Record keeping is another critical component of an effective ATT. Without proper recordkeeping systems the post-delivery verification becomes extremely difficult to execute. Therefore, the ATT in Article 12 sets out several criteria on record keeping.
ATT – Article 12: Recordkeeping
1. Each State Party shall maintain national records, pursuant to its national laws and regulations, of its issuance of export authorizations or its actual exports of the conventional arms covered under Article 2 (1).
2. Each State Party is encouraged to maintain records of conventional arms covered under Article 2 (1) that are transferred to its territory as the final destination or that are authorized to transit or trans-ship territory under its jurisdiction.
3. Each State Party is encouraged to include in those records: the quantity, value, model/type, authorized international transfers of conventional arms covered under Article 2 (1), conventional arms actually transferred, details of exporting State(s), importing State(s), transit and trans-shipment State(s), and end users, as appropriate.
4. Records shall be kept for a minimum of ten years.
The SARPCCO recommendations regarding recordkeeping provide a more comprehensive approach to recordkeeping as it is based on the experience of seasoned law enforcement officials that are primarily tasked with national arms control in their respective countries.
SARPCCO bases its regional recommendations on Article 6 (b) of the SADC Protocol on the Control of Firearms, Ammunition and Other Related Materials. The article states that State Parties must undertake to establish and improve national databases and communication systems, and acquire equipment for monitoring and controlling firearm movements across borders. The suggested system creates areas of responsibility for the various participants in the arms transfer transaction. These are:
32.1 Manufacturers
• The following details must be recorded of an arms manufacturer that applies to the Registrar for a manufacturing license and/or permit and/or authorisation:
• Trading name of the manufacturer • Issued registration number • Physical address
• Contact details of the responsible person
• Inspection reports and returns that state the stock on hand as well as sales
• Details of manufactured firearms:
• Make • Model • Type • Calibre
• Action of firearm • Serial number • Unique markings • Date of manufacture
• Additional recordkeeping requirements for arms manufacturers:
• Manufacturers must be registered with the Central Firearms Registrar • Safety inspection report of the manufacturer’s business premises • Proof of safe and secure storage facility and/or vault
• The Registrar must be informed of the purpose and motivation for manufacturing firearm(s)
• Business license number
• Conditions for manufacturing as prescribed by the Registrar • Weekly manufacturing returns to be made to the Registrar • Weekly transfer reports to be made to the Registrar
• The Registrar must keep the records of manufacturers that have ceased to function for a minimum of ten years
32.2 Dealers
• The following details must be recorded of an arms dealer that applies to the Registrar for a dealer’s license and/or a permit and/or authorisation:
• Trading name of the dealer • Issued registration number • Physical address
• Contact details of the responsible person
• Inspection reports and or returns of stock on hand and sales
• Additional recordkeeping requirements for arms dealers:
• Dealers must be registered with the Central Firearms Registrar • Inspection report of the dealer’s business premises
• Proof of safe and secure storage facility and/or vault
• The Registrar must be informed of the purpose and motivation for requiring firearm(s)
• Business license number
• Conditions for dealing as prescribed by the Registrar
• Weekly returns on the dealer’s purchase to be made to the Registrar • Weekly returns of the dealer’s sales to be made to the Registrar
• The Registrar must keep records of dealers that have ceased to function for a minimum of ten years
32.3 Gunsmiths
• The following details must be recorded of a gunsmith that applies to the Registrar for a gunsmith’s license/permit/authorisation:
• Trading name of the gunsmith • Issued registration number • Physical address
• Contact details of responsible person
• Inspection reports and or returns of stock on hand and sales
• Additional recordkeeping requirements for gunsmiths:
• Gunsmiths must be registered with the central firearms Registrar • Inspection report of a gunsmith’s business premises
• Details of firearms the gunsmith is licensed to work on • Ammunition required for testing purposes
• Business license number
• Conditions for dealing and conducting a business as a gunsmith as prescribed by the Registrar
• Proof of safe and secure storage facility and/or vault
• Weekly returns to the Registrar on repairs done by the gunsmith
• The Registrar must keep records of gunsmiths that have ceased to function for a minimum of ten years
32.4 Brokers
• The following details must be recorded of a broker who applies to the Registrar for a broker’s license/permit/authorisation:
• Trading name of the broker • Issued registration number • Physical address
• Contact details of the responsible person
• Inspection reports and or returns of transactions in progress as well as sales 32.5 Individuals
• The following details must be recorded of an individual who applies to the Registrar for a firearm license/permit/authorisation:
• Name and surname as per identification documents • Identification number and/or passport number • Date of birth
• Contact numbers of the applicant • Contact numbers of spouse, if applicable • Contact numbers of friends and family • Contact number of employer, if applicable • Postal address of the applicant
• Previous physical address, if applicable
• Previous employer, contact details and physical address
• Recent photograph (less than five years old)
• Record of inspection conducted at the physical address where the firearm will be stored
• Proof of a secure/safe storage facility • Particulars of nearest police station • Fingerprints of the applicant
• Competency certificate (records must show if the applicant has previously applied for a competency certificate and whether or not they attained it) • Information on approvals and refusals of other firearm license applications • Information regarding the previous cancellation of firearm licenses • Proof of acquisition of a firearm or firearms
• Unfit declarations
32.6 Institutions (providers of security services)
• The following details must be recorded of an institutions (provider of security services) that has applied to the Registrar for a license/permit/authorisation:
• Trading name of institution (provider of security services) • Issued registration number
• Physical address
• Contact details of the responsible person
• Inspection reports of safe storage inventory on hand and returns on ammunition expenditure
• Information regarding the purpose and motivation for requiring firearm(s) • Particulars of firearms and ammunition that are to be used
• Proof of registration with the applicable authority
• Providers of security services must be licensed to possess firearms and ammunition
• Record of permits issued to security officers to possess firearms and ammunition
• Record of applicable competency certificates issued to security officers • Annual inspection reports carried out by the Registrar
• Additional recordkeeping requirements for institutions (providers of security services):
• Proof of safe and secure storage facility and/or vault
• Proof of the employment of security officers/guards as required by national law Firearms
• The following details of firearms must be recorded:
• Origin and history of a firearm • Firearm particulars:
– Type – Calibre – Serial number – Manufacturer (make) – Unique markings – Action of firearm
– The unique registration number as issued by the Registrar 32.7 General requirements
• The following general recordkeeping requirements must be implemented:
• Lost, stolen and found firearms must be reported to the nearest police office within 24 hours
• Records of the lost, stolen and found firearms must be maintained at the registry
• Destroyed firearms must be marked as ‘ destroyed’ on the registry’s records
• Records must reflect the number of applications the applicant has made:
• The history of the application process • Re-registration of firearms
• Failed application attempts and reasons for denial of applications Recommendation: There is a need to establish and maintain an electronic arms control database in all African countries.