Strengthening CARICOM Implementation of the UN Programme of Action on Small Arms

Strengthening CARICOM Implementation of the UN Programme of Action on Small Arms Background paper Regional Workshop to Advance Caribbean Action on Small Arms, 20-21 January 2010 Institute of International Relations University of the West Indies, St. Augustine Campus Trinidad and Tobago By Kenneth Epps Project Ploughshares 57 Erb Street West Waterloo, Ontario N2L 6C2 Canada

Table of Contents Executive Summary 1 Introduction 4 The Regional Commitments of the UN PoA 6 A. Regional Point of Contact, National Contacts, and National Coordination 7 B. Strengthening Existing Regional Agreements and Negotiating a Legally Binding Instrument 9 1. Existing regional agreements 9 2. A legally binding regional agreement 12 C. Moratoria on the Transfer or Manufacture of SALW or Regional Action Programs on Small Arms 15 D. Transborder Customs Cooperation and Information-Sharing Networks 16 CARICOM maritime cooperation and interdiction 16 RIBIN 17 E. Regional Action to Introduce and Strengthen Relevant Laws, Regulations, and Procedures 18 Harmonization of legislation 19 F. Safe Stockpile Management and Regional Mechanisms 20 G. National Disarmament, Demobilization, and Reintegration Programs 21 H. Voluntary Measures to Enhance Transparency 22 Other Issues 27 Marking, Recordkeeping, and Tracing 27 Marking 27 Recordkeeping 29 Tracing 30 US-CARICOM tracing cooperation 30 Engagement of, and Cooperation with, Civil Society 30 Conclusions 32 Notes 35 1. Regional commitments of the UN PoA are within reach. 32 2. Regional commitments should receive priority for international cooperation and assistance. 32 3. A regional agreement would promote harmonization and UN PoA implementation. 33 References 37

Acronyms and Abbreviations ATF ATT CARICOM CDRAV CIBIN CICAD CIFTA CONSLE DDR ECOWAS EURO-IBIS IANSA IMPACS ITI MANPADS MOU NIBIN OAS RECSA RFP RIBIN SALW UNDP UN PoA UNROCA US Bureau of Alcohol, Tobacco, Firearms and Explosives Arms Trade Treaty Caribbean Community Caribbean Coalition for Development and the Reduction of Armed Violence Canadian Integrated Ballistics Identification Network Inter-American Drug Abuse Commission Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials Council of Ministers responsible for National Security and Law Enforcement Disarmament, demobilization, and reintegration Economic Community of West African States European Integrated Ballistics Identification System International Action Network on Small Arms Implementation Agency for Crime and Security International Tracing Instrument Man-portable air defence systems Memorandum of understanding National Integrated Ballistic Information Network (US) Organization of American States Regional Centre on Small Arms Request for proposal Regional Integrated Ballistic Information Network Small arms and light weapons United Nations Development Programme UN Programme of Action on small arms United Nations Register of Conventional Arms

Strengthening CARICOM implementation of the UN PoA Page 1 of 39 Executive Summary Caribbean Community (CARICOM) member states support full implementation of the 2001 UN Programme of Action on Small Arms (UN PoA), including political commitments at the national, regional, and global levels. As members of the Organization of American States (OAS), CARICOM states also have endorsed firearms regulations stipulated by OAS instruments. This paper discusses CARICOM states implementation of regional and regionally relevant commitments on small arms and light weapons (SALW) and explores ways in which CARICOM experience and interests may extend this implementation in the Caribbean. The UN Programme of Action contains eight regional commitments. The first calls for regional or subregional organizations to designate a point of contact to act as a liaison on UN PoA implementation. The Implementation Agency for Crime and Security (IMPACS) is the logical choice for a regional point of contact on the PoA, since it has been appointed by CARICOM as the regional contact point for SALW issues. IMPACS should be linked to, and supported by, the PoA national points of contact that have been designated by all but one of the CARICOM member states. National contact points would in turn be bolstered by the national coordinating agencies called for by the PoA, which, in contrast, have been reported by only one CARICOM member state. Acknowledging the efforts that have been made at the regional level, the UN PoA calls for the strengthening of existing regional agreements on small arms and the negotiating of legally binding instruments where appropriate. The majority of CARICOM states have ratified the 1997 CIFTA firearms convention of the OAS, even if implementation of the convention, including the designation of national points of contact, remains in preliminary stages. The Inter-American Drug Abuse Commission (CICAD) and a subsequent CIFTA-CICAD group of experts have developed model legislation to advance implementation of CIFTA, the Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials. These include regulations on firearms marking, brokering and the international commercial movement of firearms. The experience of other regions would also be helpful to CARICOM states, especially with regard to the negotiation of a legally binding regional instrument to include all aspects of the illicit trade in small arms, as called for by the PoA. The 2004 East African Nairobi Protocol on Small Arms is a recent and pertinent example of such an instrument. The PoA encourages establishing moratoria or similar initiatives (II.26) in affected regions or subregions on the transfer and manufacture of SALW. The sole regional example of an existing moratorium is the legally binding 2006 convention of the Economic Community of West African States (ECOWAS), arguably the most restrictive regional small arms agreement in existence. There are several features of the ECOWAS convention, such as mandatory cooperation on tracing requests, which would be relevant to a CARICOM initiative. CARICOM states have taken significant steps to meet the regional PoA commitment related to transborder customs cooperation and information-sharing networks. Recognizing that collaboration among Caribbean states is imperative to security in the region, several CARICOM states have signed a 2008 agreement on maritime cooperation and interdiction. Also in 2008, CARICOM IMPACS began the

Strengthening CARICOM implementation of the UN PoA Page 2 of 39 development of a Regional Integrated Ballistic Information Network (RIBIN) to track guns used in crime through ballistic identification and sharing of information. The Programme of Action calls for regional action to introduce and strengthen relevant laws, regulations, and procedures to combat small arms proliferation and misuse. The 2002 Report of the CARICOM Regional Task Force on Crime and Security contains 17 recommendations that address the threat of illegal firearms in the region, including measures to improve firearms marking, transfer, licensing, and brokering regulations. Harmonization of legislation among CARICOM states is also an important tool for regional small arms action. In 2008 the UN Development Programme developed a guide to assist states with both internal and external harmonization of small arms legislation. Effective management and security of legal small arms stockpiles are essential to prevent the diversion of small arms; the PoA encourages regional and subregional mechanisms to this end. State stockpiles must be adequately secured, as must other legally held stockpiles, such as those of private security agencies. Because existing instruments such as CIFTA do not include stockpile standards, CARICOM members would benefit from a regional approach to stockpile management. The UN PoA also calls for national disarmament, demobilization, and reintegration (DDR) programs, particularly in post-conflict situations. The DDR of combatants in post-conflict settings parallels the disarmament and reintegration of criminal gangs more common in the Caribbean context. The Caribbean Community Action Plan for Social and Development Crime Prevention 2009-2013 developed by CARICOM and the UN Office on Drugs and Crime includes recommended actions that bear many similarities to DDR. The two approaches share the goals of separating individuals from armed groups and offering alternative livelihoods. Transparency is central to interstate confidence-building on a wide range of arms control and disarmament issues, including implementation of the UN Programme of Action. Transparency on small arms transfers is at an early stage among Caribbean states. Participation of CARICOM states in the UN Register of Conventional Arms has varied markedly since it began in 1992. Some Caribbean states reported small arms imports to the Register even before the UN encouraged states to do so. Yet no CARICOM member is a state party to the 2002 OAS Transparency Convention, despite its overlapping objectives with the UN Register. The CIFTA convention, meanwhile, does not require data exchange on firearms transfers, but does call for exchange of related data, such as information on authorized dealers. Beyond regional actions, the UN PoA contains national and global commitments that are pertinent to the Caribbean region. Two are worthy of particular attention. The first is the important issue of tracking diversions of firearms through an effective system of marking, recordkeeping, and tracing. Marking requirements are contained in the PoA and, especially, in its 2005 International Tracing Instrument, as well as in the UN Firearms Protocol and the OAS regional CIFTA convention. The US is supporting Caribbean state cooperation on the etrace paperless firearm tracing system. The UN Programme of Action also calls on states to facilitate the cooperation of civil society, in view of the important role that civil society organizations play in responding to the impact of illicit small arms. The CARICOM Taskforce on Crime and Security recommended civil society input on policy formation. In addition, civil society organizations in the Caribbean are well placed to contribute to public awareness

Strengthening CARICOM implementation of the UN PoA Page 3 of 39 programs, community conflict resolution and peacebuilding efforts, and monitoring the progress of states in implementing commitments on small arms action. Caribbean states face significant and unique challenges related to the proliferation and misuse of small arms and light weapons. The regional commitments of the UN Programme of Action could provide a foundation for a CARICOM plan of action related to these challenges. Indeed, member states have begun the process toward implementation of the PoA s regional requirements. There is a strong rationale for directing international cooperation and assistance to support a regional approach to small arms, such as the legally binding regional instrument called for by the UN PoA. Whatever the instrument used, the reduction and elimination of threats from small arms trafficking and misuse require a committed regional effort.

Strengthening CARICOM implementation of the UN PoA Page 4 of 39 Introduction Caribbean Community (CARICOM) member states support full implementation of the 2001 United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (UN PoA ). CARICOM states recognize that implementation of the UN PoA is important to their efforts to address the illicit trade in small arms and light weapons (SALW) and its threats to the security of the Caribbean (Barbados 2008a). Like other multilateral organizations in regions heavily affected by small arms trafficking, CARICOM considers the UN PoA an important instrument for framing a collaborative approach to remedial action on small arms proliferation and misuse. The UN Programme of Action commits UN member states to act at the national, regional, and global levels, with some commitments crossing all three levels. The purpose of this paper is to highlight the regional commitments of the UN Programme of Action in particular, and to outline the implementation by CARICOM and its member states of these commitments to date. Since all CARICOM member states are members of the Organization of American States (OAS), the paper also discusses the small arms control obligations arising from OAS instruments and describes how these instruments reinforce or advance the regional commitments of the UN PoA. Beyond regional commitments the paper describes national and global commitments of the PoA that resonate in the CARICOM region. These have been identified by CARICOM members in statements or interventions during PoA sessions and elsewhere. The marking and tracing of weapons, for example, do not fall under regional provisions but are included in the discussion here, both because a recent International Tracing Instrument (ITI) 1 has emerged from the UN PoA process, and because CARICOM states themselves have identified marking and tracing as important components of the holistic approach to the fight against SALW (BMS 2008). Other commitments discussed in the paper, such as state cooperation with civil society, are included because of their particular relevance to the region. The UN Programme of Action is intended to respond to small arms as illicit goods that are instruments of armed violence. The PoA provides many necessary measures to better control these instruments and to prevent their diversion into illicit channels. However, the UN Programme of Action does not address the complexities and challenges of important aspects of armed violence that go beyond the instruments of violence themselves. In particular, the PoA neither includes commitments that adequately address the demand side of the small arms issue nor addresses the conditions that foster perpetration of armed violence. These are important issues to be taken up by adjunct programs and instruments that complement the PoA, and there is growing evidence that CARICOM and its member states are already engaged in this process. 2 The UN Programme of Action remains a central instrument in multilateral efforts to reduce and control the proliferation and misuse of small arms and light weapons. Because it is a consensus document, all UN member states are politically bound to meet its commitments at all levels. In the Caribbean, there are benefits to cooperative approaches to implementation of PoA regional commitments that draw on CARICOM experience, expertise, and structures. As this paper will show, CARICOM and its member states have begun to implement important regional and other PoA

Strengthening CARICOM implementation of the UN PoA Page 5 of 39 commitments. The challenge to CARICOM is to extend implementation so that its regional interests are advanced within the global program to reduce and eliminate the illicit small arms scourge.

Strengthening CARICOM implementation of the UN PoA Page 6 of 39 The Regional Commitments of the UN PoA The Programme of Action on small arms agreed by UN member states in 2001 is arguably the most important multilateral agreement responding to the widespread proliferation and misuse of small arms and light weapons. As a universal consensus document the PoA is a product of compromise and, as such, it does not contain some provisions that critics have identified as necessary for a more comprehensive program of action. 3 It is apparent, nevertheless, that if UN member states diligently pursued the wide range of PoA commitments a great deal could be done to reverse the devastation created by small arms. The second section of the UN PoA is composed of 41 paragraphs that commit states to undertake measures at the national, regional, and global levels. All commitments are meaningful for Caribbean and other UN member states, but the regional commitments are intended to be of particular relevance to regional organizations like CARICOM. Contained within the PoA Section II (24-31), the eight regional commitments can be summarized as: A. to establish a point of contact within regional organizations to act as a liaison on PoA implementation; B. to encourage negotiations of legally binding instruments to combat the illicit trade in SALW (and to ratify and implement existing regional instruments); C. to establish or strengthen moratoria or similar initiatives on the transfer and manufacture of SALW and/or regional action programs to combat the illicit SALW trade; D. to establish transborder customs cooperation and information-sharing networks; E. to encourage regional action to strengthen relevant laws, regulations, and administrative procedures; F. to promote safe stockpile management and implement regional mechanisms in this regard; G. to support national disarmament, demobilization, and reintegration programs; and H. to encourage voluntary measures to enhance transparency. Each of these commitments will be discussed below. It can be argued that the regional commitments of the PoA became more pertinent to CARICOM following February 2007 when the CARICOM Heads of Government made the decision to recognize security as the fourth pillar of the Community. With regional security now a more central component of the CARICOM mandate there is additional incentive for Community programs and officials to implement the regional provisions of the PoA.

Strengthening CARICOM implementation of the UN PoA Page 7 of 39 CARICOM has in place important programs and structures related to regional security concerns. These include the Implementation Agency for Crime and Security (IMPACS), established in 2006 as the implementation arm of the regional action agenda on crime and security. Reporting to the CARICOM Council of Ministers responsible for National Security and Law Enforcement, IMPACS is the logical focal point for coordinated regional implementation of the PoA. IMPACS and its two subagencies (the Joint Regional Communications Centre and The Regional Intelligence Fusion Centre) are also developing significant technical expertise, so that IMPACS could play a central role in facilitating international cooperation and technical assistance related to the implementation of the PoA. Let us now consider the regional commitments of the Programme of Action and the implementation of each by CARICOM and its member states. A. Regional point of contact, national contacts, and national coordination The first regional commitment of the Programme of Action calls for regional and subregional organizations to establish or designate a point of contact to act as a liaison on matters relating to PoA implementation. The Caribbean Community has consistently participated in, and reported to, UN PoA meetings in New York. The central role of IMPACS in the response to crime, security, and illicit firearms in the region suggests that IMPACS is the logical choice for regional point of contact on PoA matters. Indeed, since IMPACS was appointed the CARICOM point of contact on small arms issues, 4 it has assumed responsibility for reporting to the Organization of American States (OAS) on CARICOM s measures and actions related to the implementation of the Declaration on Security in the Americas (OAS 2010). Similar reporting on CARICOM implementation of the PoA would be an obvious parallel responsibility. The Programme of Action also calls for points of contact at the national level. As of November 2009, 13 CARICOM state members had reported a national point of contact for the PoA (see Table 1), 5 with only one state St. Vincent and the Grenadines failing to do so. Establishing a national point of contact is arguably the first significant step in meeting PoA commitments. National contact points are an important network of support for regional contact points since regional liaison on PoA matters would be made more effective by regular interaction with national liaison bodies. Moreover, an effective regional approach to combating the illicit trafficking of SALW rests on a clearly defined and active network of national contacts to operate as the frontline for liaison among states on matters related to the implementation of the UN PoA and, indeed, to any related regional or subregional instruments. In the case of the Caribbean region, where resources for meeting multilateral commitments are limited, there are obvious advantages to identifying the same national body or office to act as the liaison for all SALW-related multilateral instruments. Thus, it would seem practical for CARICOM member states to appoint the same contact point for both the UN Programme of Action on small arms and CIFTA, the Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials (OAS 1997). However, to date only one CARICOM member, Trinidad and Tobago, has reported the same government agency (the Strategic Services Agency) as the point of contact for both the UN PoA and

Strengthening CARICOM implementation of the UN PoA Page 8 of 39 CIFTA. The advantages of a single national point of contact would extend to regional mechanisms such as IMPACS. The UN PoA also calls on states to undertake to establish national coordination agencies or bodies that are intended to oversee the policy, research, and monitoring of efforts related to national implementation of the PoA. A national coordination agency, as its name implies, coordinates the policies and practices related to small arms and light weapons of relevant state ministries and programs. However, CARICOM states have generally failed to establish national coordination agencies. As of 2008 only Haiti had reported a national coordinating agency to the UN. Although not explicitly mandated by the PoA, it is apparent that the role of the national point of contact would be made more effective by support and information from the national coordination agency. Indeed, there are benefits from drawing a national point of contact from the coordinating agency membership. Table 1: CARICOM National Points of Contact and coordinating agencies CARICOM member state *Not an independent state, but a British colony. UN PoA National Point of Contact 2009 (UN PoA-ISS 2010) UN PoA National Coordination Agency 2008 CIFTA Point of Contact 2008 Antigua & Barbuda Yes Yes The Bahamas Yes Yes Barbados Yes Belize Yes Dominica Yes Grenada Yes Guyana Yes Haiti Yes Yes Jamaica Yes Not applicable Montserrat* Not applicable Not applicable Not applicable St Kitts & Nevis Yes St Lucia Yes St Vincent & the Not applicable Grenadines Suriname Yes Trinidad & Tobago Yes Yes The United Nations Development Programme (UNDP) has provided a useful resource on how to establish and operate a national coordinating body, which it calls a national small arms and light weapons commission (UNDP 2008a). The UNDP How to Guide begins by identifying the reasons that national SALW commissions are needed, including: The complexities of the issue, and the array of people and activities involved in combating small arms proliferation, require intra-governmental coordination at the national level. A lack of coordination and information sharing among government departments can be a barrier to tackling SALW problems and implementing agreements such as the PoA. The establishment of a national commission is o a crucial first step in implementing national small arms control strategies;

Strengthening CARICOM implementation of the UN PoA Page 9 of 39 o often a prerequisite for support from the donor community; and o a legal obligation for countries party to relevant legally binding instruments. The guide goes on to describe five interrelated functions that a national commission should serve. The commission should first ensure the planning and implementation of national small arms strategies and policies. The key planning task is to develop a national strategy or national action plan, often based on a national survey to assess the SALW and security situation. The commission also should take responsibility for coordinating the activities of the many actors at all political levels to ensure consistency and coherence in small arms interventions. This means not only coordination among the relevant national government departments, but also interaction with civil society, parliamentarians, and other levels of government. The commission should provide relevant regional institutions (such as CARICOM and CIFTA bodies) with information on its activities, and coordinate and liaise with the equivalent national commissions of other states. The third task of national commissions identified by the UNDP is to conduct and support accurate research. Research is the basis for informed policy and action, and should include attention to the multiple dimensions of small arms use and impact, especially the health and gender aspects of small arms misuse. The National SALW Commission should also play a central role in awareness raising and providing information about small arms issues and the work of small arms control. This includes reporting on national small arms initiatives as required by multilateral instruments such as CIFTA or the UN PoA. Finally, national commissions should assist with mobilizing the resources needed for its operations, including, as necessary, the preparation of proposals and work plans for external donors. B. Strengthening existing regional agreements and negotiating a legally binding instrument 1. Existing regional agreements As members of the OAS, all CARICOM member states have made legal commitments under CIFTA, which was adopted in 1997. CIFTA is intended to address illicit firearms manufacturing and trafficking across the Americas, including within the Caribbean. Although its scope does not include all firearms transfers (it excludes government-togovernment transfers), the convention contains a number of important legal requirements of states parties to create or strengthen firearms and firearms ammunition controls in CARICOM and the other subregions of the hemisphere. These include: Legislation to criminalize acts of illicit manufacture of and trafficking in firearms, ammunition, explosives, and related materials; Appropriate markings during the manufacture and as part of the importing of firearms; An effective system of export, import, and transit licensing; and Recordkeeping to trace and identify illicit weapons.

Strengthening CARICOM implementation of the UN PoA Page 10 of 39 In addition, the treaty calls for collaborative state action on illicit firearms manufacture and trade. This includes: Confidential sharing of information, including smuggling routes; A national point of contact for liaison and to facilitate cooperation; Provision of technical assistance for relevant capacity building; Programs to share experience and for training; and Cooperation on law enforcement (Schroeder 2004, pp. 15-17). All independent CARICOM member states have signed CIFTA. All but Jamaica and St. Vincent and the Grenadines have ratified the treaty, although only three of the 10 CARICOM states parties have reported a Point of Contact for cooperation and information exchange (see Table 2). The Firearms Protocol of the United Nations Convention against Transnational Crime (UNODC 2000/2001) is a global instrument that many view as equivalent to the regional CIFTA. The provisions of the Protocol are very similar to those of CIFTA. In addition, the Firearms Protocol brings the advantage of an international legal cooperation framework provided by the Crime Convention for cases of organized crime. Ratification of the UN Convention is a prerequisite for ratification of the Protocol and to date nine CARICOM members have ratified the Convention. Of these nine, six have also ratified the Protocol (see Table 2). Consequently, these six states parties are legally bound to take the requirements of the Protocol into consideration when planning national or regional small arms or firearms initiatives. A legislative guide for the UN Convention against Transnational Organized Crime which includes a guide on the Firearms Protocol requirements (UNODC 2001) is a useful resource for policymakers and civil society in all CARICOM member states. Table 2: CARICOM states participation in multilateral firearms instruments CARICOM member state CIFTA UN Firearms Protocol Signed* Ratified* Point of Contact* Signed Ratified Antigua & Barbuda 1997 2003 Yes The Bahamas 1998 1998 Yes 2008 Barbados 2001 2004 2001 Belize 1997 1997 Dominica 2004 Grenada 1997 2001 2004 Guyana 1997 2008 2008 Haiti 1997 2007 Jamaica 1997 N/A 2001 2003 Montserrat N/A N/A N/A N/A N/A St Kitts & Nevis 1997 2004 2004 St Lucia 1998 2003 St Vincent & the Grenadines 1997 N/A Suriname 1997 2008 Trinidad & Tobago 1998 2004 Yes 2007 *Sources: OAS-CIFTA website; OAS 2008 Source: UN Treaty Collection as of March 17, 2009 To assist with the implementation of CIFTA, by 2003 the Inter-American Drug Abuse Control Commission (CICAD) of the Organization of American States had

Strengthening CARICOM implementation of the UN PoA Page 11 of 39 developed two sets of model regulations related to the international commercial movement of firearms and to firearms brokering. 6 The model regulations are intended to guide the policy and practice of OAS member states, including CARICOM members. The proposed regulations for the commercial movement of firearms include essential regulatory mechanisms such as export and import certificates and in-transit shipment authorizations. The model regulations for the control of brokers identify important grounds for prohibiting brokering activities, especially where the activities may contribute to breaches of international law. The regulations call for a national authority to refuse to grant licences if there is reason to believe that the brokering activities will, or seriously threaten to: Result in acts of genocide or crimes against humanity; Violate human rights contrary to international law; Lead to the perpetration of war crimes contrary to international law; Violate a United Nations Security Council embargo or other multilateral sanctions to which the country adheres, or that it unilaterally applies; Support terrorist acts; Result in diversion of firearms to illegal activities, in particular, those carried out by organized crime; or Result in a breach of a bilateral or multilateral arms control or non-proliferation agreement. (OAS 2003a) The CICAD model regulations guide state signatories toward the national measures and procedures needed to fully implement CIFTA. As model regulations they also are instruments of harmonization. The common standards arising from universal CARICOM member adoption of the model regulations would provide a sound base for a regional response to illicit small arms. Harmonization of regulations across CARICOM states would also reduce the possibility that traffickers would benefit from regulatory and operational differences among states. CARICOM states parties are legally bound to implement the requirements of the CIFTA convention (and the UN Protocol). Because many CIFTA requirements overlap with those of the UN PoA, full implementation of CIFTA by CARICOM states would represent a major step toward fulfilling PoA commitments. Indeed, CIFTA obligations surpass UN PoA commitments in some areas, most notably in the explicit inclusion of ammunition within the scope of the treaty. Ammunition is not addressed by the PoA. At the same time, however, CIFTA obligations do not cover important aspects of the UN PoA. These include stockpiling regulations and the security of state small arms stockpiles, destruction of seized and surplus weapons, and public awareness programs called for by the PoA. In addition, there are other important thematic areas of small arms control that are not addressed by CIFTA, such as controls on civilian possession of small arms, which have received significant attention in statements and exchanges during PoA sessions. This suggests that, although CIFTA is an important firearms convention in its own right, it falls short of responding to the full range of SALW concerns relevant to CARICOM members. Although not cited in CARICOM member reports on PoA implementation, an important regional perspective and commitment to small arms action emerged in the 2006 Antigua Guatemala Declaration of the Regional Preparatory Meeting of the

Strengthening CARICOM implementation of the UN PoA Page 12 of 39 Latin American and Caribbean States for the UN Review Conference on the PoA (2006). The Antigua Guatemala Declaration reiterated the fundamentals of the Programme of Action, including the need for international cooperation, the importance of the work of civil society, and the importance of minimum standards for the safety and security of small arms stockpiles. The Declaration called for Latin American and Caribbean states to not only implement the politically binding international instrument on marking and tracing small arms and light weapons, adopted by the UN General Assembly in 2005, but also to work toward a legally binding instrument. The Declaration reflected the views and concerns of the region, noting that crime prevention must be an integral part of the approach to combating the illicit trade in small arms and light weapons. Going beyond PoA commitments, the Declaration called for a legally binding instrument on brokering, for common criteria for the authorization of small arms transfers, 7 and for regulations on the civilian acquisition and possession of small arms. 2. A legally binding regional agreement The UN PoA encourages regional bodies to negotiate a legally binding instrument that addresses the many dimensions of illicit trafficking in SALW. There is strong evidence that CARICOM states would benefit from an agreement that addressed Caribbean concerns as well as the full range of PoA issues. The experience of other regions suggests that a legally binding regional instrument can be a significant mechanism of small arms control on states within the region as well as an important tool of global norm-building. Regional initiatives have been proven to promote state cooperation in areas such as law enforcement and border control, to harmonize national laws and regulations, and to gather and coordinate the necessary technical and financial support for regionally relevant small arms control measures. Regional initiatives also can serve to build and reinforce the global norms and consensus needed to tackle small arms trafficking. Perhaps most significantly, regional agreements support national implementation of the PoA (Kytömäki 2006, pp. 55-64). To construct a regional instrument CARICOM states could draw on the experience of recent small arms agreements in East Africa a region that, like the Caribbean, is significantly impacted by small arms trafficking and misuse. The 2004 Nairobi Protocol of East Africa is a legally binding instrument that evolved from an earlier politically binding agreement. It is pertinent to a CARICOM initiative. The Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region and the Horn of Africa is a legally binding subregional agreement that was signed in 2004 by 11 states, and entered into force on May 5, 2006. 8 The Nairobi Protocol followed the 2000 Nairobi Declaration on the Problem of the Proliferation of Illicit Small Arms and Light Weapons in the Great Lakes Region and the Horn of Africa, a subregional instrument in response to the easy availability of illicit small arms, which was signed by 10 East African states. 9 The Nairobi Declaration (2000) called for a concrete and co-ordinated agenda for action in the subregion to promote human security. It noted that all states in the subregion should have in place adequate laws, regulations and administrative procedures to exercise effective control over the possession and transfer of small arms and light weapons. The Declaration gave particular attention to the civilian possession

Strengthening CARICOM implementation of the UN PoA Page 13 of 39 of small arms and light weapons, an important concern that was, regrettably, omitted from the UN Programme of Action. The Declaration called on signatory states to strengthen, adopt, coordinate, and publicize national laws to effectively regulate the possession of arms by civilians. It also endorsed policies and measures to create social, economic and political environments to reduce the resort to arms by individuals and communities. In effect, the Declaration called for attention to the conditions that produce the demand for weapons. The Declaration also emphasized the need for control of the transfer of small arms and light weapons. Given the history of the subregion, this largely means effective control of arms transfers by supplier states outside the region. The Declaration noted that source countries should ensure that all manufacturers, traders, and brokers are subject to regulation through licensing. National licensing should be strengthened by subregional cooperation among security officials, including police and border control officials typically the frontline agents in efforts to combat the illicit circulation and trafficking in small arms. The Nairobi Declaration was bolstered by an Implementation Plan that established a coordinated agenda for action among the state signatories. The Implementation Plan called for National Focal Points to coordinate each state s response to the small arms problem. In addition, the Plan included: National databases and communications systems to monitor and control the movement of small arms within the country and across borders; A regional agenda to coordinate a long-term sustainable response; Harmonization of, and minimum standards in, national regulations; and Capacity-building within states to verify, safely store, and control state stockpiles as well as weapons owned by private security companies and dealers. As a result of the Implementation Plan, a Regional Secretariat to coordinate the regional action agenda was established in Nairobi, Kenya in 2002. The secretariat has since been upgraded to the Regional Centre on Small Arms (RECSA) (Adala 2007, p. 57). The text of the Nairobi Protocol (2004) was informed by the Nairobi Declaration and the UN Programme of Action. The preambles to both the Nairobi Declaration and Protocol identify the impact of the proliferation and misuse of small arms and light weapons in the subregion of the Great Lakes and the Horn of Africa. Several of the articles of the Nairobi Protocol reflect components of the UN PoA, notably the articles on legislative measures, operational capacity, transfers, and brokering. The Nairobi Protocol is a stronger instrument than either the Nairobi Declaration or the UN Programme of Action, not least because it is a legally binding commitment rather than a political agreement. The Nairobi Protocol establishes common legislative and procedural standards across a region that has been severely affected by small arms and includes key provisions omitted from the PoA. Among the latter are important measures to control civilian possession of small arms and light weapons, including: Registration and centralized registration of all civilian-owned small arms; Competency testing of prospective small arms owners; A ban on civilian possession of semi-automatic and automatic rifles; Restrictions on the number of small arms that may be owned;

Strengthening CARICOM implementation of the UN PoA Page 14 of 39 A ban on the pawning of small arms; Accountability and control of weapons owned by private security companies; Programs to encourage voluntary surrender of small arms for destruction; and Harmonized, heavy minimum sentences for small arms crimes. Box 1: Lessons learned from Nairobi Declaration and Nairobi Protocol process Although many implementation challenges remain, not the least being capacity building across a range of arms control areas, the Nairobi Declaration and Protocol process has provided important lessons for any regional or subregional approach to small arms proliferation and misuse. These lessons include: States in regions affected by gun violence can come together to formulate a collective response, based on the conditions and needs of the region, to the illicit use and transfer of small arms and light weapons. Variations in social, economic, and political dynamics need not prevent a common regional approach to reducing and ending the devastation of weapons misuse. National laws and procedures will remain the frontline tools for the control of weapons, but common standards are necessary across a region. These prevent weaker regulations of some states from undermining regulations of neighbouring states. Common standards can also encourage all states in the region to improve their laws and practices. Regional instruments aid the implementation of the UN Programme of Action on small arms. They also can stipulate objectives and standards that surpass the PoA, especially in those areas, such as civilian possession of firearms, where the PoA is notoriously weak. Regional instruments benefit, in turn, from global instruments. In particular, an international Arms Trade Treaty would aid the implementation of regional agreements on small arms. An ATT would set global standards for the transfer of conventional weapons including small arms and light weapons to more effectively control the flow of weapons into, and within, regions affected by armed violence. Implementation of regional agreements provides opportunities for state and civil society collaboration and capacity building. These opportunities come in many forms. The nature and diffusion of small arms require collaboration between government and civil society to mount an effective response. States may benefit from the implementation experiences of other states as well as from exchanges of technical and legal expertise. The implementation of regional agreements may also be the focus of international cooperation and assistance as stipulated in the UN PoA. The Nairobi Declaration and Protocol process was advanced by the development of Best Practice Guidelines for the Implementation of the Nairobi Declaration and the Nairobi Protocol on Small Arms and Light Weapons (RECSA 2005). The guidelines arose from a series of workshops held between September 2004 and April 2005, hosted by RECSA in collaboration with civil society partners and National Focal Point coordinators. The guidelines were approved by a ministerial conference in June 2005. In July 2005 they were presented by RECSA to the Second Biennial Meeting of States on the UN Programme of Action on small arms (Adala 2007, p. 58). The Best Practice Guidelines cover five major areas of work related to the prevention and amelioration of armed violence: stockpile management and disposal, small arms transfer controls, tracing and brokering of weapons, public awareness and education, and legislative measures and assistance. The guidelines related to the Import, Export, Transfer and Transit of SALW are particularly noteworthy since they detail the obligations of signatories regarding licensing of arms transfers and provide important criteria for arms transfer authorization that closely match the global principles proposed for an international Arms Trade Treaty (ATT). 10 A legally binding regional agreement must also address interests and concerns of particular relevance to the Caribbean region. Some might yet emerge as part of an

Strengthening CARICOM implementation of the UN PoA Page 15 of 39 agreement negotiation process and others can be gleaned from existing CARICOM and member state interventions and statements in multilateral small arms meetings. These include: Transnational organized crime, which is a major regional security threat, linking illicit drug, human, and small arms trafficking; The duty of states that produce SALW to adequately control the supply of weapons to the region, because CARICOM states are not arms manufacturers; International cooperation and assistance, which are crucial to implementation of the UN Programme of Action and related agreements; and Unique challenges in maintaining border controls and undertaking maritime interdiction in the region. C. Moratoria on the transfer or manufacture of SALW or Regional Action Programs on Small Arms The sole regional moratorium on the transfer and manufacture of small arms and light weapons has been in place in West Africa for more than a decade. The Economic Community of West African States (ECOWAS) Moratorium on the Importation, Exportation and Manufacture of Small Arms and Light Weapons was agreed in 1998. The Moratorium became the basis for The ECOWAS Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials, which was adopted on June 14, 2006. 11 The ECOWAS Convention is arguably the most restrictive regional agreement on SALW. It consolidates the earlier Moratorium into a legally binding treaty to ban the import, export, and manufacture of small arms and light weapons in a region that has suffered from decades of civil war and horrendous abuses fueled by easy availability of weapons. States Parties requests for exemptions are subject to set conditions and criteria and must be analyzed and approved by an Executive Secretary in the ECOWAS Secretariat. Box 2: The ECOWAS Convention There are several features of the ECOWAS Convention that would be relevant to a possible CARICOM instrument, whether constructed as a moratorium agreement or as a regional action program. 12 These include: Definitions: The definition of SALW is consistent with the UN PoA; there is an inclusive definition of transfers and the convention explicitly includes ammunition within its scope. Non-state actors: The convention bans unconditionally all SALW transfers to non-state actors that are not explicitly authorized by an importing member state. Manufacture: SALW manufacturing is strictly controlled and reported to the Executive Secretariat. The convention calls for dialogue with external manufacturers and suppliers to promote their support for the convention. Stockpiles: There are effective standards for national, private, and peacekeeping SALW stockpiles, and commitments to regularly identify and destroy surplus stocks.

Strengthening CARICOM implementation of the UN PoA Page 16 of 39 Tracing: Cooperation on tracing requests is mandatory and hence surpasses the UN instrument. Brokering: The registration of brokers extends to financial and transportation agents. Harmonization: States are committed to harmonize their legislation. National Commissions: The convention requires national commissions and national action plans, the latter with the participation of civil society. D. Transborder customs cooperation and information-sharing networks The UN Programme of Action calls for regional mechanisms to respond to illicit trafficking in small arms, in particular trans-border customs cooperation and networks for information-sharing among law enforcement, border and customs control agencies (II:27). Caribbean implementation of this regional commitment of the UN PoA is perhaps most advanced. As islands most CARICOM states do not share borders. Nevertheless, they are constructing and instituting cooperative and information-sharing mechanisms in response to the movement of illicit arms by air and sea across the Caribbean. Cooperation and exchange of information have been bolstered by assistance among CARICOM members. For example, Jamaica noted in its 2008 report on implementation of the UN Programme of Action (p. 4) that its assistance to CARICOM neighbours has resulted in closer relationships between law enforcement personnel, both at the regional and international levels, resulting in faster and more reliable exchange of intelligence on traffickers (both arms and drug traffickers and other criminals) between countries. CARICOM members have also developed regional instruments to foster cooperation and build the capacity of the small states in the region. These include a maritime and aerospace cooperation agreement and a ballistic identification and information-sharing instrument. CARICOM maritime cooperation and interdiction Caribbean states are cognizant of both their geographic vulnerability to security threats and their limited capacity to respond. As small island states in a large maritime region, they are especially vulnerable to illicit trafficking in drugs, people, and weapons. Recognizing that the main challenge in ensuring the security of the Region is capacity and that co-operation across national borders is imperative in ensuring security of the Region, four CARICOM states Antigua and Barbuda, St. Vincent and the Grenadines, Suriname, and Trinidad and Tobago signed the CARICOM Maritime and Airspace Security Co-operation Agreement in July 2008. The new security cooperation agreement addresses a spectrum of security threats in the CARICOM region, including acts of terrorism, smuggling, piracy, illegal immigration, pollution, and the illicit trafficking in drugs and arms and ammunition. The agreement stems from the sober recognition of regional realities. The document s preamble (CARICOM 2008) notes the complexity of security in the Region, heightened by its geographical dispersion and the porosity of shorelines open to an extensive maritime space. This complexity is compounded by capacity issues, since no single

Strengthening CARICOM implementation of the UN PoA Page 17 of 39 Member State can ensure its own security against the traditional and non-traditional security threats facing the Region. The main objectives of the agreement are to promote cooperation in law enforcement operations among the States Parties and to build collective capacity through mutual assistance and self-help. Among other provisions, the agreement provides for signatories to conduct law enforcement activities in the territorial waters of other signatories to address any activity likely to compromise the security of the Region or of any State Party. A recently proposed treaty could advance regional cooperation and coordination. In its 2008 National Report on the implementation of the PoA, Trinidad and Tobago (2008 a, p. 15) cited the proposed Treaty for Maritime Interdiction as an example of more effective mechanisms and higher levels of coordinated action. When it enters into force the treaty will facilitate sharing of maritime equipment among CARICOM member states, with the objective of ensuring the effective patrol of regional waters. The Trinidad and Tobago statement to the Third Biennial Meeting of States on the UN Programme of Action (2008b) noted, We are moving towards a CARICOM Treaty that would make possible the sharing of aerial and maritime assets provided by Trinidad and Tobago and facilitating the issue of arrest warrants in respect of persons of interest involved in cross-border illicit activity. With its recent order of three offshore patrol vessels from the UK and six fast patrol craft from Australia, Trinidad and Tobago will soon be better positioned to share equipment with other CARICOM member states. 13 RIBIN The region also has embarked on a facility intended to share information more effectively among customs and other law enforcement officials. In December 2008, CARICOM IMPACS issued a request for proposal (RFP) for the design, development, and implementation of a Regional Integrated Ballistic Information Network (RIBIN). The RFP notes that the concept of a RIBIN approved by the Fifth Meeting of the Council of Ministers responsible for National Security and Law Enforcement (CONSLE) is to facilitate the identification and tracking of crime guns through ballistic identification and constant sharing of information among CARICOM Member States Law Enforcement Agencies (CARICOM IMPACS 2008, p. 4). The RFP goes on to note that RIBIN will be established under the UN PoA as a regional network for sharing information among CARICOM law enforcement, border, and customs control agencies. RIBIN will be designed to enable law enforcement agencies to more quickly link crimes, to provide CARICOM member states with technology that would be otherwise unaffordable, and to facilitate intelligence sharing across jurisdictional boundaries. It is intended to link to equivalent regional and national systems elsewhere, including the European Integrated Ballistics Identification System (EURO-IBIS), the Canadian Integrated Ballistics Identification Network (CIBIN), and the US National Integrated Ballistic Information Network (NIBIN). CARICOM IMPACS also sponsored the First Meeting of Ballistics Experts and Firearms Examiners in the Caribbean Region. The meeting was held in Trinidad and Tobago in January 2009; among other items, the development of RIBIN was discussed. The seminar established the work of the regional network of ballistics experts and RIBIN within the framework of the UN PoA. In opening remarks IMPACS Executive