OEA - CP - Resolución Operational procedures manual on tracing firearms

OPERATIONAL PROCEDURES MANUAL ON TRACING FIREARMS, THEIR PARTS AND COMPONENTS, AND AMMUNITION – SALW Program of Assistance for Control of Arms and Destruction of Munitions

(PACAM/OAS)

Department of Public Security, OAS CHAPTER I. GENERAL INFORMATION 1.1. Context and frame of reference This Operational Procedures Manual on Tracing Firearms, Their Parts and Components, and Ammunition – SALW establishes practical, harmonized guidelines to support the member states of the OAS in conducting the tracing of firearms and ammunition, from the recovery and preservation of evidence to the recording of results and the processing of international tracing requests. Tracing is an operational tool to:  identify the origin, trajectory, and point of diversion of weapons and ammunition in illicit circulation;  strengthen criminal investigations and the production of evidence;  support measures to prevent diversion (loss, theft, misplacement, diversion from stockpiles, and illicit routes); and  support cooperation and the exchange of information among states. This Manual has been prepared on the basis of international instruments and applicable technical standards; it has an operational focus and is adaptable to the different institutional realities of member states. 1.2. Background and purpose of the Manual The aim of this Manual is to provide an operational roadmap to: 1. standardize the collection and recording of key information at the time of seizure or recovery; 2. guide technical identification (including in cases of obliterated markings); 3. organize national tracing (consultation and reconstruction of the history under state jurisdiction); 4. guide international tracing, when necessary, through secure channels and with minimum data quality requirements; and 5. functionally integrate police, forensic services, the competent authority, and analytical structures.- 21.3. Linkage with CIFTA and international instruments The Manual is aligned with the international commitments assumed by member states and with recognized technical standards, including international good practices, and serves as a practical guide for applying these guidelines in day-to-day procedures. 1.4. Scope and intended users Applies to tracing procedures for:

The Manual is aligned with the international commitments assumed by member states and with recognized technical standards, including international good practices, and serves as a practical guide for applying these guidelines in day-to-day procedures. 1.4. Scope and intended users Applies to tracing procedures for:  firearms (short, long, and light weapons), including those subject to tracing, particularly those considered illicit, unmarked, or bearing signs of manufacture, modification, or transfer carried out without the corresponding legal or administrative authorizations, as well as those whose origin, trajectory, or legal ownership give rise to suspicion of diversion to the illicit market;  essential parts and components;  ammunition and batches, when identifiable;  associated ballistic evidence; Intended users:  police units responsible for seizure/recordkeeping;  forensic bodies and laboratories;  National Point of Contact (NPC) or equivalent structure;  administrative arms control authorities;  judicial or ministerial authorities, as applicable. 1.5. Structure and methodology of the Manual The Manual presents:  operational definitions and standardized terminology;  step-by-step procedures for seizure, identification, and national and international tracing;  guidelines for integration with forensic services and international tools;  and simplified recordkeeping models and operational annexes (to be consolidated at the end). CHAPTER II. LEGAL FRAMEWORK AND INTERNATIONAL INSTRUMENTS 2.1. Normative terms and the force of recommendations For the purposes of this manual:  “Must” or ”shall” indicates an indispensable minimum requirement for effective tracing and process integrity.  “Should” indicates a recommendation that significantly enhances quality and the likelihood of success, and that can be implemented in accordance with national capabilities. 2.2. Relevant international instruments (summary reference) This manual is guided by internationally recognized instruments and standards, including:- 3United Nations Firearms Protocol Each State Party to the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, which complements the United Nations Convention against Transnational Organized Crime (Palermo Protocol), is required, under Article 11, to:

United Nations Firearms Protocol Each State Party to the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, which complements the United Nations Convention against Transnational Organized Crime (Palermo Protocol), is required, under Article 11, to: “take appropriate measures [to] require the security of firearms, their parts and components and ammunition at the time of manufacture, import, export and transit through its territory." The Protocol also requires states to establish unique and permanent markings on all manufactured or imported firearms, to keep official records to enable tracing, and to designate competent national authorities to coordinate cooperation and the exchange of information. Arms Trade Treaty (ATT) According to Article 5, each State Party shall: "shall take measures necessary to implement the provisions of this Treaty and shall designate competent national authorities in order to have an effective and transparent national control system regulating the transfer of conventional arms”. The ATT requires each state to maintain arms export and import controls, prevent diversion and unauthorized transfers, and promote transparency and accountability in the international arms trade. United Nations Programme of Action (PoA) Section II of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects adopted by the United Nations General Assembly, states: "To encourage States to promote safe, effective stockpile management and security, in particular physical security measures, for small arms and light weapons, and to implement, where appropriate, regional and subregional mechanisms in this regard." The PoA also encourages the development of marking and record-keeping standards, technical cooperation and the exchange of information, and the destruction of seized or obsolete weapons to prevent diversion. International Tracing Instrument The instrument, adopted in 2005, sets out its objectives at articles 1 and 2:- 4 - “1. The purpose of this instrument is to enable States to identify and trace, in a timely and reliable manner, illicit small arms and light weapons.

2. The purpose of this instrument is also to promote and facilitate international cooperation and

“1. The purpose of this instrument is to enable States to identify and trace, in a timely and reliable manner, illicit small arms and light weapons.

2. The purpose of this instrument is also to promote and facilitate international cooperation and assistance in marking and tracing and to enhance the effectiveness of, and complement, existing bilateral, regional and international agreements to prevent, combat and eradicate the illicit trade in small arms and light weapons in all its aspects.” Inter-American Convention (CIFTA) Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and other Related Materials (CIFTA), adopted in 1997, is the Hemisphere’s main legal instrument.

Article VIII states: “States Parties, in an effort to eliminate loss or diversion, undertake to adopt the necessary measures to ensure the security of firearms, ammunition, explosives, and other related materials imported into, exported from, or in transit through their respective territories.” The CIFTA also makes mandatory the marking of firearms at the time of manufacture, import, and transfer; the systematic recordkeeping and tracing of weapons and ammunition; the designation of NPCs; and cooperation among states for the exchange of information and technical assistance.

MOSAIC and IATG standards The MOSAIC Modules and the International Ammunition Technical Guidelines (IATG) define good practices and safety standards applicable to the tracing of SALW and stockpile management.

In particular: - MOSAIC 05.20 “Stockpile management: Weapons” establishes standards for the safe storage, inventory, and disposal of weapons. - MOSAIC 05.31 “Tracing illicit small arms and light weapons” defines tracing as "the systematic tracking of illicit small arms, light weapons or ammunition from the point of their manufacture or import, through the lines of supply, to the point at which they became illicit." - MOSAIC 05.30 “Marking and recordkeeping” These modules reinforce the use of unique marking, centralized recordkeeping, and international cooperation as indispensable elements of an efficient tracing system.- 5International Cooperation Instruments

a. INTERPOL

• MOSAIC 05.30 “Marking and recordkeeping” These modules reinforce the use of unique marking, centralized recordkeeping, and international cooperation as indispensable elements of an efficient tracing system.- 5International Cooperation Instruments

a. INTERPOL INTERPOL supports member states through specialized operational tools: - iARMS (Illicit Arms Records and Tracing Management System): a global database for recording and tracing lost, stolen, or seized firearms; - IBIN (INTERPOL Ballistic Information Network): an international network that connects ballistics laboratories and makes it possible to compare projectiles and cartridges to identify links between criminal cases. These instruments are compatible with the standards defined by CIFTA and the MOSAIC modules, and make up the technical reference framework used in this manual for international firearms tracing. b. Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) – eTrace eTrace is the main investigative tool of the ATF National Tracing Center (NTC). The ATF is the only federal agency in the United States authorized to trace firearms; however, the ATF's authorization only serves to trace firearms for law enforcement agencies involved in legitimate criminal investigations. Participating law enforcement agencies have the option of sharing firearms trace data with other eTrace users in their state that also choose to share their data. This allows users to identify patterns of violent crime in different jurisdictions. 2.3. Obligations and operational commitments of member states (practical summary) As a result of international commitments, states must, in practice:  ensure proper marking and recordkeeping, preserving traceability;  establish security and control mechanisms (including chain of custody and evidence management);  designate a competent authority/NPC to coordinate tracing; and  promote international cooperation through secure channels, with due regard for data protection and confidentiality. CHAPTER III. DEFINITIONS AND STANDARDIZED TERMINOLOGY Uniform terminology is essential for coherence, interoperability, and traceability. This manual adopts operational definitions used in international instruments and in forensic/police practice, and shall guide records, reports, tracing requests and reporting.- 63.1. Key concepts

CHAPTER III. DEFINITIONS AND STANDARDIZED TERMINOLOGY Uniform terminology is essential for coherence, interoperability, and traceability. This manual adopts operational definitions used in international instruments and in forensic/police practice, and shall guide records, reports, tracing requests and reporting.- 63.1. Key concepts Firearm: a weapon with at least one barrel through which a projectile can be discharged through the action of an explosive, designed for that purpose or readily convertible. SALW (small arms and light weapons):  Small arms: individual use (pistols, revolvers, shotguns, carbines, rifles, submachine guns, etc.).  Light weapons: crew-served (heavy machine guns, portable grenade launchers, mortars under 100 mm, etc.).  Improvised or rudimentarily manufactured firearms: those produced manually, outside industrial standards, without visible markings and without official control, and which may replicate existing firearm models.

Main parts of a firearm:  1. Barrel: the metal tube that contains the chamber and the rifling (or smooth bore).  2. Breech: the assembly of parts that closes the rear portion of the barrel.  3. Firing mechanism: trigger, hammer, firing pin, and spring.  4. Bolt: the mechanism that ensures closure and cartridge ejection.  5. Magazine or feeding device: the component that feeds ammunition into the firearm.  6. Stock or grip: the structure that allows the firearm to be held or supported.

Caliber: the internal diameter of the barrel (bore), measured between two opposite lands. It may be expressed in millimeters (e.g., 9 mm) or inches (e.g., .45), and shall always be recorded according to the marking engraved on the firearm itself.

Markings and serial number: shall be permanent, legible, and located on a structural part of the firearm. Minimum information includes: make and model; unique serial number; caliber; year and country of manufacture; country of import (where applicable).

Typical location of markings: - Revolvers: on the frame, under the barrel, or on the cylinder.

firearm. Minimum information includes: make and model; unique serial number; caliber; year and country of manufacture; country of import (where applicable).

Typical location of markings: - Revolvers: on the frame, under the barrel, or on the cylinder. - Pistols: on the slide and the frame.

Shotguns: on the barrel and the receiver. - Rifles: on the upper part of the receiver, near the breech. blank-firing, less-lethal projectile, or air-powered weapons: shall be distinguished from real firearms by the absence of rifling, the absence of a functional bore, and a structure adapted for the use of cartridges without a projectile. 3.2. Identification of ammunition Ammunition: a unit consisting of a case, propellant charge, primer, and projectile, used to produce a discharge in a firearm.

Ammunition components: - 7 -  1. Projectile or bullet: the part expelled by the shot.  2. Case (cartridge case): the metallic casing that contains the propellant charge.  3. Propellant charge: the explosive substance that propels the projectile.  4. Primer: the ignition device.  5. Secondary explosive charge: present in special ammunition, grenades, or tracer cartridges.

Classification: - Ammunition for small arms. - Ammunition for light weapons and conventional systems (mortars, grenades, rockets). - Smoothbore cartridges (shotguns).

Marking and coding: ammunition must bear visible markings indicating caliber and designation

(e.g., 9×19 mm, 7.62×51 mm); year of manufacture and lot; factory code (max. 3 letters); country of origin and manufacturer.

Types of marking: - Cold marking: mechanically engraved (e.g., lot number, year, and manufacturer). - Color coding: colors on the projectile tip indicate the type of load (explosive, tracer, armorpiercing, smoke, etc.).

Identification of grenades and explosive devices:

1. Fragmentation grenade: produces shrapnel.

2. Stun grenade: generates an intense flash and a loud report.

3. Smoke grenade: emits colored smoke.

4. Riot control grenade: disperses irritant gases.

5. High-explosive or anti-tank munition: designed to destroy vehicles or structures.

Original packaging: must indicate type, caliber, lot number, manufacturer, and date of production, and forms part of the ammunition traceability process. 3.3. Operational Definitions for Tracing  Tracing: The systematic tracking of firearms, their parts, components, or ammunition, from the point of manufacture or import to the point at which they became illicit.  National Point of Contact (NPC): Authority designated to coordinate, centralize, and respond to tracing requests, keep records, and liaise with INTERPOL, OAS, and other organizations.  National tracing: an internal verification process to determine the origin, registration, use, and diversion of a firearm under national jurisdiction.  International tracing: a query between two or more States aimed at identifying the origin, movement, and end destination of a firearm or ammunition that has crossed borders.  Essential information for tracing: make, model, caliber, and serial number; country of manufacture and import; authority responsible for the seizure; photographs of markings; indication of storage location or known point of diversion.- 8 -  Unmarked firearm: a firearm whose identifying markings have been removed, altered, or were never applied. It must be recorded and classified in accordance with the tracing procedure described in Chapter IV.  National database: a centralized system containing records of firearms manufactured, imported, seized, or destroyed, including photographic data and markings. 3.4. Recommended Terminology for Records and Reports Records and forms related to tracing shall contain, at a minimum:

 Type of firearm (handgun, long gun, light weapon, homemade, etc.)  Make and model  Caliber  Serial number  Country of manufacture and import  Legal status (registered, seized, destroyed, under investigation)  Case number  Source of information (police, forensic services, INTERPOL, judicial authority) 3.5. General Observations  The definitions and classifications in this chapter shall be applied uniformly by all institutions involved.  In case of technical doubt, reference shall be made to PACAM/OAS, MOSAIC, and INTERPOL (Firearms Reference Table).  Each country is recommended to maintain an updated national glossary with the NPC, including terminological equivalence in Spanish, Portuguese, and English.  A clear distinction shall be made between firearms and replicas, toy guns, airpowered/airsoft weapons, and adapted items, ensuring that the nature of the object is correctly recorded in order to avoid statistical and operational distortions. CHAPTER IV. OPERATIONAL PROCEDURE FOR TRACING FIREARMS 4.1. Seizure and preservation of evidence The proper preservation of the weapon, parts, components, and ammunition is essential for the safety of personnel, the preservation of traces and markings, the possibility of recovering serial numbers, the reliability of records, and the quality of national and international tracing. 4.1.1. Immediate actions after recovery a. Safety and handling  Avoid unnecessary handling (pulling the trigger, dismantling, cleaning).  Restrict handling to trained personnel.  Verify that the weapon is unloaded under safe conditions and by trained personnel (with the barrel pointed in a safe direction, reducing the risk of accidental discharge).- 9 -  Visually identify, without invasive intervention, any markings: make, model, caliber, serial number, additional markings, and any import marks.  Check for the presence of magazines, ammunition, cases, projectiles, and other associated items, noting caliber, type (centerfire, rimfire, or shotgun), base markings (headstamp), manufacturer code, and batch number, where present. b. Protection of markings and traces

number, additional markings, and any import marks.  Check for the presence of magazines, ammunition, cases, projectiles, and other associated items, noting caliber, type (centerfire, rimfire, or shotgun), base markings (headstamp), manufacturer code, and batch number, where present. b. Protection of markings and traces  Do not rub, scrape, or apply substances to the marked areas.  Avoid placing tape or adhesives directly on markings.  Avoid impacts that deform the metal in the marking areas. c. Initial photographic record (where possible)  Take a general photograph of the item in its original condition (before any significant movement, whenever operationally feasible).  Take photographs with a metric scale and from standardized angles (overview, right and left sides, serial number details, and relevant markings).  Take organized photographs of relevant components (especially in modular weapons), ensuring no overlap and clear legibility of markings.  Take detailed photographs of visible markings.  Take photographs of the initial packaging. 4.1.2. Collection, recordkeeping, and custody a. Collection  Handle with gloves and prioritize contact with unmarked areas.  Maintain an unequivocal link between the weapon and associated items (magazines, ammunition, cases, and projectiles).  Avoid packaging multiple weapons in the same container. b. Initial recordkeeping (system or standardized form/spreadsheet) Where no integrated national system exists, use a minimum standardized form or spreadsheet consistently. Minimum data for firearms:  make/manufacturer;  category/type;  model:  caliber;  serial number and condition (intact, illegible, obliterated);  country of manufacture;  additional relevant markings;  indication of any record in national registers, where possible.

Minimum case data: - 10 -  location;  date/time;  unit responsible;  case/incident number;  forensic reference, where available.

Annex I – Electronic form recommendation: operational fields used in practice; include type of object, type of action, and technical details (type, category, make, model, caliber, serial number condition, asset number where institutional, possessor at the time of seizure, and observations), as well as an indication of request consultation of national records. (Obtained from the observatory - ES/BRASIL) c. Packaging and preservation  Package items individually (in a rigid container or appropriate evidence packaging), seal, and label them.  Package ammunition, cases, and projectiles separately, indicating where they were collected and linking them to the same case.  Avoid conditions that may promote oxidation or mechanical damage, in accordance with local forensic guidance. d. Chain of custody The chain of custody must be documented without interruption: ANNEX II. Drawing up the standard form

1. Identification of the agent who carried out the collection;

2. Exact date, time and place of seizure;

3. Unique identification of the evidence (code/tag);

4. Brief description of the item and observed conditions; 5. record of all transfers (who delivers, who receives, date and time, location, reason, and condition of the seal);

6. Log of entry and exit at storage facilities;

7. Record of delivery to forensics (date and time, transport, person responsible, and recipient);

8. Record of the return from forensics and continuation of custody; 9. record of transfer for destruction or final disposition, including those responsible for transport and the final act, with date and time and supporting documentation 4.1.3. Coordination between police, forensics, and the competent authority

a. Referral to the forensic body After registration and sealing, the weapon must be sent to the authorized forensic unit for:  technical confirmation of identification (make, model, caliber, serial number, and other elements);  operational examination, where applicable and legally relevant;- 11a. Referral to the forensic body After registration and sealing, the weapon must be sent to the authorized forensic unit for:  technical confirmation of identification (make, model, caliber, serial number, and other elements);  operational examination, where applicable and legally relevant;- 11 -  recovery of erased or altered markings, where technically possible;  ballistic examinations, in order to: 1. characterize the ballistic traces produced by the weapon (projectiles and cases); 2. record these traces in the national ballistic identification system; 3. check for possible matches (hits) with other recorded crimes, enabling links to be established between the same weapon and multiple criminal events and supporting the reconstruction of its criminal history in the national territory. b. Communication to the NPC The responsible unit must inform the NPC, providing essential data and documentation (including photographs of markings and forensic references, where available) for decision-making and coordination of tracing. c. Interface with judicial authorities or public prosecutors (where applicable) Ensure proper documentary formalization (records, reports, and chain of custody) to support investigative measures and international cooperation. 4.1.4. Principles of this stage  Preserving the original condition is a priority.  Weapons without visible serial numbers may still be traceable and should follow the same process.  Simple, standardized, and auditable records are preferable to complex and incomplete records.  Early communication with the NPC increases effectiveness. 4.1.5. Principle of Comprehensive Tracing It is recommended that all firearms recovered by competent authorities be traced, regardless of the apparent seriousness of the associated offense. Comprehensive tracing can enable:  identification of the first recorded purchaser;  identification of the dealer or importer involved in the initial sale;  determination of the interval between acquisition and recovery (“time to crime”);  identification of acquisition, transfer, and recovery patterns relevant to strategic analysis;  identification of links with other investigations or jurisdictions, whether national or international. Systematic tracing strengthens the State’s capacity to identify networks involved in the diversion, trafficking, and illicit circulation of SALW.- 124.2. Firearm identification

analysis;  identification of links with other investigations or jurisdictions, whether national or international. Systematic tracing strengthens the State’s capacity to identify networks involved in the diversion, trafficking, and illicit circulation of SALW.- 124.2. Firearm identification Firearm identification is the technical step that connects seizure and preservation (section 4.1) to tracing actions (section 4.3). It must be conducted by trained personnel, preferably in a forensic setting, ensuring consistent and traceable documentation. 4.2.1. Minimum identification elements Identification must include at least: 1classification/category (pistol, revolver, carbine, rifle, shotgun, etc.); 2make or manufacturer and additional markings; 3model: 4nominal caliber; 5serial number (intact, erased, nonexistent, or worn or illegible); 6country of manufacture and, where applicable, import marks and declared origin on the weapon; 7relevant characteristics, including operating system, type of percussion, firing mechanism, rifling, finish, state of repair, and main dimensions and mass, where relevant. 8Photographic documentation must include: a general photograph with a metric scale; detailed photographs of markings or inscriptions necessary for individualization; and, where useful, organized photographs of components (especially in modular weapons) to highlight substitutions, conversions, or signs of falsification. 4.2.2. Weapons without marking or with obliterated serial numbers Do not exclude these weapons from the process. Describe them in detail and record the condition of the serial number. Submit them for technical recovery, where applicable. Where there is total or partial recovery of the serial number, or correction of technical information, records must be updated by the NPC or by the central unit responsible for the national tracing system, based on the official forensic report. This update must ensure traceability of the information, the historical integrity of the record, and timely communication to the police and forensic units involved. 4.2.3. Privately produced or counterfeit weapons. The increase in the circulation of weapons produced outside the formal industrial system requires specific attention. The following categories may be identified:

traceability of the information, the historical integrity of the record, and timely communication to the police and forensic units involved. 4.2.3. Privately produced or counterfeit weapons. The increase in the circulation of weapons produced outside the formal industrial system requires specific attention. The following categories may be identified:  weapons produced privately, without a serial number applied by an authorized manufacturer;  unfinished receivers (“frames/receivers 80%”) subsequently completed;  counterfeit weapons that imitate legitimate manufacturers but present: o inconsistent logos or fonts;- 13o markings in inappropriate locations; o invalid or false serial numbers; o spelling errors or technical inconsistencies. Even in the absence of a serial number, it is recommended to:  carry out detailed photographic documentation;  fully record the possessor, location, and circumstances of recovery;  submit the case to the national tracing system. The absence of a serial number should not prevent the generation of investigative intelligence. 4.2.4. Identification and analysis of associated ammunition Ammunition and components associated with the seized weapon must be systematically recorded and analyzed, ensuring their proper linkage to the case and their potential use for tracing and investigative purposes. At a minimum, the following must be recorded: type of ignition (centerfire, rimfire, or shotgun); cartridge designation; base markings (headstamp); condition of the ammunition (intact, fired, or struck without discharge); quantity seized; clear linkage to the weapon and the corresponding procedure. In line with MOSAIC standards, the following additional elements should be considered, where possible, for proper identification of ammunition: a. manufacturer or manufacturer's code; b. country of manufacture; c. batch or lot number; d. year of production; e. technical des