ACTION FICHE FOR SUPPORTING THE FIGHT AGAINST THE ILLICIT ACCUMULATION AND TRAFFICKING OF FIREARMS IN CENTRAL AMERICA AND NEIGHBOURING COUNTRIES UNDER PRIORITY 2 'COUNTERACTING GLOBAL AND TRANS-REGIONAL THREATS' OF THE LONG- TERM COMPONENT OF THE INSTRUMENT FOR STABILITY (SPECIAL MEASURE) 1. IDENTIFICATION Title Total cost Aid method / Management mode Supporting the fight against the illicit accumulation and trafficking in firearms in Central America and neighbouring countries 1 M from budget item 19 06 02 03 ("Community policy on combating the proliferation of light arms") Project approach Direct Contribution Agreement to an International Organisation - Joint management DAC-code 15240 Sector Reintegration and SALW control 2. RATIONALE 2.1 Sector context Central America consists of a relatively small geographical space that still operates under postconflict conditions. The region has shown a high level of vulnerability to the conjunction of organized crime strategies, all of which consistently maintain arms trafficking as a common factor. Recent information states that in the Central America region there are 1 156 892 legally registered arms; in addition to this, it is considered that some 2 620 000 arms circulate throughout the region illegally (according to approximate statistics strictly for Guatemala, Honduras, El Salvador, and Costa Rica). 4 SALW influence many of the illicit activities that have grave consequences over the stability and governance of each of the countries in the region. It has a direct impact on the increase of violence, especially armed violence as confirmed by many studies. 5 Furthermore, the arms are utilized to handle daily, social conflicts. For all the countries in the Americas the number of firearms is increasing every day: a situation that reaches the epidemic level in some countries in the region, such as Honduras, Guatemala, and El Salvador 6 (Jamaica, Venezuela, Colombia and Brazil); and to a lesser degree, but with an ever increasing presence in countries such as Nicaragua, Costa Rica, Panama, Belize (Argentina, Uruguay, Chile and Bolivia). The most commonly used arms in acts of violence are small arms: revolvers, pistols, and shotguns which are generally considered of civil use and therefore permitted in all of the countries throughout the region. 7 4 Fundación Arias. Transferencia de Armas hacia y desde América Latina. Printing. 2008. 5 Small Arms survey. Guns and the city. Small Arms Survey 2007. Cambridge. University Press, 2007. FLACSO. Armas Pequeñas y Livianas. Una amenaza a la seguridad hemisférica. FLACSO. 2007. among others 6 Transferencia de armas hacia y desde América Latina. Fundación Arias para la Paz, 2008. 7 Banco de Diagnósticos básicos nacionales sobre Armas de fuego. Una perspectiva homologada de la sociedad civil latinoamericana. CLAVE. Argentina, 2008. www.clave-latinoamerica.org EN 4 EN
In response to the increase in armed violence and criminality in the region, and based on the principles and dispositions of the Framework Treaty on Democratic Security, Central American Governments, have taken a series of measures to control small weapons traffic and reduce armed violence in order to improve citizen security. One of these is the Central American Small and Light Weapons Control Programme (CASAC), approved by the Security Commission of the Central American Integration System (SICA) in June 2003, and prioritized by the region s Heads of State and governments in the XXIV Summit that took place in Belize, on December 19 th, 2003. The focus and objectives of CASAC aim to strengthen institutional mechanisms to improve human security at national and regional level in favour of a safer Central America, developing in peace, freedom and democracy. In this sense it is important to note that the Political Dialogue and Cooperation Agreement between EU and Central America which was signed in December 2003 stresses the importance of combating illicit weapons trafficking and lists several actions in this regard. It is also important to note that the objectives of CASAC which will be in the forefront of this project are in coherence with the Regional Strategy Paper on Central America 2007-2013. The RSP states that the European Commission's main objectives in the 2007-2013 period is the support for regional integration more specifically among other, support to strengthen the institutional system for the process of Central America integration and also the support for strengthening regional security. In the field of strengthening the institutional system for the process of Central America integration the objective is to strengthen the SICA as a whole by developing greater coordination and effective implementing capacity. In the field of strengthening the regional security the objective is to develop programmes which should contribute to crime prevention and could encompass activities such as among other: exchange of best practices for ( ) preventing and fighting against illegal trafficking and studies how to strengthen further the effectiveness of law enforcement at regional level. Priority shall be given to trans-regional cooperation. It is clear that the phenomenon of the proliferation of arms transcends the borders of Central America. Central America s location as a channel of communication between North and South America has converted the isthmus into a dynamic middle ground for arms trafficking. For these reasons it is necessary to create areas that engender the interchange of experiences and lessons learned where different regional groups can interact, such as SICA, CARICOM, the Andean Community, MERCOSUR, OAS. Therefore the project reflects the extent of the threat and its geographic expansion in addition to the region s high level of vulnerability, where important emphasis will be put on Central America but involving countries from other regions such as Mexico and Colombia, which represent the external framework of the Central American region where arms traffic and other forms of organized crime activities (such as trafficking in drugs and human beings) are generated, as well as different regional groups as described above. 2.2 Lessons learnt There are no relevant reviews, assessments, monitoring results and evaluations of previous continental, trans-regional and regional actions in the field of fight against the illicit accumulation and trafficking in firearms from which specific lessons could be learnt. However, it is clear after reflection at the international level that commitment to global standards is best understood at regional and sub-regional level where these activities are complementing the actions on the national level. In this regard some lessons learned on regional level can be drawn from CASAC experiences. First, coordination between many actors involved in SALW related work remains challenging EN 5 EN
and needs to be encouraged and strengthened. Second, progress in SALW is strongly influenced by domestic and regional security and political developments and competing priorities of the governments in the region. Third, reluctance of NGOs and civil society organisations to get involved in security related issues as they are still considered as an exclusive governmental sphere. However the role of NGOs and civil society is important and needs a positive impetus for wider involvement. 2.3 Complementary Actions Currently there are no relevant ongoing or conducted EU projects on security, rule of law or good governance in the region which can be considered as complementary actions. However it is important to note that the overall objective of the RSP 2007-2013 is to support the process of political, economic and social integration in the context of preparation of the future Association Agreement. One of the principal measures is to strengthen regional governance and security matters. The projects on regional security are currently in the identification phase. In total EUR 8 Million are allocated for these projects. Two joint actions of EU member States are specifically related to the fight against small arms and light weapons: the Joint Action of 12 July 2002 on the European Union's contribution to combating the destabilising accumulation and spread of small arms and light weapons 8 and the Joint Action of 12 February 2008 in support of the International Tracing Instrument 9. Several complementary actions are being financed and/or implemented by other donors. Funded by the Bureau for Crisis Prevention and Recovery Thematic Funds donated by the Government of Germany, CASAC programme has designed a series of measures to develop specific SALW control and Armed Violence Prevention Projects. Other ongoing initiatives are also Spain-UNDP Trust-Fund "Towards an integrated and inclusive development in Latin America and the Caribbean", project to the German-SICA initiative on "Strengthening and harmonising SALW Legislations", and the technical support provided by the Government of Sweden to support parliamentary initiatives in SALW control. 2.4 Donor coordination Coordination with the region is sought in the framework of the political dialogue shaped by the EU-Central America San Jose Dialogue as well as the European Commission-Central America Regional Development Cooperation Framework Agreement and via the negotiations on Association Agreement between the EU and Central America. Coordination with the Council of the EU and Member States takes place in addition to the above settings in the different Council Working Groups, the most relevant once being those on Security (COSEC), on Conventional Arms Export (COARM), on UN Disarmament (CUDUN), on Latin America (COLAT). Coordination with other donors takes place in the framework of UN fora notably with the CASA 10. CASAC itself formulates its own Donor Coordination Matrix which creates the basis for identifying human, material and financial resources for SALW work across the region. 8 Joint Action of 12 July 2002 on the European Union's contribution to combating the destabilising accumulation and spread of small arms and light weapons and repealing Joint Action 1999/34/CFSP, 2002/589/CFSP, O.J. L 191, 19.7.2002, pp. 1-4. 9 Joint Action of 12 February 2008 in support of the International Instrument to Enable States to Identify and Trace, in a timely and Reliable Manner, Illicit Small Arms and Light Weapons (SALW) in the framework of the EU Strategy to combat the illicit accumulation and trafficking of SALW and their ammunition, 2008/113/CFSP, O.J. L 40, 14.2.2008, pp. 16-19. 10 The Coordinating Action on Small Arms (CASA) mechanism was established in 1998 as a United Nations tool for the formulation and implementation of a multidisciplinary and coherent approach to the problem of the proliferation of illicit small arms and light weapons (SALW). It regroups 16 UN programmes, offices and agencies. EN 6 EN
3. DESCRIPTION 3.1 Objectives The overall objective of the project is to support the fight against illicit trafficking of firearms and explosive material in Central America and neighbouring countries by helping to improve the capacity of regional organisations in the fight against illicit trafficking of firearms and explosive material as well as national and local governments to respond to the SALW threats to human development. In this regard the project will link with similar initiatives by local and international institutions and civil society organizations to respond to the challenges posed by the proliferation of weapons in Central America and neighbouring countries including to a certain extent the Caribbean region. The specific objectives of the project are: - ratify and fully implement international, trans-regional, and regional instruments regarding arms control - create capacities and strengthen the national and regional institutions and respective state agencies regarding the control of SALW, as well as develop a system for information exchange and improve the borders and customs control - strengthen and increase the capacities of civil society organisations regarding arms control - strengthen and implement a trans-regional process for SALW controls 3.2 Expected results and main activities The project will focus on three central themes: registry systems, which will develop a focus on the harmonization and the inclusion of other categories of information that have not been contemplated yet (brokering, countries of exportation, transport companies, among others), the exchange of information, and border and customs management and improvement. The project as such is structured into two levels. On the first level it will concentrate on Central America including the participation of Mexico and Colombia. The second level creates a trans-regional space for the exchange of regional experiences with emphasis on generating information and improving and creating capacities within the border and customs zones. The activities of the project are complementary to those already ongoing. The main expected results and potential related activities could include the following: I. Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives and other related explosives will be in effect and carried out as well as Protocol Against the Illicit Manufacturing of, and Illegal Trafficking in Firearms and Ammunitions, supplementing the UN Convention against Transnational Organised Crime will be analysed in a view of its effective implementation, codes of conduct will be effectively implemented. - National and regional analysis of the state of implementation of the principal instruments and the proposal for completion should be developed. - Several sessions on the topic could be organised. II. National Commissions will be strengthened, National Agencies concerning SALW control will be strengthened and trained, the national registry systems and systems for the exchange of information will be improved and implemented, border and customs controls will be EN 7 EN
strengthened, harmonized controls throughout the region will be implemented and staff trained. - Trainings will be the main activity to reach the expected results. The central themes will be: 1.) the implementation of national instruments for the control of SALW; 2.) risk analysis regarding the transferences and trafficking of SALW; 3.) the detection of SALW trafficking; 4.) identifying and tracing SALW could be conducted The trainings will count on the presence of representatives from other countries from CARICOM, the Andean Community, and MERCOSUR. Evaluation and validation of current capacities in each participating country regarding the registry systems, as well as proposal for improvement, implementation, and monitoring should be developed. Systems for the information exchange should be elaborated and a pilot project implemented. - Cross-border procedure for the exchange of information and the control of border and customs zones (border crossing points) should be established. III. Participation of the civil society organisations in the field of arms proliferation and armed violence prevention will be strengthened; it will actively interact with national authorities in the field and will develop and execute municipal projects on preventing violence. The two already existing regional networks Central American Dialogue from the Arias Foundation and the Central American network for the peace construction and human security might be involved in the project. - NGOs from participating countries could be trained and a platform for the information exchange should be developed - Cross-border projects on the prevention of arms illicit trafficking and armed violence could be conducted - Participation of NGOs representatives in National Commissions will be promoted IV. A trans-regional strategic alliance will be developed and information, findings, best practices, and lessons learned on SALW control and arms proliferation among different sectors at trans-regional level will be exchanged and disseminated, especially with CARICOM, the Andean Community, and MERCOSUR. - Regional, trans-regional and inter-sectorial conferences, seminars and workshops on SALW control improvements as well as training and workshops including SICA, CARICOM, the Andean Community, and MERCOSUR representatives' participations could be organised. 3.3 Stakeholders Central American programme on small arms and light weapons control (CASAC) developed and executed by SG-SICA will be in the forefront. Key stakeholders will be first and foremost governments comprising SICA (Belize, Guatemala, El Salvador, Honduras, Nicaragua, Costa Rica and Panama) and a wide range of national and international partners with whom CASAC works. National and regional public bodies constitute the main implementing partners of CASAC s cooperation to ensure leadership, ownership, and sustainability of results, more specifically the governments of the region and regional instances like: the Regional Security Commission of Central America, the Central American Supreme Court, the Central American Parliament and the Central American Regional Commission of National Police Chiefs. Additionally the main stakeholders are also governments of Mexico, Colombia as well as regional groups or organisations such as MERCOSUR, Andean Community, and CARICOM. UNDP will support the programme in the advancement of the harmonization and alignment agenda in line with the Paris Declaration EN 8 EN
Civil society organizations will play an important role in advocacy, networking, policy discussion, research, technical assistance, training and in promoting best practices and are also considered as one of the main stakeholders. 3.4 Risk and assumptions There are a series of risks that may turn up while executing the project. One of the most important factors has to do with the political will each state in the region is willing to exert in participating in the project. However the project includes procedures separated in stages which create space to generate consensus and cooperation as well as the active participation among governments. Similarly, another foreseeable risk is the change of politicians within the governments; in this sense, the work at the political as well as technical levels allows the establishment of necessary links for the project s implementation so that it is not compromised by the eventual change of executive power. Risks related to institutional capacities are considered low since CASAC have technical personnel, as well as the ability and experience to implement the above aforementioned activities. 3.5 Crosscutting issues The present project s impact over central themes such as human rights, governance, and gender will be taken into consideration and permanently monitored. The project provides the necessary flexibility to introduce corrective measures according to requirements that may arise within each of the components. In all of the actions undertaken within the project, the gender perspective will be instrument to facilitate improved conditions for women. 4. IMPLEMENTATION ISSUES 4.1 Implementation method The implementation method is proposed to be Joint Management through a standard contribution agreement to an international organization with UNDP. Bearing in mind its expertise and its important role it plays in fight against the illicit accumulation and trafficking in firearms in Central America and neighbouring countries as well as the fact that it closely cooperates and funds the CASAC activities, UNDP is the best option. For the time being there are no experiences in direct cooperation with CASAC and is not planned to subject it to a four pillar analysis. The project will be co-financed. The exact amount is estimated at around 20% of the European Commission's contribution and will be confirmed upon signature of the contribution agreement. A Steering Committee will be established comprising at minimum the European Commission, UNDP and SICA-CASAC representatives. Other involved will be representatives of relevant institutions from Mexico and Colombia, as well as representatives from regional groups and organisations such as MERCOSUR, CARICOM, Andean Community and OAS who will be given observer status. EN 9 EN
4.2 Procurement and grant award procedure All contracts implementing the action must be awarded and implemented in accordance with the procedures and standard documents laid down and published by the International Organisation concerned. 4.3 Budget and calendar The overall maximum EU contribution for this project will be EUR 1 M. The duration of the project will be 24 months and the activities will start in the beginning of 2009. 4.4 Performance monitoring Careful monitoring will be ensured all along the project implementation by European Commission services. A mid term ROM might be envisaged in the course of the project as feasible. There will be indicators of output, outcome and impact to measure progress. In terms of output, the number of trainings, equipment, IT applications, and pieces of relevant legislation will be taken into account. In terms of outcome, the intensity of the flow of information exchange, number of joint cross border operations, intensity of the customs- border police cooperation, sustainability of the established networks, will be taken into account. In terms of impact, the number of small armed seized, the number of traffickers arrested will be the reference. 4.5 Evaluation and audit A full evaluation and audit will be carried out at the end by independent experts. 4.6 Communication and visibility The implementing organisation will prominently display the EU logo on all publications including reports, newsletters and any type of outreach material. The European Commission will be constantly identified as the source of funding in any contact made with the beneficiaries and the general public. Measures ensuring the visibility of the EU financing will be in accordance with the rules on the visibility of external actions laid down in the Communication and Visibility Manual for EU external actions of April 2008. If appropriate, the provisions laid down in Article 11 on Visibility and 12 on Ex-post publicity of the Financial and Administrative Framework Agreement (FAFA) between the European Community represented by the European Commission of the European Communities and the United Nations will apply. The terms of the Joint Action Plan on visibility signed between the European Commission and the UN clarifying the scope of the visibility clauses of the FAFA will also be applicable as well as the Joint guidelines to be developed as soon as they enter into force. Measures ensuring the visibility of the EU financing will be in accordance with the rules on the visibility of external actions laid down in the Communication and Visibility Manual for EU external actions of April 2008. EN 10 EN