Issue Brief

Number 14 July 2015

Documenting Small Arms

and Light Weapons
A Basic Guide

Introduction of accurate identification of arms and both civilian and military weapons that
munitions, the basic elements of arms fire a projectile, with the condition that
This Issue Brief was written with a
tracing, and the relevant legal frame- the unit or system may be carried by an
range of professionals in mind. For work, this Issue Brief offers a step-by- individual or a small number of people,
those who are involved in the military step approach to documenting small or transported by a pack animal or a
or law enforcement communities, or arms and light weapons. It also features light vehicle. This Issue Brief covers
who spend time in conflict zones as a section on safety procedures (see techniques applicable to the following
journalists or with non-governmental Box 1) and guidelines for undertaking small arms and light weapons:
organizations (NGOs) or government documentation work in the field (see
agencies, this Brief should provide some Box 2). The Brief concludes with a section small arms: handguns, rifles and
insight into the often-murky world on the weapon that is most commonly carbines, assault rifles, shotguns,
of arms identification. It is designed observed in conflict zones: the AK rifle sub-machine guns, and light and
to serve as a basic how-to guide for and its variants, copies, and derivatives. medium (‘general-purpose’) machine
recording relevant identification char- guns; and
acteristics of small arms and light light weapons: heavy machine
weapons that may be encountered Scope of this Issue Brief guns, grenade launchers, portable
in the field. The primary purpose of There is no universally accepted defini- anti-aircraft guns, portable anti-
the brief is to ensure that all essential tion of a ‘small arm’ or a ‘light weapon’. tank guns, recoilless rifles, rocket
data is recorded accurately, so that a The Small Arms Survey largely adopts launchers, portable anti-tank guided
specialist may make a conclusive iden- the proposal put forward by the 1997 weapons (ATGWs), man-portable
tification. UN Panel of Governmental Experts, air defence systems (MANPADS),
After reviewing the definitions of which considers portability a defining and mortars of calibres up to and
small arms and light weapons, the value characteristic. The Panel’s list includes including 120 mm.

Other organizations may have

slightly different definitions. The UN
and the Organization for Security and
Co-operation in Europe, for instance,
include only mortars of ‘less than
100 mm’ (UNGA, 1997; OSCE, 2000).
These definitions exclude common
mortars in 100 mm and 120 mm cali-
bre (see Berman and Leff, 2008, p. 27),
which are often employed in much
the same manner as their smaller-
calibre counterparts (such as 81 mm
or 82 mm mortars).

Why is it important to identify

arms and munitions accurately?1
Arms and munitions are evidence.
A journalist documents mortar projectiles in Iraq, 2013. Source: C.J. Chivers/The New York Times Many carry marks that, combined

http://www.smallarmssurvey.org 1
 with their physical characteristics, Marking: Unmarked weapons gen- Armament Research Services
identify them uniquely. If they can be erally cannot be identified uniquely. (ARES), and Conflict Armament
identified uniquely, their ownership While a weapon’s design may Research, or official government
history may be traced and the point enable interested parties to identify or UN reports.
at which they were diverted into the its manufacturer, markings indicat-
Put simply, identification enables
illicit sphere revealed. Arms tracing ing the manufacturer and country
tracing. This Issue Brief concerns itself
can help uncover illicit supply channels of manufacture are almost always
mainly with the first aspect of arms trac-
and identify arms diversion, thereby indispensable to tracing. The pres-
ing: identifying unique weapons through
providing a firm basis for disrupting ence of a unique serial number
a combination of their physical identi-
such trade and prosecuting those allows one weapon to be distin-
fication characteristics and markings.
involved in it. In recent years, the guished from hundreds or thousands
international community has come of others that may have been pro-
to recognize that arms tracing can be duced at a particular factory. International policy and
central to efforts designed to detect, Moreover, if countries mark the legal framework
and hence address, the illicit prolifera- weapons that they import, tracing International instruments, such as politi-
tion and misuse of small arms. efforts are far more likely to succeed. cally binding agreements and legally
Why attempt an arms tracing pro- Record keeping: Key elements of binding treaties, provide important
cedure in a country that is experiencing a weapon’s history—in particular, architecture to support the control of
or has recently emerged from armed changes in ownership—must be illicit arms. Following is a brief sum-
conflict? Illicit arms transfers fuel con- recorded (in print, in databases, and mary of some of the more important
flict and allow protagonists to rearm with photographs) for tracing to be instruments relating to small arms
for war or crime after hostilities have possible. Records must be accurate, and light weapons.
ceased. In both contexts, ‘conflict trac- comprehensive, and retrievable if In December 2005, the United
ing’ may be used to monitor potentially investigators are to have any chance Nations General Assembly adopted
escalatory influxes of weapons and to of piecing together the weapon’s his- the International Tracing Instrument
investigate particular cases of concern. tory. Essential information includes (ITI),2 a politically binding instrument
Arms tracing is enabled by the accurate the weapon type and model, its that formalized the importance of mark-
identification of the arms or munitions serial number, and the party to ing, record-keeping, and cooperation
in question; conversely, it is hindered which it was transferred. in tracing to help combat the spread
by inaccurate identification. Cooperation in tracing: Even if of illicit small arms and light weapons.
the necessary marking and record- Specifically, the ITI requires states
Arms tracing keeping requirements have been met, to ensure the marking of all manufac-
tracing efforts will be brought to a tured small arms and light weapons
Arms tracing has been defined as:
swift halt if the countries of manu- with the name of the manufacturer,
the systematic tracking of illicit facture or import—or trading enti- the country of manufacture, and a
small arms and light weapons found ties within those countries—do not serial number. In addition, the mark-
or seized on the territory of a State cooperate with tracing requests. ing of the weapon type/model, calibre,
from the point of manufacture or After having identified the weapon and year of manufacture is encouraged
the point of importation through uniquely, an investigator seeking trac- (UNGA, 2005, para. 8a). If possible,
the lines of supply to the point at ing assistance typically approaches imported small arms and light weap-
which they became illicit (UNGA, the countries of manufacture or ons are to have markings permitting
2005, para. 5). import for help. Sometimes inves- identification of the country and year
The first step in any tracing opera- tigators contact relevant trading of import. They must also ensure a
tion is to identify the weapon of interest companies directly. Thereafter, they serial number is present (para. 8b).
on the basis of its physical character- follow the record-keeping chain for- With regard to record-keeping, states
istics and markings. Then, with the ward in time—if possible, to the are required to keep records of manu-
cooperation of the states that manufac- point at which the weapon was facture for at least 30 years, and all other
tured or imported the weapon, the diverted from the last legal custo- records, including those on imports and
second step is to track changes in own- dian into the illicit sphere. In many exports, for at least 20 years (para. 12).
ership through available documentary cases, tracing procedures designed The ITI also outlines how states are to
records. The ultimate, often elusive to identify arms transferred to con- cooperate with tracing requests, by pro-
goal of weapons tracing is to identify flict zones may draw on existing viding, subject to narrow exceptions,
the point in the transfer chain at which research that has identified regular information sought by the requesting
the (typically) legal weapon entered the trafficking routes and patterns of state that is relevant to the tracing of
illicit market. Three pillars—marking, illicit weapons flows. Sources may illicit small arms and light weapons.
record-keeping, and cooperation—are include analysis by organizations The Arms Trade Treaty (ATT) has
essential to successful tracing. such as the Small Arms Survey, a broader scope and covers a wide

2 Small Arms Survey Issue Brief Number 14 July 2015

range of conventional weapons, as well physical security and stockpile manage- specialist. It is important to note that
as, for certain purposes, ammunition ment inspection, fieldwork provides most organizations and individuals
and parts and components, but narrows the raw data analysts need to draw do not require the ability to identify
its regulatory focus to international broader conclusions. Fieldwork may weapons on sight; for most NGOs that
transfers of weapons. The ATT is legally be supported or enhanced through the work on arms and munitions issues,
binding for states parties. collection of data from other sources, maintaining an extensive staff of spe-
The UN Programme of Action3 such as mainstream media, social cialists to cover all of the possible arms
covers small arms and light weapons media, and reports by relevant organ- and munitions would be impractical
and includes commitments on such izations or government agencies. and prohibitive. Provided with the
things as manufacture, stockpile man- correct information, such as clear photo-
agement, surplus identification and graphs of all relevant characteristics
disposal, and disarmament.
Seeking specialist advice and other recorded information, a sub-
The UN Firearms Protocol4 is While this Issue Brief provides a basic ject matter specialist—often a contrac-
another international instrument introduction to the processes and pro- tor or another organization—can carry
relating to the control of small arms cedures of arms identification, it is out this task subsequently.
(firearms), their parts and compo- important to note that arms and muni-
nents, and ammunition. National tions identification is a very broad and
complex field, filled with unknowns,
laws and regional instruments are Identifying small arms and
further important elements of small ingrained errors, ‘armchair experts’,
arms control. and disinformation. Arms and muni- light weapons
The International Small Arms tions identification is also a very In the broadest sense, small arms
Control Standards and International dynamic field, with new information are weapons that can be carried and
Ammunition Technical Guidelines frequently coming to light. As a con- employed with relative ease by a
offer guidance on good practice regard- sequence, the identification of any single combatant. In some instances,
ing the control of small arms and item should be considered tentative militaries or armed groups may use
ammunition, respectively. until confirmed by a subject matter small arms with assistant gunners,

Fieldwork and data collection Box 1 Safety considerations

Arms tracing, regardless of the context
Before handling any arms or munitions, you should take appropriate safety training courses. If you do not
in which it is applied, is based on obser-
have specialist knowledge, never assume that arms or munitions are safe to handle until they have been
vation of the types of weapons in use, inspected by a subject matter specialist, such as an armourer, ammunition technical officer, or explosive
whether these are held and employed ordnance disposal technician.
legally or illegally. This approach pro- Avoid handling arms and munitions unless absolutely necessary.
vides an essential component in devel-
The golden rules
oping a baseline5 of weapons in a given
When handling firearms, remember the four ‘golden rules’ of firearms safety:
region, one that can become the basis
Always treat the weapon as if it were loaded, until you have personally confirmed the contrary.
for detecting influxes of new or more
Always keep the muzzle of the weapon pointed in a safe direction. Ensure the weapon is pointed
numerous weapons—which might pro- away from you and others during all unload and clear procedures.
vide the first evidence for a subsequent,
Always keep your finger off the trigger unless you intend to fire the weapon or perform a required
more detailed investigation. In Mali function check.
in early 2013, for example, the sudden Always keep the weapon unloaded unless you intend to fire it. If you need to function check the
appearance of distinctive Belgian NR- weapon with ammunition, use drill or dummy rounds6 instead of live ammunition.
160 high-explosive anti-tank recoilless Unload and clear procedures
cartridges suggested dispersion of the Unload and clear procedures—for unloading weapons and rendering them safe to handle—should only
munitions from Libya, an assumption be attempted by properly trained personnel. Whenever feasible, ask a weapon’s owner to unload the
that was later confirmed (Chivers, 2013). weapon for you, and confirm it is unloaded before handling it. If you must unload a weapon yourself,
These munitions stood out against other ask the owner’s permission before doing so. Always remember to conduct both a visual and tactile
inspection to confirm the safety of a weapon.
recoilless gun cartridges that had been
If you must attempt an unload and clear procedure for a small arm,7 and you do not have weapon-specific,
common in the region.
step-by-step instructions, remember these basic steps:
Fieldwork is at the heart of arms
Remove the ammunition source—the magazine, clip, belt, or individual rounds—from the weapon.
tracing, with images of arms, markings,
Cycle the weapon’s action (by using the cocking handle/s, bolt handle, or similar part) and, if possible,
packaging, shipping documents, and hold the action open.
other recorded data enabling further
Visually inspect the weapon’s chamber, magazine housing, feed ramps, and other areas that may feed
research and analysis. Whether it live ammunition, to ensure they are clear.
serves to take inventory of captured If possible, these steps should be taken with a weapon’s safety mechanisms engaged. In some cases,
rebel arms on the frontlines, or to estab- however, it may not be possible to clear a weapon with the safety or safeties engaged.
lish a baseline of weapons during a

http://www.smallarmssurvey.org 3
 spotters, or other additional personnel A buttstock, or simply stock, is the Figures 2a – 2d Selected muzzle attachments
besides the operator of the weapon portion of a weapon designed to be
system. Generally speaking, organiza- braced against the shoulder in order to
tions and specialists consider the small promote accuracy and, if relevant, con-
arms category to include only weapons trolled automatic fire. Stocks tend to be
that meet the portability criterion if either fixed or collapsible. Collapsible
Figure 2a Compensator muzzle attachment.
they fire a non-explosive projectile. stocks are generally top-folding, under-
Systems that are operable by one per- folding, side-folding, or telescoping.
son but that fire an explosive projectile, The fore end, or hand guard, is
such as a light rocket launcher or gre- the portion of the weapon designed
nade launcher,8 are classified as light to be grasped with the support hand
Figure 2b A spigot muzzle attachment, designed to allow
weapons. In practice, this definition is while the weapon is being manipu- the launch of rifle grenades.
blurred by the availability of explosive lated or operated. Hand guards often
ammunition for small arms. As noted cover portions of the barrel that would
above, there are no universally agreed- quickly become too hot to handle, par-
upon definitions of ‘small arms’ or ticularly during automatic fire. Fore
‘light weapons’. ends may also incorporate (generally
folding) bipods, bayonet lugs, rail
interface systems (for mounting acces-
Identifying features sories), or forward-folding leaf sights
Figure 2c A simple muzzle nut attachment.

Arms tracing essentially aims to iden- for launching grenades. Note that
tify the type and model, manufac- fore ends are not present on the vast
turer and country of origin, and serial majority of handguns, whose more Figure 2d A combination flash hider/compensator muzzle
number—usually based on markings, prominent feature is the pistol grip. attachment.
identifying features, or a combination Collectively, the buttstock and the Source: Small Arms Survey
thereof. While conclusive arms trac- fore end (along with other non-critical,
ing is only possible with each of these ergonomic components of the weapon, attachments—such as integral suppres-
three pieces of information, certain such as the pistol grip) are often referred sors, bayonet lugs, and rifle grenade
trends and general conclusions may to as ‘furniture’. A weapon’s furniture launching spigots—may also be encoun-
be drawn from more limited informa- may be wooden, synthetic, metallic, or tered (see Figures 2a–2d).
tion. In some cases, markings may be —more rarely—made of other materials. Arms are commonly found with
illegible or abraded, such that identifi- Many weapons are available in ammunition, which is often loaded in
cation requires observation of a weap- various similar models, many of which magazines, drums, belts, or chargers
on’s design features. are most easily differentiated by their (stripper clips). Collectively, these
The first step in identifying a weapon barrel length or muzzle attachments. items are known as feed devices. The
is an examination of the entirety of the Muzzle attachments are most com- most commonly encountered maga-
system in profile. Photos should first monly flash hiders (sometimes ‘flash zines are removable box magazines,
be taken of both side profiles of the suppressors’), compensators, or muzzle most often either straight-walled or
weapon, and subsequently of more brakes, or a combination thereof. The slightly curved. Documenting feed
specific identifying features. Small arms, latter two are designed to reduce the devices may assist with identifying a
most of which make use of cartridge- felt recoil and muzzle rise of a firing specific weapon. AK-type rifles are often
based ammunition, have some typical weapon, particularly during automatic found with their distinctive banana-
features. Figure 1 shows the main fire. Muzzle attachments are often per- shaped magazines, for example, and
parts of a typical rifle, in this case an manently or semi-permanently attached different curvature profiles can help to
AK-type rifle.9 to the weapon. Other barrel and muzzle identify different calibre rifles within
a given ‘family’. The appearance of
a certain type of feed device—or its
Figure 1 Typical features of a modern military rifle absence—can sometimes provide evi-
Buttstock Receiver Rear sight Front sight dence independent of the weapons
Fire selector lever themselves, pointing to trouble with
supply, lack of combatant knowledge,
or other logistical considerations. Even
if found independently, a magazine
Fore end Muzzle attachment may hold diagnostic potential, allow-
Trigger (hand guard) (compensator) ing for a partial identification of the
weapon systems in use. Feed devices
Barrel
may also feature their own markings,
Pistol grip Magazine
as described below.

4 Small Arms Survey Issue Brief Number 14 July 2015

Weapon markings Figures 3a – 3e Example markings on firearms
Along with the physical characteristics
of a weapon, its markings can provide
useful identification information. The
majority of arms bear marks applied
by the manufacturer, while many also
show the marks of parties that trans-
fer, import, export, or assemble arms.
These types of markings can provide
information such as the manufacturer,
country of origin, weapon model,
calibre, modes of operation, and the
exporting or importing company or
country. Weapons may also feature
serial numbers, which can be of par-
ticular value to the tracing process.
It is important to document and
assess all markings on a weapon, in
Figure 3a Weapon markings on a Russian AK-103-2 self-loading rifle. Visible markings include the manufacturer marking,
combination with the physical charac- serial number, model designation, and calibre. Source: Damien Spleeters
teristics of the weapon. In rare cases,
markings do not reflect a weapon’s true
origin or model. Counterfeit or copy
weapons are produced in certain parts
of the world, particularly in the Khyber
Pass region and in the Philippines;
reproduction weapons are produced
both for and by consumers who are
interested in historical or military arms;
and weapons may have been refur-
bished or refinished in a way that is
not consistent with their original pur-
pose or design.
Manufacturer, factory, arsenal,
and country markings, if present, Figure 3b Weapon markings on a Belgian FN Herstal Browning Hi-Power self-loading pistol. Visible markings include the
serial number (in two locations), the calibre, and proof marks. Source: N.R. Jenzen-Jones/ARES
are among the strongest identification
characteristics (see Figures 3a–3d). If
a positively identified manufacturer
marking is consistent with the overall
physical features of a weapon, a ten-
tative ID is relatively easy to establish.
Factory, arsenal, and country markings
can dramatically reduce the number of
identification possibilities. Manufacturer
and factory markings may take the
form of the name of the manufacturer
or factory, an alphanumeric code, a
symbol, or a combination thereof.
In some cases, factory or manufac-
turer markings may be difficult to
distinguish from other markings on a
weapon. Country markings may take
the form of the name of the country
of origin, or a national coat of arms,
crest, or symbol. In some cases, coun-
try markings may narrow the possible
Figure 3c Weapon markings on a German Heckler & Koch G36 type self-loading rifle. Visible markings include the manufac-
years of production; if a weapon bears turer marking, model designation, calibre, and fire selector marks (pictogram type). Marking that appears to be a serial
the mark ‘Yugoslavia’, for instance, it number (‘B-252’) has been engraved over an abraded factory-marked serial number. Source: Damien Spleeters

http://www.smallarmssurvey.org 5
 Figures 3a – 3e Continued weapon. They most often appear as
an alphanumeric code, sometimes
incorporating factory, model, or year
designations. Serial numbers may be
used to trace weapons if they are
recorded in import, export, or in-
country transfer documentation.
Year of production markings may
be stamped separately from serial
numbers and are generally stamped
in four- or two-digit configurations.
In some cases, firearms do not bear
serial numbers or year marks despite
international norms.
Note that serial numbers are often
stamped or partially stamped on
various components of the weapon.
Occasionally, serial numbers on differ-
Figure 3d Import markings (showing country of origin, importing party, model, and calibre) on a Polish Kbk AKM self-
ent parts of a weapon do not correspond.
loading rifle imported into the United States. Also visible are factory, year of production, and serial number markings.
Note that the import markings on this weapon misidentify it as an ‘AK47’. Source: N.R. Jenzen-Jones/ARES The weapon may have been assembled
from a collection of parts (by an indi-
vidual, a wholesaler or builder, or
manufacturers or assemblers), it may
have had replacement parts installed,
parts may not be matched at the factory,
or the markings may represent some-
thing other than partial serial numbers.
Serial numbers may be removed inten-
tionally or unintentionally. Marks that
seem similar to serial numbers may be
applied after production by importers,
assemblers, or other parties.
Markings on a weapon’s fire
selector, safety, or sights can also be
good indicators of origin, model, or
similar information. An examination of
the fire selector, for instance, can serve
Figure 3e Weapon markings on a Belgian FN Herstal Five-seveN self-loading pistol. Visible markings include calibre mark- to distinguish many semi-automatic
ings (duplicated in two locations), serial number, and customer-specific markings presumably applied at the time of manu-
facture. In this case, the Arabic text reads ‘32nd Reinforced Brigade’, referring to the Libyan Army formation to which the models of a given weapon from their
handguns were issued. Source: Damien Spleeters selective-fire counterparts. Lettering or
symbols used to mark the fire selector,
must have been produced between conventions. Both model and calibre safety positions, and sight increments—
1929 and 2003. The country of origin designations may be added by import- particularly the ‘zero’ or ‘battle sight’
may also be indicated by proof marks, ers, assemblers, and other parties after setting on many weapons—can in
as described below. manufacture. In some cases, notably many cases suggest a specific country
Along with manufacturer or factory with AK-type rifles imported into the of origin or manufacturer. It should
markings, model designations can be United States, an importer’s or assem- be noted, however, that some nations
among the strongest identifying char- bler’s markings may not be technically use similar or identical markings on
acteristics. Calibre designations, while correct. In the United States, for exam- some weapons, such that markings
perhaps slightly less useful, can help to ple, various imported AK-type rifles should be considered diagnostic rather
narrow identification to certain models have been documented with mark- than conclusive. Some weapons may
and to add to the picture in general ings stating they are ‘AK-47’ rifles, have folding leaf sights for launching
(see Figure 3e). Calibre designations although they are not. rifle grenades, which can also be inform-
may be rendered in imperial or metric Serial numbers are generally ative. Such markings should be exam-
units, and may use either the decimal engraved, cast, or stamped onto fire- ined and recorded.
point or decimal comma. They may also arms by producers as a way of tracing, Proof marks and inspection marks
be marked using non-English scripts or dating, identifying, or recording the are applied to firearms and firearm

6 Small Arms Survey Issue Brief Number 14 July 2015

parts that have been inspected and Figure 4 Other markings
test-fired to ensure they comply with
certain enforced standards. Proof marks
are generally underwritten by gov-
ernment entities in countries with a
history of proofing, including many
in Europe. These marks can be used
to trace weapons or components to
certain countries and may also assist
in narrowing down a production time-
frame. In some cases, especially those
involving marks applied by certain
manufacturers in the United States
and the Russian Federation, proof
marks can even determine the manu-
facturer or factory of production.
Import markings may be applied by
either exporters or importers, usually
A barcode sticker applied to a Belgian FN Herstal F2000 assault rifle. Source: Damien Spleeters
in order to comply with legislation in
the destination country. In the United
States, for example, all firearms imported
Packaging and documentation as to the origin, place of production,
after 1968 must feature the name, city, type, and destination of the arms in
Many weapons will be observed with
and state of the importing firm (ATF, question. It may also reveal clues as
packaging and, to a lesser extent, doc-
2005). Import markings are often to ports of transit, dates of transfer,
umentation. Packaging can be either
applied in a fashion that differs from and other important information.
outer packaging, such as wooden ship-
those of original markings; in some Documentation, if found, can be
ping crates, or, in some cases, inner
cases, the firearm may not be refinished among the finest sources of informa-
packaging, such as weapons cases,
in the same manner, with the result
plastic packaging, or greaseproof or tion uncovered in the field. Import,
that its physical appearance may differ
bituminous paper (see Figure 6). export, or in-country transfer docu-
from the typical model.
Packaging can provide valuable clues mentation can speak to much larger
Many other types of markings
may be applied to small arms and
light weapons, in various locations Figures 5a – 5b Feed devices and ammunition Figure 6 Packaging
(see Figure 4). These may be applied
by original manufacturers, end users,
or any other parties in the transfer
chain. Markings may include safety
warnings, unit markings, inventory
control markings, and ‘rack numbers’10
that are assigned to issued weapons.
Grips, stocks, barrels, and any other
Figure 5a The magazine from a German Sturmgewehr 44
part may be marked. The process of (StG 44), also known as the MP 43 and MP 44. The weapon
documenting arms should entail a model marking is visible.
Source: C.J. Chivers/The New York Times
thorough visual inspection to ensure
nothing is overlooked.

Feed devices and ammunition

All feed devices and ammunition
should also be examined for mark-
ings (see Figures 5a and 5b). It is impor-
tant to record whether ammunition or
feed devices were found loaded into A packing crate, photographed in Libya in 2012, bearing
markings indicating that it contained PKMS general-purpose
the weapon in question, or merely machine guns, associated spare parts, and accessories.
found alongside it. If feed devices are Note that the crate contains vz. 58 type rifles, highlight-
Figure 5b A partial serial number stamped on the floor- ing the caution to be used when documenting packaging,
loaded with cartridges, that should plate of a Romanian TTC 7.62 x 25 mm magazine. particularly that which has already been opened.
be documented. Source: N.R. Jenzen-Jones/ARES Source: Nicolas Florquin/Small Arms Survey ​

http://www.smallarmssurvey.org 7
 Figure 7 Documentation Figures 8a – 8b Attachments and accessories

Figure 8a Markings on a North Korean copy of a PGO-7B

optical sight. Source: Damien Spleeters

Documentation for an international export includes bolt-action sniper rifles, magazines, protective carrying cases, clean-
ing equipment, additional components, and manuals. Note that the documentation contains the serial numbers of the Figure 8b Markings on a Maxim brand suppressor, includ-
five rifles shipped. Additional information, such as the number of boxes (28), may be useful to researchers. ing manufacturer name, manufacturer location, and patent
Source: Peter Bouckaert/Human Rights Watch date. Source: Ian McCollum/ARES

shipments than the arms themselves; to those found on arms. Careful atten- ate and identify correctly. In fact, most
it may provide evidence of contract tion should be paid to markings such firearms that are identified in news
dates, order quantities, ports of as serial numbers and factory symbols. media as ‘AK-47’ rifles are actually
transfer, and country of origin (see later AKM11 rifles or other derivatives
Figure 7). of the original AK, which appear simi-
The AK rifle and its variants, lar to the untrained eye. In general, the
term ‘AK-47’ is inaccurately applied
Auxiliary attachments and copies, and derivatives and should be avoided (Ferguson and
accessories There is no more ubiquitous family of Jenzen-Jones, 2014).
Arms are often found with accessories arms on the battlefields of modern The original AKM is a selective-
or attachments, such as sound suppres- conflicts than the AK-type assault rifle fire, self-loading rifle (generally con-
sors, optical sights (‘optics’), foregrips, and its many derivatives. These weap- sidered an assault rifle) chambered
under-barrel grenade launchers, or ons have earned a deserved reputation for the 7.62 × 39 mm calibre cartridge.
flashlights (see Figures 8a and 8b). as being tough and reliable. Their It features a long-stroke gas-operating
Such accessories can both provide popularity is such that they are the system and fires from a closed bolt.
clues as to the origins of the weapons most prolific assault rifles in the world, It weighs roughly 3.1 kg (unloaded)
they are found with, and serve as indi- with at least 70 million AK rifles pro- and has an overall length of 876.3 mm.
cators of state or government support. duced to date (Killicoat, 2007; ARES, It is most often fed from a 30-round
Accessories and attachments gener- 2015). They have been widely copied removable box magazine (MoD of the
ally have their own markings, similar and can thus be difficult to differenti- USSR, 1968).

8 Small Arms Survey Issue Brief Number 14 July 2015

Box 2 How to go about documenting arms and munitions
Fieldwork techniques details such as cartridge headstamps. Attempt to photograph items in areas where
If you rely on the permission and assistance of combatants in order to conduct the light is even throughout, so as not to render part of your composition too
your work—as is the case with many journalists and NGOs in the field—you may light or too dark. Try to avoid direct sunlight. For detail shots, particularly of
need to encourage such individuals by explaining the purpose and importance markings or small features, consider moving items so that the lighting is even—
of your work and their assistance. You should explain clearly that any gathered but only if it is safe and appropriate to move them.
information or materials—such as names or photos—may constitute evidence for In some cases, you may want to make use of a tripod or brace your camera
future use. In most cases, however, information gathered about arms or ordnance against a suitable item in order to steady it. This may be of particular use in
will not be linked to an individual; you should be able to gather these details low-light situations. Your camera’s flash may be helpful in some circumstances,
while maintaining the anonymity of any users in question. You should explain but it may wash out items if used incorrectly. When in doubt, take several photos
this point to anyone whose weapons you intend to photograph. both with and without flash. If you are using a mobile phone camera, apply the
Depending on the area in which you are working, your affiliation, and the security safety measure of first activating the airplane or flight mode. Check your images
situation, the process of documenting arms may pose a security risk. You should after taking them, to ensure they are clear and in focus. Retake the picture if the
make an informed assessment of the security situation before approaching initial result is blurry.
combatants and seeking to document weapons. If specific risks are likely to be Take photos on the highest resolution possible, in case you need to zoom in fur-
associated with such work, it may be advisable to document arms or munitions ther or augment the photo at a later stage. Try to photograph an item against a
indoors, away from passers-by and civilians. Do not move unexploded ordnance light-coloured background. A reference item of known size (such as a ruler, BIC®
or explosive remnants of war under any circumstances, however. lighter, CD, or a pack of cigarettes) can be included to give the image scale, if
If you are looking for particular arms or munitions in a given area, you may find necessary; it is best to take several photos, both with and without the reference item.
it useful to carry a ‘scrapbook’ (hard copy and electronic) of images to show
Photographic record checklist
to people in the area who are less familiar with arms. It is also a good idea to
research local names and terminology for certain arms in advance, and to famil- Following is a checklist for photographing small arms and light weapons for the
iarize yourself with the identification characteristics of the expected arms and purposes of identification and tracing. This list is not in priority order, nor is it
munitions of the region. Organizations such as Armament Research Services, exhaustive or specific to certain weapons. If you have limited time or opportu-
Conflict Armament Research, and the Small Arms Survey produce reports and nity to photograph a particular weapon, the most important photos to take would
maintain blogs that identify arms and munitions documented in conflict zones. be a profile shot, and a photograph of markings on both sides of the main body
(receiver, frame, or housing) of the weapon.
A good rule of thumb is to take twice as many photos as you need. This holds
particularly true if you are under time pressure, as some images may be blurry Profile shot (left side)
or out of focus. In today’s age of digital cameras and the ready availability of Profile shot (right side)
storage media, there is rarely a need to be conservative with photography. If Magazine(s)
you see markings—any markings—document them. You never know what may Muzzle and barrel (especially muzzle attachments)
prove useful at a later date. Similarly, even if you are looking for specific arms Weapon model or type markings
or munitions, it may prove useful to document others you encounter. Factory markings
Documenting prices of arms and munitions can be another important facet of Serial number markings
fieldwork. Whenever possible, try to establish price ranges over a period of time Selector markings
(at least a few months, and preferably as far back as the beginning of the conflict Sight markings
and a few months prior). Such information can help analysts to assess the avail- Proof marks
ability and demand for various weapons systems. You should also attempt to Any additional weapon marks, including internal markings
assess prices for similar items from multiple sources, in varying quantities, and Any accessories or mounts
from different types of suppliers (such as individual combatants, professional Any markings on accessories or mounts
arms dealers, and businesses or groups). Packaging
Documentation
Remember to account for local idiosyncrasies. For example, Arabic transliterations
Contextual photos of the user, storage facility, or surroundings
often write ‘P’ as ‘B’, potentially changing the names of arms: ‘RPG’ becomes ‘RBG’,
‘PKM’ becomes ‘BKM’, and so on. Note also that local fighters frequently give arms When it comes to photographing ammunition, the most essential shot to take
nicknames. Syrian rebels, for instance, referred to the Steyr AUG as the ‘B44’, a is of the headstamp. A profile shot would be the next most useful, followed by
reference to keys pressed as a purchase code to buy this weapon in a popular photographs of other markings, packaging, and contextual photos of the user,
computer game.12 In Libya in 2012, the AK-103-2 that was seen in service on both storage facility, or surroundings. It is especially useful to take profile shots of
sides of the conflict was referred to as the ‘Israeli AK’, due to a mistaken belief ammunition—including fired cartridge cases—next to a ruler.
that Israel had supplied or produced the weapons.13 Photographs of ordnance should focus on a profile shot, as well as any markings
Adding context to photographs is essential when documenting arms and munitions. (including coloured bands or symbols) or obvious physical characteristics (such
While you can make certain inferences by examining your surroundings, it is gen- as fins and fuses).
erally very useful to ask the custodian of a weapon questions such as the following: Photos of packaging should include the interior and exterior, with particular
How, where, and when was the weapon obtained? attention paid to markings.
How, where, and when was the weapon used? Image storage
How common are arms or munitions of this type?
How common is ammunition or magazines for the weapon? It is essential that you keep a back-up copy of your images to ensure that valu-
What are weapons like this worth in the conflict zone? Are they available able time in the field is not wasted should you lose your storage media or suffer
for purchase? hard disk failure. Aim to have three copies of your work: one on your primary
Are weapons being supplied from or to other countries? computer or device, a second on a portable hard drive or similar device, and a
What kind of weapons are popular and why? third on resilient media such as a DVD or ruggedized USB drive. If you are work-
ing with digital images, make as few changes as possible outside of improving
Photographic considerations image quality. Changes to colour, perspective, and so on can impede the identi-
Most modern digital cameras will suffice for taking images of arms and munitions. fication process. If you do make such changes, be sure to keep copies of the
You should be familiar with the macro function, if present, for taking images of original, unmodified images.

http://www.smallarmssurvey.org 9
 Copies, variants, and close Table 1 Selected producers of copies, variants, and close derivatives of the AK rifle
derivatives. The original AK (Avtomat
Kalashnikova), the later, ‘modernized’ Producing country Copies, variants, and close derivatives
AKM (Avtomat Kalashnikova Moderniziro- Bulgaria AKK, AKKS, AKKN-47, AKKM, AKKMS, AK-47M1, AKS-47M1, AKS-47UF, AR-M1, AR-M2F,
vanniy), and the AK’s further successors AR-M4F, AR-M7F, AR-M9, AR-SF, RKKS
(see Figures 9a–9d) have been exported,
China Type 56, Type 56-1, Type 56-2, Type 56C, QBZ-56C, Type 66, Type 68, M22, AK-2000
produced under licence, copied, and
modified throughout the world. Indeed, former East Germany MPi-KM, MPi-KS, MPi-KMS72, MPi-AK74N, MPi-AKS74N
AK- and AKM-type weapons are prob-
Egypt Maadi, Misr 7.62
ably the most widely copied arms in the
world. Many countries have produced Hungary AMD-63, AMD-65, AMD-65M, AMP-69, NGM 5.56
a wide range of derivatives, copies, and
Iran KLF, KLS
variants, including commercial copies
and variants; nearly 200 derivatives, Romania md. 63 (AIM), md. 65 (AIMS)
copies, and variants have been identi-
former USSR/ AK, AKS, AKM, AKMS, AK-74, AK-74N, AKS-74, AK-74M, AKS-74U, AKS-74UB, AK-101, AK-102,
fied to date (Ferguson and Jenzen-Jones,
Russian Federation AK-103, AK-104, AK-105, RPK, RPKS, RPK-74, RPKS-74, RPK-74M, RPK-201, RPKM
2014). In addition to the examples listed
in Table 1, copies, variants, and close former Yugoslavia/ M64, M64A, M64B, M70, M70A, M70B1, M70AB2, M77B1, M76, M80
derivatives have been produced in Serbia
Ethiopia, Finland, India, Iraq, Myanmar, Note: This list of producers and models is in no way exhaustive.
North Korea, Pakistan (specifically in
the Khyber Pass region), Poland, Sudan, may have additional markings (see lever is on the right side of the receiver.
Sweden, Ukraine, United States, and Figure 10). Rear sight markings may The magazine release catch is behind
elsewhere. Many semi-automatic vari- assist in determining origin. Magazines the magazine housing.
ants have been imported into countries are often marked. Proof marks may be
such as the United States. applied to the receiver, barrel, maga- 1. Ensure that the weapon is pointed
Markings and differential identi- zine housing, or other parts. in a safe direction, and that your
fication. Markings vary widely (see Unload and clear procedure. finger is outside the trigger guard.
Figures 11 and 12). Manufacturer mark- Following are steps for unloading 2. Remove the magazine (rock it
ings, model designations, and serial and clearing a typical AK-type rifle. forward with your thumb while
numbers are usually found on the The combined safety and fire selector pushing the magazine release catch).
left side of the receiver and trunnion.
The right side—including near the fire Figure 10 Positions of identifying markings on AK - pattern weapons
selector/safety lever—and top rear

Figures 9a – 9d Examples of the AK - type rifle

Figure 9a A Russian AKM assault rifle. Factory marks

Left side

Right side
Figure 9b A Chinese Type 56-1 assault rifle.

Figure 9c A Russian AK-74 assault rifle.

Figure 9d A Russian AK-105 assault rifle. Fire selector marks Rear sight marks
Source: Small Arms Survey Source: Adapted from Conflict Armament Research (2014)

10 Small Arms Survey Issue Brief Number 14 July 2015

Figure 11 Common factory or manufacturer markings on AK - pattern weapons 3. Move the selector lever to semi-
(non - exhaustive list) automatic (the lowest position).
4. Pull back the cocking handle and
Mark Origin Mark Origin hold the action open.
Bulgaria (Factory 10, Arsenal, JSCo.) Iraq (Al-Qadissiya Establishments) 5. Inspect the chamber through the
Bulgaria (Factory 21) Iraq (arsenal mark) ejection port to ensure the weapon
is clear.
Bulgaria (Factory 25) North Korea
6. Release the action.
former Czechoslovakia North Korea 7. Ensure the weapon is pointed in a
China (Factory 26, Chongquin) Poland (Łuznik/Radom) safe direction and pull the trigger.
China (Factory 36, Longyan) Romania (Cugir)
China (Factory 36, Longyan) Romania (Cugir)
Notes
China (Factory 386, Shenzen) Romania (Carfil) Sincere thanks are due to many who assisted with
China (Factory 416, Quingdao) Russian Federation (IZHMASH) this publication, including: Holger Anders, Matt
Babb, James Bevan, Kevin Billinghurst, Peter
China (Factory 66) former USSR or Russian Federation (IZHMASH)
Bouckaert, C.J. Chivers, Alexander Diehl, Jona-
Egypt (proof mark) former USSR or Russian Federation (IZHMASH) than Ferguson, Nicolas Florquin, Federico Graziano,
former East Germany (Ernst Thaelmann VEB) former USSR or Russian Federation (Tula) Richard Jones, Benjamin King, Ivan Kochin, Jonah
Leff, Yuri Lyamin, Ian McCollum, Hans Migielski,
former East Germany (Ernst Thaelmann VEB) former USSR (Tula) Vadim Naninets, Graeme Rice, Natalie Sambhi,
former East Germany (Ernst Thaelmann VEB) former USSR (Polyana) Michael Smallwood, Damien Spleeters, Michael
Weber, and Anthony G. Williams. Others who
former East Germany former Yugoslavia or Serbia (Zastava)
provided help cannot be named for reasons of
former East Germany confidentiality and security.
former East Germany 1 Parts of this and the following sections
Source: Adapted from Bevan (2009), Conflict Armament Research (2014), and Jenzen-Jones (2014) have been adapted from Bevan (2009).
2 The full title is: International Instrument
Figure 12 Common fire selector and rear sight markings on AK - pattern weapons to Enable States to Identify and Trace, in
a Timely and Reliable Manner, Illicit Small
(non - exhaustive list)
Arms and Light Weapons.
Fire selector markings Rear sight markings 3 The full title is Programme of Action to
Prevent, Combat and Eradicate the Illicit
Upper Middle Lower Origin Origin
Trade in Small Arms and Light Weapons
Albania Albania
in All Its Aspects.
Albania Bulgaria 4 The full title is Protocol against the Illicit
Bulgaria China Manufacturing of and Trafficking in Fire-
China Egypt arms, Their Parts and Components and
China former East Germany Ammunition, Supplementing the United
Nations Convention against Transnational
Egypt Hungary
Organized Crime.
former East Germany North Korea
5 Arms and munitions baselines also include
former East Germany Poland known authorized transfers.
Finland Romania 6 Such rounds visibly lack a primer and
S Y Finland Russian Federation feature a visually recognizable means of
Hungary former Yugoslavia verifying the absence of propellant (such
as factory rounds with a fluted case or inert
Iraq
rounds with markings, such as a drilled
North Korea hole or holes in the case). Brightly coloured,
Poland all-plastic dummy rounds are available in
S Poland many calibres.
S Romania 7 This Issue Brief does not cover unload
and clear procedures for light weapons
S Romania
as they are often more complicated and
S Romania
occasionally more dangerous than those
Russian Federation for small arms.
Russian Federation 8 Some organizations categorize under-
Russian Federation barrel grenade launchers and rifle gre-
U former Yugoslavia nades as small arms accessories. The
Small Arms Survey considers under-
Source: Adapted from Conflict Armament Research (2014) and Jenzen-Jones (2014) barrel grenade launchers light weapons.

http://www.smallarmssurvey.org 11
 9 Note that the specific model shown is an Bevan, James. 2009. ‘Revealing Provenance: Manual’ [in Russian]. Moscow: Military
Avtomat Kalashnikova Modernizirovanniyy Weapons Tracing during and after Publishing House of the MoD of the
or AKM (modernized Kalashnikov auto- Conflict.’ Small Arms Survey. Small Arms USSR.
matic rifle). Survey 2009: Shadows of War. Cambridge: OSCE (Organization for Security and Co-
10 The military, law enforcement, and armed Cambridge University Press, pp. 106–33. operation in Europe). 2000. OSCE Document
groups often apply rack numbers to weap- Chivers, C.J. 2013. ‘Looted Libyan Arms in on Small Arms and Light Weapons. FSC.
ons as a basic form of registration. Mali May Have Shifted Conflict’s Path.’ DOC/1/00/Rev.1. 20 June.
11 The acronym, AKM, comes from the The New York Times. 7 February. <http:// UNCASA (United Nations Coordinating
Russian Avtomat Kalashnikova Moderniziro- www.nytimes.com/2013/02/08/world/ Action on Small Arms). n.d. ‘International
vanniy, meaning ‘modernized Kalashnikov africa/looted-libyan-arms-in-mali-may- Small Arms Control Standards.’
automatic rifle’. have-shifted-conflicts-path.html?_r=0> UNGA (United Nations General Assembly).
12 Author interview with a confidential Conflict Armament Research. 2014. ‘Identifying 1997. ‘General and Complete Disarmament:
source in Syria, March 2012. Marks on Kalashnikov-pattern Rifles.’ Small Arms.’ A/52/298 of 27 August.
13 Author interview with a confidential Field Guide No. 4. London: Conflict ––. 2001a. Programme of Action to Prevent,
source in Misrata, Libya, August 2012. Armament Research. Combat and Eradicate the Illicit Trade in
European Union. n.d. ‘Arms Export Control.’ Small Arms and Light Weapons in All Its
<http://www.eeas.europa.eu/non- Aspects (‘Programme of Action/PoA’).

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export-control/index_en.htm>
Adopted 21 July. A/CONF.192/15 of
20 July
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Global Development and Production of Self- 2014. An Introduction to Basic AK Type turing of and Trafficking in Firearms, Their
Loading Military Rifles. Unpublished back- Rifle Identification. Armament Research Parts and Components and Ammunition,
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About the Small Arms Survey

The Small Arms Survey is a global centre of excellence Author: N.R. Jenzen-Jones
whose mandate is to generate impartial, evidence-based, Copy-editor: Tania Inowlocki
and policy-relevant knowledge on all aspects of small arms Proofreader: Stephanie Huitson
and armed violence. It is the principal international source
Design and layout: Rick Jones (rick@studioexile.com)
of expertise, information, and analysis on small arms and
armed violence issues, and acts as a resource for govern- Small Arms Survey
ments, policy-makers, researchers, and civil society. It is Maison de la Paix
located in Geneva, Switzerland, at the Graduate Institute Chemin Eugène-Rigot 2E
of International and Development Studies. CP 136 – 1211 Geneva
The Survey has an international staff with expertise in Switzerland
security studies, political science, law, economics, develop- t +41 22 908 5777 
ment studies, sociology, and criminology, and collaborates f +41 22 732 2738
with a network of researchers, partner institutions, non-
governmental organizations, and governments in more
than 50 countries.
For more information, please visit:
www.smallarmssurvey.org.

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