它们装到船上,然后开到下面是
to hasten decomposition. Weapons become unusable within several weeks. Physical security must be maintained until it is certain the weapons have become深海海沟的地方,即大陆架之外的地方。有科学公式可以计算浮力和
unserviceable:确保倾弃物件不能浮起的密度。这基本上是一种商业活动,因此不需要
(a) Advantages: (i) Low cost, simple, rapid; (ii) Could be a supplementary method for scrap residue from other任何训练。倾弃之前的安全问题以及核实武器确实已被倾弃则需要一些
methods;规划和资源:
(b) Disadvantages:(a) 优点:
(i) Possible adverse impact on the environment;(i) 可大量处理;
(ii) No possibility for recycling;(ii) 几乎不可能回收;
(iii) Some danger of subsequent recovery. Annex IV. Destruction methods 165(b) 缺点:
New  technologies(i) 昂贵,视数量而定;
32. New technologies, techniques and equipment are being developed or coming(ii) 后勤工作困难; (iii) 不可能回收利用; (iv) 于受冲突影响的人对这项工作知之甚少,因此对他们具有
on the market continuously. Planners, managers and trainers would need to monitor消极的心理影响。
these developments and adjust accordingly. One new technology that has been陆上掩埋
adopted in some countries is described below.30. 这种方法通常用来补充所讨论的其他方法。在某些情况下,它可以
33. Hydroabrasive cutting, sometimes referred to as water-jet cutting, is becoming作为一种“单一”的方法使用,但须充分保证武器不会被回收。这可能 需要利用矿坑或弃置不用的采石场 / 坑道,特别是在利用爆炸来掩埋
popular with explosive ordnance disposal teams and demilitarization enterprises. It武器的情况下。虽然这种方法不能实际销毁武器,但是,如果能同时
is very effective in destroying small arms and light weapons, especially those weapons and munitions on the higher end of the spectrum. Its advantages over other采用把武器搅放在水泥浆中等方法,这些武器就很难再回收。
torch systems are that it is environmentally sound (there are no toxic fumes) and31. 陆上掩埋也可以采用下列方法处理:将武器置于土坑内,铺洒食盐, 盖上泥土然后浇水弄湿以便加速分解。这样武器在几周内就无法再
favours recycling in that the scrap is unaffected by the cutting process. Currently使用。在确定武器无法再用之前必须有人把守:
it is more expensive than comparative systems, but this is minimized the larger the(a) 优点:
number of weapons to be destroyed.Vienna International Centre, PO Box 500, 1400 Vienna, Austria(i) 费用低、简单、迅速; (ii) 作为处理其他方法生成的残块的补充方法; (b) 缺点: (i) 可能对环境有不利的影响; (ii) 不可能进行回收利用; (iii) 有以后被人找到并恢复原状的可能。附件四 . 销毁方法 165 新技术 32. 新技术和新设备在不断开发和投入市场。规划人员、管理人员和 培训人员需要对这方面的情况进行监测,并做出相应调整。下文说明, 一项新技术已在一些国家采用。 33. 水磨切割,有时称为水力切割,日益获得爆炸物处理队和非军事化 企业的青睐。这种技术在销毁小武器和轻武器方面非常有效,在销毁 高档武器和弹药方面更具效力。它比其他焰炬切割技术的优越之处是它 无害环境(不产生有毒气体)和利于回收,因为废料不受切割过程的 影响。目前这项技术较之比较系统更为昂贵,但销毁的武器数量愈多, 这方面的差异就愈小。Vienna International Centre, PO Box 500, 1400 Vienna, Austria
Tel.Tel.
: (+43-1) 26060-0, Fax: (+43-1) 26060-5866, www.: (+43-1) 26060-0, Fax: (+43-1) 26060-5866, www.
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orgorg
*1182761*V.11-87859—June 2012
United Nations publication打击非法和贩运枪支
Printed in Austria Sales No. E.11.V.9 USD 32 ISBN 978-92-1-133712-9 V.11-82761—July 2011—220 Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition及其零部件和弹药示范法
Model Law against the Illicit Manufacturing of and Trafficking in Firearms打击非法和贩运枪支及其零部件和弹药示范法