THE ORGANIZATION OF AMERICAN STATES AND THE 2001 UNITED NATIONS CONFERENCE ON THE ILLICIT TRADE IN SMALL ARMS AND LIGHT WEAPONS IN ALL ITS ASPECTS TACKLING THE ILLICIT TRADE IN SMALL ARMS AND LIGHT WEAPONS
By William Godnick ABOUT THE AUTHOR WILLIAM GODNICK is a PhD candidate in the Department of Peace Studies at the University of Bradford (UK). He is an independent researcher and consultant in the areas of weapons collection and small arms proliferation, with a primary focus on Central and Latin America. In writing and revising this paper, Mr. Godnick was assisted by Elizabeth Clegg, Michael Crowley, Sarah Meek, Greg Puley, and Carlos Walker Uribe.
ABOUT THIS PAPER This paper is a joint publication of the British American Security Information Council, International Alert and Saferworld (as “Biting the Bullet”), Project Ploughshares and the Arias Foundation for Peace and Human Progress, with fund- ing from the Canadian Department of Foreign Affairs and International Trade. BITING THE BULLET is a joint project of BASIC, INTERNATIONAL ALERT and SAFERWORLD. This project seeks to advance the agenda for the UN 2001 Conference on the Illicit Trade in Small Arms and Light Weapons in All Its Aspects by facilitating a wide-ranging and well-informed debate among governments and between governments and civil society. THE BRITISH AMERICAN SECURITY INFORMATION COUNCIL (BASIC) is an independent research organization that analyzes international security issues. BASIC works to promote awareness of security issues among the public, policy- makers, and the media to foster informed debate on both sides of the Atlantic. website: www.basicint.org INTERNATIONAL ALERT is an independent NGO which analyzes the causes of conflicts within countries, enables mediation and dialogue to take place, sets standards of conduct that avoid violence, helps to develop the skills necessary to resolve conflict non-violently and advocates policy changes to promote sustainable peace. website: www.international-alert.org SAFERWORLD is an independent foreign affairs think tank working to identify, develop and publicize more effective approaches to tackling and preventing armed conflicts. As well, Saferworld aims to work with governments and non-gov- ernmental groups on the ground in regions of conflict to better control flows of, and reduce demand for, arms. website: www.saferworld.co.uk Founded in 1976, PROJECT PLOUGHSHARES is a Canadian ecumenical NGO, sponsored by the Canadian Council of Churches, that carries out policy research, analysis, dialogue and public education programs in Canada and interna- tionally to identify, develop and advance approaches that build peace and prevent war, and that promote the peaceful resolution of political conflict. website: www.ploughshares.ca THE ARIAS FOUNDATION FOR PEACE AND HUMAN PROGRESS aims to promote just and peaceful societies in Central America and other regions. The Foundation’s work is divided among three active programs: The Center for Human Progress, The Center for Peace and Reconciliation, and The Center for Organized Participation. website: www.arias.or.cr
First printed January 2002
ISBN 1-895722-31-4 The Organization of American States and the 2001 United Nations Conference on the Illicit Trade in Small Arms and Light Weapons in All Its Aspects: Tackling the illicit trade in small arms and light weapons
By William Godnick
The Organization of American States and the 2001 United Nations Conference on the Illicit Trade in Small Arms and Light Weapons in All Its Aspects: Tackling the illicit trade in small arms and light weapons
By William Godnick
Section 1: Introduction failure of the Conference to agree on adequate steps at the international level has placed the onus This monograph is a modified version of a on regional institutions and initiatives as the major background paper prepared for a conference that driving force for addressing the small arms took place in Ottawa, Canada in May 2001, problem on the ground. The attention paid to the bringing together representatives of the Member issue of the illicit arms trade by the UN and its States of the Organization of American States Member States has the potential to spur new (OAS), non-governmental organizations (NGOs) regional initiatives, advance the implementation of and civil society to discuss issues related to the initiatives already underway and provide financial July 2001 United Nations (UN) Conference on the and technical vehicles that will support such Illicit Trade in Small Arms and Light Weapons in All implementation. Representatives and Member Its Aspects (hereafter referred to as the UN States of regional organizations were diligent Conference). This version takes into account the during the conference proceedings in making sure Programme of Action (PoA) adopted by the UN that actions taken in the international arena were Member States as well as other emerging or consistent with the unique and particular needs of consolidated initiatives in the western hemisphere.1 the world’s regions and sub-regions in terms of The UN Conference brought to urgent international priorities, approaches and experience. attention the need to prevent the proliferation and Ambassador Camilo Reyes of Colombia presided misuse of small arms and light weapons. One of at the UN Conference. Following the Conference, the key considerations of the conference was the as the chair of the UN Security Council, the PoA’s interaction with the multiple regional Government of Colombia initiated a debate on measures and initiatives already in place, such as small arms and completed a Presidential the Inter-American Convention Against the Illicit Statement on small arms policy.3 In addition to Manufacturing and Trafficking in Firearms, Colombia, it is important to recognize the key Ammunition, Explosives and Other Related Materials roles played by Brazil, Canada, Mexico and the (hereafter referred to as the Inter-American United States in the outcome of the UN Conference. Convention) adopted by the OAS in 1997.2 The Inter-American Convention had previously proved an important regional forerunner and building The Brasilia Declaration4 block towards the development of the UN Protocol against the Illicit Manufacturing of and Trafficking From 22 to 24 November 2000 the representatives in Firearms, Their Parts, Components and of the Latin American and Caribbean states, Ammunition (hereafter referred to as the UN including Cuba, gathered in Brasilia to seek a Firearms Protocol). common approach in order to contribute a regional perspective to the work of the UN While the UN Conference did not live up to the Conference. In addition to supporting the UN high expectations of many governments and small arms process and parallel work on the NGOs, it did provide the opportunity to build on Firearms Protocol, the representatives agreed to regional action while establishing the need for, if seek to accomplish the following goals: not the prospect of, international action. The
WILLIAM GODNICK 3 • consolidate a global and balanced approach to The second meeting of this initiative took place in the issues involved, taking into consideration Managua in April 2001 where the Central American the specific characteristics of regions, sub- participants made the following commitments in regions and countries; anticipation of the UN small arms process:6 • strengthen international cooperation in the • to demand the active participation of missions following areas: judicial, technical, financial and from each Central American country in the UN law enforcement; 2001 Conference; • recognize the importance of national efforts to • to make a call to members of parliament of all recover small arms in post-conflict settings and Central American nations, including the Central of international support for such efforts; American Parliament, to work with their respective ministries of foreign affairs in order • recommend the adoption of concrete measures; to promote the most qualified participation and • acknowledge that civil society has an important significant presence in the UN 2001 Conference; role to play; and • to elaborate and present a unified Central • promote constructive and pragmatic approaches American position before the UN 2001 within the scope of the UN Conference. Conference using the Brasilia Declaration (see below) as a model; and
The meeting of Latin American governments and • to recommend that government missions the Brasilia Declaration demonstrate that many of participating in the UN 2001 Conference arrive the OAS Member States appreciate the importance informed and with the relevant information on of regional approaches within the UN context. In arms proliferation, misuse and laws from their the third meeting of the Conference Preparatory home countries. Committee in March 2001, Brazil endorsed specific The governments of Central America chose to proposals for follow-up to the PoA, including: adhere to and support the conference statement • establishing an ad hoc follow-up mechanism made by the representative of the government of subsidiary to the General Assembly; Chile on behalf of the Rio Group (see below) instead of presenting a unified position for the • convening regional or sub-regional follow-up sub-region. However, representatives of Costa meetings and conferences; and Rica, El Salvador, Guatemala, Panama and • convening a Review Conference involving all Nicaragua did make individual statements on the parties no later than 2006. Conference floor.7
The final UN Conference PoA adopted the convening of biennial meetings and a 2006 Review Conference Section 2: Building on as official follow-up to the Conference. The Government Existing Initiatives of Chile and the United Nations Department for Disarmament Affairs (UNDDA) agreed to allocate The Inter-American Convention, Inter-American the resources for a regional follow-up meeting of Drug Abuse Control Commission’s (CICAD) Model the Latin American and Caribbean States for the Regulations for the Control of the International 2001 UN Conference in November 2001.5 Movement of Firearms, Their Parts and Components and Ammunition and several sub-regional initiatives in Central and South America provide useful The Managua Declaration points of reference for consensus building at the global level. These existing initiatives illustrate the Prior to the UN Conference the Swedish Fellowship areas where it is possible to build political of Reconciliation, an NGO, took the initiative to consensus around combating the illicit arms trade. gather parliamentarians from Europe, Central America and Brazil to discuss the issue of small arms proliferation and misuse and consider Central American involvement in the UN process.
4 WILLIAM GODNICK Small arms as a crime control the ratifications of the Convention, discuss the case study presented by the Government of Mexico, issue: The Inter-American identify points of contact within each national Convention government as well as central authorities responsible for the legal and legislative aspects of ratification, The Inter-American Convention is the only legally adoption and implementation.9 Some of the key binding regional agreement in the world that activities of the 2001-2002 work program are: deals with firearms proliferation in the context of law enforcement and crime control. All OAS • Encourage participation, by all convention Member States, with the exception of Dominica, signatories, in the questionnaire approved at have signed the agreement while thirteen have the First Meeting of Parties to the Convention. reached the point of ratification. By the conclusion As of 15 June 2001,10 only 16 of the 33 of the UN Conference the states that have ratified signatories to the Convention have responded the Convention included: Bahamas (1998), Belize to the questionnaire that allows for bureaucratic, (1997), Bolivia (1999), Brazil (1999), Costa Rica technical and political monitoring and follow-up. (2000), Ecuador (1999), El Salvador (1999), • Update the inventory of measures adopted by Mexico (1998), Nicaragua (1999), Panama (1999), States as indicated in the above-mentioned Paraguay (2000), Peru (1999) and Uruguay (2001). questionnaire. The Convention broadly defines firearms as “any • Create private e-mail lists for information sharing barreled weapon which will or is designed to or among national entities and central authorities. may be readily converted to expel a bullet or projectile by the action of an explosive – any • Develop a register of arms suppliers within the other weapons or destructive device such as an OAS region. explosive, incendiary or gas bomb, grenade, • Formalize contact and relationships with the rocket launcher, missile, missile system or mine.” UN, European Union (EU) and other The breadth of this definition is a principal international organizations interested in strength of the Inter-American Convention. While multilateral cooperation. in some other fora the range of weapons covered • Publish a Convention website with different under such definitions is much more limited, the levels of private and public access. Inter-American Convention can be applied to the range of small arms and light weapons responsible • Invite States to develop and present case for death, injury and trauma in the western studies, such as the one presented by Mexico in hemisphere. The aims of the Convention are to8 May 2001, regarding the illegal arms trafficking environment and the status of Convention • criminalize illicit manufacturing and trafficking; ratification and implementation. • mark weapons at manufacture and import; • Advance the development of model legislation • establish an effective export, import and transit needed to implement the Convention, but not licensing system; contemplated in CICAD Model Regulations (see • strengthen controls at export points; discussion below). • exchange information on producers, dealers, Participation in the UN Conference and the importers and exporters, routes and techniques Brasilia Declaration were also discussed in the used in illicit trafficking; and May consultation. On 11 July 2001 the representative of the Government of Mexico, as • exchange experience and training in areas such chair of the Convention’s Consultative Committee, as identification, detection, tracing and made a presentation to the Conference on behalf intelligence gathering. of the Rio Group. In the days following this presentation, the chair met with the UN Under- secretary-General for Disarmament Affairs, the Prior to the UN Conference, in May 2001, the Director of the UN Regional Centre for Peace, Consultative Committee of the Inter-American Disarmament and Development in Latin America Convention met in Washington, DC to approve the and the Caribbean (UN-LiREC) and representatives work program for 2001-2002 as well as to review of the EU to discuss future modes of cooperation.
WILLIAM GODNICK 5 It is clear that the parties to the Inter-American export of firearms from relatively strict domestic Convention took advantage of the UN Conference regulation of firearms possession, use and resale to bolster support for the Inter-American to areas of relatively lenient domestic regulation. Convention and its implementation. These Second, the Convention and Model Regulations meetings and the apparent political will to move are limited to commercially traded firearms, forward in a collaborative fashion build on the leaving state-to-state small arms transfers to a Memorandum of Understanding (MOU) signed variety of military, security and police end-users between UNDDA and the OAS on 26 January 2001 inadequately regulated. A further gap in controls that set out a legal framework for cooperation exists with regard to state transfers of arms to with regard to measures to reduce illegal non-state actors. The end product of the UN trafficking in firearms in the region. UN-LiREC and Conference indicates that there is still a lack of CICAD were already established as the respective political will, both inside and outside of the OAS, implementing institutions of this agreement when to take aggressive action on these two areas of the UN Conference began. government-sanctioned transfers. Third, the adoption and the implementation of the Model Regulations are not well coordinated CICAD Model Regulations with other Inter-American agreements and Concurrent to the Inter-American Convention implementing organs such as those aimed at negotiations, the OAS Member States also fighting corruption. For this reason the Model formulated a set of practical guidelines to Regulations do not take advantage of potential complement the effective implementation of the synergies with other relevant regional initiatives. Convention. Developed under the auspices of Despite its weaknesses, the CICAD Model CICAD the Model Regulations were also adopted Regulations provide a practical, hands-on in November 1997. These Model Regulations opportunity for multilateral technical cooperation. consist of a series of harmonized measures and In 2000 and 2001 UN-LiREC in cooperation procedures for monitoring and controlling the with CIDAD held Model Regulation awareness- international movement of commercially traded building workshops in Peru, Martinique and firearms, their parts and components among OAS Trinidad and Tobago open to all UN Member states that have adopted them and guidelines for States in Latin America, including Cuba. These minimum standards required for harmonized seminars are scheduled to continue into 2002. licensing. It also outlines proposals for record- Furthermore, beginning in February 2002, the EU keeping and information sharing on imports and together with the Governments of the Netherlands exports, including the quantity, type and serial and Sweden have agreed to finance related numbers of firearms.11 training activities on a sub-regional level for police and customs officers involving UN-LiREC, CICAD There are three key weaknesses to these and potentially INTERPOL and the World regulations that make it difficult to fully prevent Customs Organization. small arms from entering the illicit market. First, the Model Regulations are not directly connected to the Inter-American Convention and only apply to OAS Member States that adopt them.12 They The need for a comprehensive have no effect on other States with which OAS approach: The OAS Resolutions Member States do business or OAS States that on small arms have not adopted them. When a manufacturer or broker from an OAS Member State sells firearms OAS Member States have further recognized the to brokers and buyers from noncompliant OAS multi-dimensional aspects of the proliferation and states, or non-members, with lax controls and illicit trafficking in small arms and light weapons. regulations there is a danger that these arms will A 1999 Resolution of the General Assembly called enter the international black market. It should be for “integrated action that addresses matters of noted here that in many parts of the Americas a security; the collection of weapons from similar phenomenon of ‘slippage’ from licit to demobilized combatants, the destruction of those illicit markets also occurs through the sale or weapons, and the reintegration of such persons
6 WILLIAM GODNICK into civilian life; humanitarian issues; cultural and Coordinating approaches economic circumstances and the legal aspects of Some countries require a broader, multi-disciplinary arms control.”13 This suggests that for some time approach to small arms proliferation as outlined within the OAS there has been at least a in the 2001 OAS resolution. Guatemala has not minimum level of consensus for an approach that yet ratified the Inter-American Convention because goes beyond crime control and law enforcement of legislative obstacles related to its constitution, alone. The UN Conference PoA together with the the difficulty of passing more restrictive firearms Inter-American Convention provide OAS Member control legislation in the present environment of States with important international political tools insecurity and delays in the implementation of to combine approaches to combat small arms relevant aspects of the Peace Accords.15 The proliferation according to differing national and section of the accords dealing with the sub-regional contexts. However, both initiatives ‘Strengthening of Civilian Power and the Role of have significant blind spots (for example, neither the Armed Forces in a Democratic Society’ called explicitly prohibits small arms transfers to human rights abusers) which must be addressed if they for the transfer of power over the control of arms, are to prove effective in tackling the problem in ammunition and explosives from the Ministry of its entirety. Defense to the newly created Ministry of the Interior.16 In a May 1999 referendum with high A month prior to the UN 2001 Conference at the levels of voter absenteeism, voters rejected a OAS General Assembly another resolution was package of 50 amendments to the constitution passed on the “Proliferation of and Illicit Trafficking approved by the congress a year earlier, which 14 in Small Arms and Light Weapons.” This had been prepared in accordance with the UN- resolution took note of the UN Conference, the brokered peace plan. The rejection of the package Brasilia Declaration, the Inter-American Convention made reforming the law on arms, ammunition and the CICAD Model Regulations as well as the and explosives difficult, in addition to hampering US government’s offer of “bilateral technical and the progress of many other laws including that financial assistance available for destruction of which governs private security companies. surplus weapons, as well as illegal weapons seized as a result of interdicting illicit trafficking.” The Guatemala provides a good example of a country 2001 OAS small arms resolution also called for the which, in order to adhere to a small arms control following actions, among others: treaty in the context of crime prevention, must also deal with the issue in the context of post- • Encourage Member States to adopt CICAD conflict peace-building. The United Nations Model Regulations. Development Programme (UNDP) “Violence in a • Instruct the Committee on Hemispheric Society in Transition Program” in neighboring El Security to undertake a study on small arms / Salvador specifically focuses part of its efforts on light weapons brokering and transit. strengthening mechanisms for small arms control.17 It would be to Guatemala’s advantage to • Encourage Member States to adopt measures work toward a similar agreement while the United relating brokering and transit in order to Nations Observer Mission and UNDP still have combat illicit trafficking. active mandates in the country. These small arms • Request that CICAD provide assistance to and light weapons (SALW) pilot projects should be Member States to build capacity and implement watched carefully by OAS members and non- the Inter-American Convention. members alike. • Request that the Committee on Hemispheric Security hold a seminar on stockpile management, destruction and identification of small arms. Sub-regional initiatives • Encourage states to destroy surplus and seized Both MERCOSUR and the Central American small arms and light weapons as well as take countries have made sub-regional political measures to prevent theft and leakage from commitments to control the illicit arms trade. The official inventories. MERCOSUR agreement should be seen in the context of a sub-region with two important small arms-producing countries, Argentina and Brazil, as
WILLIAM GODNICK 7 well as Paraguay, a country challenged by a In addition to the region-wide joint CICAD/UN- significant black market trade. All of the Central LiREC training for police and customs officers, American countries have been affected by the UN-LiREC is in the process of developing databases Cold War conflicts of the previous decades, as well on firearms, ammunition and explosives in Latin as the increased drug trafficking in the region, America and the Caribbean financed by the EU and this has led to sub-regional cooperation and in cooperation with the Stockholm International across a range of issues. Peace Research Institute and the UN Institute for Disarmament Research.20 These tools will be made available to police and customs officials and MERCOSUR represent significant steps toward progress on the Following the Southern Cone Presidential Declaration technical / bureaucratic level. What remain to be on Combating the Illicit Manufacturing and seen are substantial moves toward political and Trafficking in Firearms, Ammunition and Related diplomatic follow-up on the part of the Materials signed in April 1998 the interior ministers MERCOSUR governments and their associates. of the countries belonging to the South American Common Market (MERCOSUR) – Argentina, Brazil, Central America Paraguay and Uruguay – and their associates Bolivia and Chile agreed to develop a joint registration Because of the high levels of weaponry mechanism for firearms, ammunition, explosives proliferating in the Central American sub-region and other related materials within the MERCOSUR as a result of the countries’ civil conflicts and the Security Information System to include:18 dynamics of the Cold War, the isthmus has been host to a number of measures and proposals to • register(s) of individuals and legal entities that control arms at the national and sub-regional buy, sell, exchange, import, export and levels. Recently, the Brasilia Declaration took note distribute firearms; of the 1997 Summit of Central American • register(s) of ports of shipment and Presidents that created the still unfulfilled importation, including intermediate points; and Declaration on the Recovery of Illicit Arms in the • national registers of individual and institutional Hands of Civilians in Central America.21 firearms owners. Another agreement, dating from 1995, “The Framework Agreement for Democratic Security in Central America,” involves all Central American The parties also agreed to use the CICAD Model countries and is even more comprehensive and Regulations framework to establish national data far-reaching.22 It calls for the establishment of a processing centers to ensure compliance. The uniform register of arms, equipment and framework for collaboration between UN-LiREC explosives; modernization and harmonization of and CICAD provides an opportunity to pursue and relevant laws; and dispute resolution systems for advance the development of the mechanism. cases of arms trafficking involving more than one MERCOSUR decisions are obligatory and do not national jurisdiction. However, the Costa Rican require approval or ratification by national Legislative Commission has voted unanimously to legislatures. In November 2000 the MERCOSUR, reject ratification of the treaty, citing lack of Bolivian and Chilean Interior Ministers met in Rio distinction between the roles of the military and de Janeiro where a common nomenclature was civilian security forces.23 A review of the treaty is adopted establishing definitions for the following now planned by Costa Rica. Panama and Belize categories of firearms: civilian, conditional-use officially support the Costa Rican position. civilian, prohibited, collectable, military-exclusive In addition, the OAS has already coordinated a and component / accessories. Since November comprehensive landmine detection and removal 2000 no progress has been made in this area program in Central America involving Guatemala, because of differences of opinion regarding the Honduras, Nicaragua and Costa Rica. This best software to use for implementation of the demonstrates the possibilities for positive MERCOSUR Security Information System.19 collaboration between international donors, the
8 WILLIAM GODNICK OAS beneficiary countries, their governments and Integration System (SICA) to sign an agreement or military institutions and technical advisors from MOU with UN-LiREC as has been done with the within the region provided by the Inter-American Economic Commission for Latin America in the Defense Board (IADB).24 Similar structures and economic arena. Central American governments arrangements might be useful for tackling the are already eligible for support from UN-LiREC on illicit arms trade in Central America, particularly a national level; however, such a sub-regional the trade in handguns and assault rifles bound for agreement could foster trust and collaboration the conflict in Colombia. amongst Central American states in the fight against arms trafficking, without getting caught up While positive steps have been taken in national in the existing differences of opinion related to contexts, sub-regional efforts in Central America the Framework Agreement for Democratic Security. tend to be weak due to the numerous territorial disputes involving virtually all countries and a general climate of distrust. One possibility for cooperation would be for the Central American
Highlights in small arms control in El Salvador
March 1992 – August 1993 United Nations Observer Mission (ONUSAL) oversees the surrender and destruction of weapons held by the Frente Farabundo Martía de Liberación Nacional including 10,230 small arms, 4,032,000 rounds of ammunition and 9,228 grenades.25 1996 – Present The Patriotic Movement Against Crime, a private sector association, in cooperation with the Civilian National Police, Ministry of Defense, Catholic Church, Office of the President, the Legislative Assembly and the Rotary Club carry out the Goods for Guns program, exchanging vouchers for foodstuffs, shoes and pharmaceuticals in exchange for weapons. In the first four years the program succeeded in collecting and destroying 1,354 pistols and revolvers, 3,043 long arms including assault rifles, 3,180 grenades and 129,696 rounds of ammunition.26 8 January 1999 El Salvador ratifies the Inter-American Convention Against the Illicit Manufacturing and Trafficking in Firearms, Ammunition, Explosives and Other Related Materials, deposited at the OAS on 18 March 1999. May 1999 The Central American University’s Institute for Public Opinion publishes a study on cultural norms and attitudes towards violence, including the use and possession of firearms.27 The study paves the way for the Central American University’s further research in the area of small arms and public security. 1 July 1999 El Salvador’s Legislative Assembly approves a new law for the control and regulation of firearms, ammunition, explosives and similar articles. While far from perfect it better reflects the nation’s post- conflict reality and is a starting point for continued national debate.
WILLIAM GODNICK 9 Section 3: Tackling Small civilian market, a first step in promoting efforts towards universal marking of military weapons. Arms – The Supply Side The Firearms Protocol is also a significant The OAS has been a pioneer among regional advance in efforts to trace seized weapons, as it organizations to stem the supply of small arms promotes information sharing between countries, that are manufactured and traded illegally. The specifically for the purpose of tracing weapons signing of the Inter-American Convention and the and learning more about the methods and means development of CICAD’s Model Regulations are by which weapons are trafficked illegally. Data evidence of this. The Inter-American Convention exclusively from manufacturers is only of limited has served as a model and primary input for the utility as arms may change hands legally several UN Firearms Protocol. times before they reach the black market. OAS Member States have also taken unilateral steps Article VI of the Inter-American Convention calls to prevent legally manufactured and traded firearms for marking at the time of manufacture, from entering illegal and grey markets. In importation and confiscation, including not only November 2000, the Brazilian government levied firearms, but also grenades and other weapons a 150 per cent export tax on handguns and covered by the Convention. Article XI refers to ammunition bound for Central America, the Caribbean record-keeping, but is quite vague and Article XIII and South America, with the exception of Argentina, deals with information exchange in a fairly broad Chile and Ecuador because they have strict gun- way. Unfortunately the limited number of control laws and effective anti-smuggling efforts.28 ratifications of the Convention and the low In 1999, the US government suspended sales of response rate to the official convention handguns to Venezuelan companies out of questionnaire (see above) indicate that the OAS concern that many weapons were ending up in States have a long way to go before there will be the hands of drug traffickers and guerrilla an effective tracing regime in place. organizations in neighboring Colombia.29 Attempts to trace a fully and uniquely marked weapon are frequently frustrated by inadequate record-keeping.31 Lack of traceability in general Tracing obstructs efforts to obtain information relating to There is a relatively broad international consensus diversion points of specific weapons. The level of that firearms being sold commercially should be information exchange necessary to identify uniquely marked at the time of manufacture so diversion requires a level of confidence between that they can be traced, should that be states that can be challenging across the entire necessary.30 However, marking at the point of region or within sub-regions. Nevertheless, in the import or the marking of weapons designated for absence of the ability to trace weapons flows use by military or security forces are more hotly accurately with the help of official government debated issues in the international arena. In the documentation, authorities will have to place fight against the illicit arms trade, where the more effort on intelligence gathering activities. original importer may be several countries While the UN Conference PoA leaves the majority removed from where the illegal weapons are of the responsibility for marking and tracing to seized, information on the weapon that identifies individual states it does encourage the allocation more recent importation is valuable to law of financial and technical support for States enforcement efforts to trace the route by which interested in developing such capacity and those weapons were transported and to identify at utilizing new technologies. In terms of which stage the weapons crossed over from the international tracing the boldest move taken by legal to the illegal market. Marking at import has the UN Conference PoA in this regard was the been agreed in the UN Firearms Protocol, as have decision to undertake a study for “examining the measures to ensure that weapons are marked feasibility of developing an international with unique serial numbers, name of manufacturer instrument to enable States to identify and trace and place of manufacture. In addition, the in a timely and reliable manner illicit small arms Protocol requires countries to mark weapons that and light weapons.” However, the lack of international are transferred from military stocks into the
10 WILLIAM GODNICK commitment vis-à-vis the establishment of materials” and “routes customarily used by international cooperation on tracing, must, in the criminal organizations engaged in illicit absence of enhanced political will, place a trafficking.” Finally, the ‘controlled delivery’ of question mark over the prospects that any such firearms where suspect cargoes are monitored as feasibility study will yield positive results. they pass through territories of one or more states parties with a view to “identifying persons As well as fully implementing the Inter-American involved in the commission of offenses” could Convention provisions on marking and yield important information on arms brokering information exchange, the OAS Member States and transport agents. can play a very useful catalytic and leadership role at the international level. By sharing their As with marking and tracing, the UN Conference practical regional experiences, OAS States can PoA leaves measures to control arms brokers up help develop international best practice, and are to national governments, though as a follow-up well placed to promote a climate where activity it does agree to consider further steps to international cooperation on marking and tracing “enhance international cooperation in preventing, is encouraged and the process of developing an combating and eradicating illicit brokering.” The international instrument has begun. OAS did take some steps towards dealing with brokering and transit of small arms in the above mentioned 2001 General Assembly resolution that Brokering calls for a hemispheric study and encourages States to adopt domestic legislation to prevent Despite increasing evidence of the consequences illegal brokering and transit activities. At this point of unregulated arms brokering and transportation, OAS Member States who feel not enough is done many OAS Member States lack legislation for the to control brokering activities can lead the way in control of such activities. A notable exception is implementing (albeit voluntarily) the provisions the United States, which does have extensive for registration and licensing of brokers that are provisions for registering and licensing of arms contained in the UN Firearms Protocol. brokers, including full extraterritorial application. However, recently questions have arisen regarding the effectiveness of the implementation of these provisions.32 Domestic firearms regulation The importance of effective domestic firearms Although the Inter-American Convention does not regulation in reducing the proliferation and explicitly address the issues of arms brokering misuse of small arms and light weapons has been and transportation, a number of provisions could affirmed by the United Nations in several different be regarded as applying to the control of these contexts: the UN Security Council Resolution 1209 activities. For example, the definition of illicit (1998); the Report of the Disarmament Commission trafficking as the “import, export, acquisition, considered at the General Assembly (1999); and sale, delivery, movement or transfer of firearms, the Report of the UN Commission on Crime ammunition, explosives and other related Prevention and Criminal Justice (1997), which calls materials from across the territory of one State on all countries to introduce regulations to ensure Party to that of another State Party, if any one of licensing, safe storage and tracing of firearms. the States Parties concerned does not authorize it” could conceivably apply to the activities of arms The UN Conference PoA lays out 25 measures to brokering and transport agents if arms are be taken by Member States at the national level transferred without authorization from source, that range from putting in place laws governing transit and end-user states who are parties to the production of small arms to preventing the use of Convention. Moreover, the States Parties have small arms against children in armed conflict. agreed to exchange information that could be One key area of contention that did not end up in relevant to control illicit arms brokering and the PoA was the specific issue of the civilian transportation, including details of “authorized possession of small arms. During the negotiations producers, dealers, importers, exporters and, some States called for a ban on civilian ownership wherever possible, carriers of firearms, of military-style small arms and light weapons ammunition, explosives and other related while opponents claimed that any such action
WILLIAM GODNICK 11 would interfere with issues of national sovereignty. Financial regulation However, none of the discussion at the UN Conference resulted in action to control and Another factor contributing to the ease with which influence behavior at the local level where decisions illicit arms transfers can be made in the western to obtain and use small arms are often made. hemisphere is the presence of a multitude of financial and tax havens in Anguilla, Antigua and Domestic regulations are indispensable to Barbuda, Aruba, Bahamas, Belize, British and combating the illicit trade in small arms. Virtually American Virgin Islands, Cayman Islands, Dominica, every illegal small arm was, in the first instance, a Grenada, Netherlands Antilles, Panama, St. Lucia, legal small arm, whether in the hands of the state, St. Vincent and the Grenadines, Turks and Caicos non-state actors or civilians. There is a range of and others.34 The lack of regulation and oversight ways by which such weapons are diverted from of financial transactions, which typifies the 33 licit to illicit markets including: operation of tax havens, greatly assists the • illegal sales by dealers; financial dimensions of the illicit small arms trade. • illegal resale and purchases by surrogate Article XII of the Inter-American Convention parties; stipulates that States Parties will exchange information on “techniques, practices, and • loss or theft; legislation to combat money laundering related to • diversion from surplus; and illicit manufacturing of and trafficking in • falsification of documents and illegal firearms,” but does not stipulate any concrete importation (e.g., by concealment). actions to be taken in this regard. The UN Conference PoA does not make any direct reference to financial regulation though it does Countries or regions where there is little effective encourage States to ratify international legal domestic regulation often play a major role in instruments on transnational organized crime. feeding an illicit supply of small arms and light Exploratory efforts to control arms brokering weapons to countries where regulations may be activities might be indirectly related to the issue more restrictive. The implementation of arms of financial regulation, but this area continues to control treaties already signed and ratified by be one that requires more thorough treatment. governments often requires the passage of new legislation. In the specific case of Canada, a major supporter of the Inter-American Convention yet to Linking small arms to other regional measures ratify that instrument, the measures contemplated The Inter-American Convention and other regional in a treaty or convention must be fully adopted in agreements and moratoria have raised the level national legislation before ratification can take of discourse on the illicit arms trade exponentially. place. This requires the passage of legislation and However, corruption in general and the lack of the development of bureaucratic procedures as political will to adopt and implement the well as political negotiation in national legislatures measures after making political agreements and, frequently, harmonization with state, minimize the effectiveness of these measures. provincial or municipal governments. At the international level, the only OAS Member The international system of which the UN and States to respond to and provide detailed OAS are part is based largely on national information to the United Nations in Vienna’s sovereignty. Curbing the illicit arms trade presents 1997 International Study on Firearm Regulation governments with the difficult task of balancing were Argentina, Brazil, Canada, Colombia, Costa national security with public safety. This balance Rica, Ecuador, Jamaica, Mexico, Peru, Trinidad is increasingly referred to as human security. The and Tobago and the United States. In 1999, Inter-American Convention and the UN Conference Guatemala was added to this list. Lack of PoA will not be effective policy tools without responses from the region may be due to lack of parallel and complementary legislation by national institutional capacity, data gathering practices, governments. changes in ministerial responsibilities and bureaucratic voids left after national elections.
12 WILLIAM GODNICK Section 4: Tackling Small also experiencing rapid growth in the number of private security companies and agents.36 Arms — The Demand Side In Guatemala, for example, the Chamber of It is generally recognized that the long-term Industry reports 52 private security enterprises, measures to curb the demand for small arms will while the government reports an even greater have to be a concert of economic, political, number: 116 companies employing 35,000 security sector reform and rule of law programs. agents.37 The figure represents more than twice Recent NGO conferences in Durban, Nairobi and the number of civilian police officials in the Toronto emphasized that the underlying demand country since the last count of 14,800 in 1999.38 for arms is closely linked to the issues of gender, As well as unease over the growing numbers of sustainable development and human security and such private security companies, the lack of that poverty alleviation must be given priority in adequate training, regulation and accountability is this context.35 The proliferation of private security also of grave concern. In El Salvador, at the companies and experiences with weapons beginning of 1999, only 8,118 of 17,000 private collection in the OAS region are two areas that security agents had completed the five-day course provide insights into the demand aspects of small required for that profession by the National Public arms proliferation, albeit from different angles. Security Academy.39 The police in El Salvador state that approximately 25 per cent of the weapons confiscated nationwide are taken from The privatization of public security private security agents. The most common and small arms proliferation infraction is non-compliance with licensing regulations.40 In Latin American in general, but most specifically In Honduras, at least a dozen private security Central America and Colombia, private security agencies maintain AK-47s in their inventories companies using high powered weaponry, often of even though assault weapons are, by law, reserved military design, have proliferated where public for the exclusive use of the military.41 La Armería, security forces have been unable to provide a subsidiary of the Honduran military pension citizens with a sense of security. Demand for institute, and the Ministry of Defense are the only these services is fueled by the need felt by many entities in the country authorized to import and banks, delivery trucks, businesses and residences sell firearms and have never sold AK-47s through for armed protection. The weapons used by their public outlets. Neither does the military agencies providing these services fuel the legal maintain AK-47s in its inventories. In response to firearms trade while the lack of government this situation, in October 2000 the Honduran control over the agencies, their employees and Ministry of Security ordered all private security their weapons makes it potentially easy for arms companies to turn in machine guns, sub-machine to slip into the black market and end up in the guns, assault rifles and semi-automatic pistols.42 hands of criminals. Again the lack of economic The first company to comply turned in 33 illegal opportunity and rule of law accelerates the vicious weapons and others followed suit. cycle of small arms demand creation. Increasingly, employees of private security The transition made by military-controlled police companies are implicated in criminal activities forces to civilian operations in the three Central including armed assault and arms trafficking. American post-conflict countries – Guatemala, El Until there is more effective control and regulation Salvador and Nicaragua – plus Honduras has of the way these companies procure, store and resulted in the deficient delivery of public security distribute their firearms it is highly likely that to the population during times of increased crime significant numbers of private security weapons and violence outside the context of political will continue to enter the black market and conflict. In this environment well-armed private contribute to increased levels of violence and security companies have filled the market insecurity. Of course the pace of privatization of demand to guard and protect banks, hotels, public security functions can be most effectively commercial centers, government buildings and challenged by adequate investment in civilian wealthy individuals. Panama and Costa Rica are
WILLIAM GODNICK 13 police forces and competent judiciaries Weapons collection accompanied by parallel efforts to remove corrupt officials. However, these goals are only feasible and destruction over the long term and there exists an urgent The collection and destruction of illicit weapons need to prevent leakage from private security can be seen as both a micro-supply side issue and arsenals in the interim. Some measures that as a demand issue. During the UN Conference might be appropriate in the context of private preparatory meetings the Government of security include: reviews of current practices, the Argentina suggested wording be added on the establishment of effective systems for issue of voluntary weapons collection and disposal management and accountability, ensuring in order to promote and consolidate a culture of adequate and detailed standards and procedures, non-violence. The UN Conference PoA did not link ensuring good record-keeping and regular weapons collection with non-violence though it stocktaking, and ensuring that losses are properly did agree to “promote a dialogue and a culture of reported and investigated.43 peace by encouraging, as appropriate, education States should introduce national legislation to and public awareness programmes on the control these activities of private providers of problems of the illicit trade in small arms” at a military and security services who should be global level. At the same time weapons collection required to register and apply for authorization for and destruction was one of the recurring areas of each contract they enter into. Such applications consensus within the UN Conference PoA. should be assessed in accordance with publicly available criteria based on human rights standards Post-conflict disarmament in the Americas and international humanitarian law. Over the course of the last decade the countries States should also promote measures to ensure of the western hemisphere have contributed rich that the employers of private military and security experiences in the area of weapons collection and companies introduce sufficient safeguards to destruction, both in terms of post-conflict peace- prevent breaches of human rights norms and building and crime prevention. The experience of standards, international humanitarian law, or the US Army in buying back weapons in the post- other aspects of international law by their conflict environs of Panama (1989-90) and Haiti employees. Such personnel should not have a (1994), where 10,000 and 3,389 weapons record of human rights abuses and there should respectively were collected, forewarned further be strictly enforced controls governing when force collection efforts of the risk of stimulating black and firearms can be used. These controls should market transactions when cash incentives are be in accordance with international standards on used to motivate people to surrender weapons.44 the use of force, including the UN Code of Conduct for Law Enforcement Officials and the In the period between these two experiences, the UN Basic Principles on the Use of Force and Government of Nicaragua created the Special Firearms by Law Enforcement Officials. All Disarmament Brigades (BED) (1992-93) to collect personnel should be properly trained in and weapons from ex-combatants and irregular committed to respect such standards. militias. The BED collected and destroyed approximately 142,000 functional and non- Neither the Inter-American Convention nor the functional arms.45 Seventy-eight thousand were UN Conference PoA makes specific statements or recovered through police confiscation while an proposals in relation to the small arms held by additional 64,000 were bought back in exchange private security firms though many measures for cash and micro-credit loans from a fund could be indirectly interpreted as pertaining to sponsored by the Italian government. them. For this reason, the control of private security companies and their resources continues The United Nations observer missions in El to rest in the hands of national governments. Salvador and Guatemala also carried out weapons collection efforts as part of their mandates in the demobilization and reintegration of ex- combatants. In El Salvador tens of thousands of
14 WILLIAM GODNICK weapons were recovered at the end of the conflict during the first half of 2001.49 The program in while fewer than two thousand were turned in by Mendoza focused as much effort on public the guerrilla forces in Guatemala.46 While awareness-raising and the development of important, these efforts have proven to be community / government relations as it did on incomplete as military-style weaponry continues weapons collection and destruction. to proliferate throughout Central America. In El Additionally, the Brazilian NGO Viva Rio has Salvador, a private sector association known as organized several large-scale weapons collection the Patriotic Movement Against Crime took note and destruction efforts in cooperation with the of this and initiated a “Goods for Guns’ program state government of Rio de Janeiro and with that over a five-year period has collected from political support from the federal government. civilians more than 4,000 firearms, 3,000 The latest coincided with the beginning of the UN grenades and hundreds of thousands of rounds of Conference on 9 July 2001, a day coined ‘Small ammunition. This effort has served as a model for Arms Destruction Day’. The prior year’s efforts other collection efforts around the world both in resulted in the destruction of more than 100,000 post-conflict and crime prevention settings. small arms recovered by the police, 73 per cent An important aspect of all the above-mentioned Brazilian-made. At the UN Conference the Brazilian post-conflict collection efforts was the destruction Minister of Justice proposed that Small Arms of the weapons. In Nicaragua and El Salvador Destruction Day be repeated on an annual basis weapons were destroyed publicly to symbolize the and that every act of destruction leave behind a end of conflict and to ensure that those turning in detailed data base of arms destroyed, so that the weapons did not fear that they would be re-used trade practices can be identified that made it so against them or their families. easy for criminals to flood society with weapons.50 Viva Rio activities highlight good government / NGO partnership and the fact that weapons Weapons collection for crime prevention collection and destruction programs can not be Many OAS Member States have problems with the done in isolation and need to be one strand of a illegal possession and circulation of small arms strategy to increase community security. yet most do not fit neatly into the categories of conflict or post-conflict societies. Increasingly Evaluating the effectiveness of weapons NGOs, local, state and provincial governments are collection developing their own firearms turn-in programs that integrate elements of post-conflict peace- The jury is still out as to whether or not weapons building with those of gun buy-back programs collection programs in any context contribute to implemented in the United States. Several tangible, measurable reductions in the illegal municipalities carried out firearms amnesty proliferation and misuse of small arms. In fact it is programs in the late 1990s with a focus on the very difficult to isolate the variables to measure disarmament of youth gangs.47 their effectiveness, even in the United States where years of historical data is available.51 Policy More recently, Latin American state and provincial analysts in this field increasingly believe that the governments have begun to enact weapons quantifiable benefits, in terms of crime and risk collection programs because it has been easier to reduction, are more visible at the individual bolster support at this level than at the national. household level than at the community level.52 In Monterrey, Nuevo León, Mexico the state government exchanged vouchers worth 500 In El Salvador, with both UN-sponsored and civil Mexican pesos for illegal and unwanted firearms, society-initiated disarmament programs, recovering many different types of weapons, the approximately 14,000 firearms were collected most common being .22 caliber pistols.48 The along with millions of rounds of ammunition. This most high profile effort of late has been the Arms quantity pales in comparison with the estimated Exchange Program of the provincial government 400,000 firearms (of which 145,000 are legally of Mendoza, Argentina that collected more than registered) still circulating in El Salvador, 2,000 firearms, mostly revolvers and shotguns suggesting that weapons collection must take produced in Argentina, in two rounds of collection place in the context of a more comprehensive
WILLIAM GODNICK 15 solution.53 However, the UNDP has made an effort cooperation with civil society and NGOs.…” to develop performance indicators after their Additionally, there appeared to be significant direct participation in the ‘Weapons for consensus regarding the need to provide Development’ program in Albania that included assistance to build the capacity to store and protect measures of recovery, crime, black market trends, national stocks held by armed forces, police and program cost and death and physical injury risk other authorized government institutions. It would reduction.54 Even with well developed methodologies be a welcome measure for future international the quality of a quantitative evaluation still small arms processes to encourage or promote depends on the quality of the statistics, a problem concrete measures on the control of private in many developing and post-conflict countries. security companies, especially transnational enterprises, and their weapons inventories. A global and regional consensus on weapons collection? The UN Conference PoA, the Inter-American Section 5: Combating the Convention and the most recent OAS General Illicit Trade through State- Assembly resolution provide ample political support and access to the necessary technical and Authorized Transfers financial assistance for weapons collection and destruction programs dealing with voluntarily surrendered, confiscated and surplus weapons. The OAS declaration on The US did sign onto the non-binding PoA, small arms transfers although it did not sign the legally binding Ottawa The OAS declaration on small arms transfers is Treaty to ban landmines. Furthermore, it does one regional initiative not discussed in Section 2. appear to be replicating the program of support Responding to concerns that the Inter-American for humanitarian de-mining through the above- Convention on illicit trafficking took a narrow mentioned offer to provide technical and financial approach by focusing purely on crime control and assistance to OAS Member States seeking to commercial transactions, the OAS Committee on destroy surplus and confiscated weapons. This Hemispheric Security met in March 2000 to demonstrates the more recent US history of discuss the development of controls of state carrying out bi-lateral programs on the ground even transfers of weapons. The meeting resulted in a when it has not signed international agreements. draft proposal on “Responsible Small Arms and The UN PoA (Paragraph 17) makes several Light Weapons Transfers.”55 The draft proposal attempts at developing an international norm on outlines the following criteria to be considered weapons collection and destruction, calling on when assessing small arms and light weapons: States “to ensure that all confiscated, seized or • the legitimate defense and security needs of collected small arms and light weapons are the recipient country; destroyed,” though it leaves room for interpretation when it also says in regard to the • the recipients’ involvement in peacekeeping former, “unless another form of disposition or use operations; has been officially authorized.” The PoA • the technical ability of the recipient country to (Paragraph 21) is a bit more positive when it goes ensure effective export controls; and on to encourage States “[t]o develop and • the technical ability of the recipient country to implement, including in conflict and post-conflict ensure effective management and security of situations, public awareness and confidence stockpiles. building programs on the problems and consequences of the illicit trade in small arms and light weapons in all its aspects, including where Under the proposed draft, OAS Member States appropriate, the public destruction of surplus would also commit to weapons and the voluntary surrender of small • respect international commitments such as arms and light weapons, and if possible in arms embargoes;
16 WILLIAM GODNICK • take into account gross violations of human response by the recipient country to the rights and humanitarian law in the recipient military and security threats confronting it; country; • avoiding transfers to countries where • not transfer weapons if there is a clear risk that - there is a risk of threatening the national they will be used for internal repression; security of other States; • take into account the internal situation of the - weapons might be either re-sold or re- recipient country, in particular the existence of exported for purposes contrary to those of armed conflict or high levels of violence; the OSCE document; • not transfer weapons that may provoke or - weapons might support or encourage exacerbate conflicts or existing tensions; terrorism and organized crime; or • not permit the transfer of weapons to countries - weapons might be used other than for undertaking international armed aggression; purposes of legitimate defense and security • take into account the high risk of diversion; and of the recipient country. • consider transfers in the context of development and economic needs of the recipient country. The proposal was discussed at the OAS General The need for legally binding Assembly meeting in Windsor, Canada in June export controls based on 2000 where a resolution was adopted giving the international law Committee on Hemispheric Security a mandate to develop a declaration specifically addressing the While the regional and extra-regional initiatives UN 2001 Conference; however, there was no mentioned above are important, most are only mention of the proposed policy for ‘Responsible politically binding and the fact remains that state- Transfers’ nor the above-mentioned elements of to-state transfers are still authorized in violation of that proposal.56 The UN Conference PoA does existing international commitments and obligations. include language to address diversion and the There is an urgent need for a legally binding technical ability of States to manage stockpiles. convention that explicitly ties states’ obligations Nonetheless, the PoA lacks action on most of the under international law to arms transfers. Such points of the proposed OAS policy on controls would, at a minimum, prohibit transfers ‘Responsible Transfers’ including a startling under the following circumstances: omission of any mention of human rights. • if the transfers would violate the exporting state’s direct obligations under international law, such as decisions of the UN Security Inter-regional complementarity? Council or treaties to which the state is bound; The OSCE document on small arms • if the weapons in question are likely to be used in violation of the prohibitions on: the threat or It is worth noting that the United States and use of force, threat to the peace, breach of the Canada agreed to a set of criteria similar to the peace or acts of aggression, or unlawful OAS ‘Responsible Transfers’ proposal when they interference in the internal affairs of another signed the Organization for Security and state; or Cooperation in Europe (OSCE) Document on Small Arms and Light Weapons on 24 November • if the weapons in question are likely to be used 2000 (this also builds on the OSCE Principles for to perpetrate serious violations of human rights, Conventional Arms Transfers of 1993).57 They to perpetrate serious violations of the law of have also endorsed the principles of the European war or to commit genocide or crimes against Code of Conduct on arms exports which humanity. embodies a comparable set of concerns. In fact A model of such an agreement – a Framework the scope of the OSCE agreement is even broader Convention on International Arms Transfers – than that of the OAS proposal, and includes: drafted by a group of NGOs and international • taking into account whether the transfers would lawyers, is currently being circulated in the UN contribute to an appropriate and proportionate and other international fora.58
WILLIAM GODNICK 17 In an encouraging step, the PoA did commit states and the Federation of American Scientists, make to “assess applications for export authorizations this data available on the Internet at according to strict national regulations and http://www.nisat.org and procedures that cover all small arms and light http://www.fas.org/asmp/index.html.60 Canada is weapons and are consistent with States’ existing another OAS Member State that also makes data responsibilities under relevant international law on arms transfers available, although there is taking into account in particular the risk of some room for improvement in the Canadian diversion of these weapons into the illegal trade” reporting system.61 Unfortunately, transparency (emphasis added). It is crucial that all states both in terms of exports and imports of recognize that these responsibilities include the commercial and government small arms sales is three categories elaborated above, and work limited among the rest of the OAS. Other Member towards the establishment of corresponding States need to be encouraged to publish reports export criteria at the national, regional and not only on commercial exports and imports, but international levels. also on the acquisitions made for military and security institutions. Colombia, an OAS Member State greatly affected The need for supporting by the illicit trade in small arms and light transparency mechanisms weapons, made a bold proposal to devise an international mechanism within the UN Only by ensuring transparency and accountability framework at the third preparatory meeting for in the government-authorized trade in small arms the UN Conference in March 2001 to promote and light weapons can the illicit trade be clearly transparency and information sharing. The proposal identified and effectively addressed. The included eleven specific types of information to increasing experience of the OAS States in be shared on a voluntary basis and used to developing and agreeing to criteria governing measure progress on the UN PoA. The proposal state-to-state conventional arms transfers suggests included sharing information on the following: that a common approach to deal with this issue in the context of small arms is possible.59 1. legislation which includes the illicit trade in small arms as a criminal offense; The UN Conference PoA makes no explicit mention of transparency measures at the 2. types of penalties applied to those convicted national, regional or global levels. The document of illegal arms trafficking; alludes to some transparency at the national level 3. number of ongoing investigations into illegal when it calls for States “to make every arms trafficking; effort…without prejudice to the right of States to re-export small arms and light weapons that they 4. number of persons detained for illegal have previously imported, to notify the original trafficking by year; exporting State in accordance with their bilateral 5. number of persons processed and convicted agreements before the retransfer of those for illegal arms trafficking; weapons.” However, this still falls short of the 6. number of small arms and light weapons expectation of many governments in this regard confiscated by type; and some believe this to be a backward step that undermines the development of a norm of no 7. number and description of successful re-exportation without the agreement of the operations by government authorities; original exporter. 8. number of small arms collected and destroyed; In terms of transparency in state-authorized 9. requests for legal and technical assistance and transfers, the United States could contribute a cooperation in arms trafficking cases; great deal to regional efforts since it regularly publishes data on foreign military sales and direct 10. number and types of small arms lost or stolen commercial sales of all types, including small from military warehouses; and arms transfers to governments, with the 11. sources and routes identified as used in the important exception of covert sales. Two NGOs, illegal arms trade. the Norwegian Initiative on Small Arms Transfers
18 WILLIAM GODNICK The UN PoA was not as explicit in terms of follow- The non-governmental International Action up as the Colombian proposal though it did call for Network on Small Arms (IANSA) points out that States to convene meetings every two years to review the UN PoA lacks any measures to commit to the national, regional and global implementation negotiate international treaties on arms brokering of the PoA. Many aspects of the Colombian or the marking and tracing of weapons, and notes proposal could be presented in this context. At the the absence of any reference to regulate civilian same time, the 2001 OAS Small Arms Resolution possession of weapons or to protect human that calls for States to produce reports on the illegal rights.62 It is up to the OAS Member States to arms trafficking environment in their country as pursue areas of regional consensus in these areas well as steps towards implementation of the Inter- and to adopt bilateral or domestic measures. American Convention provides Colombia and It is also time for the OAS to alter the way in other OAS Member States with the opportunity for which it frames the issues and analyze measures detailed follow-up. However, this mechanism does to combat small arms trafficking and its not go far enough in promoting information consequences. For several reasons, many exchange on the legal trade or reporting official distinctions between government and commercial government inventories. Thus, it will have a sales as well as military and civilian firearms need limited impact in identifying and addressing the to be reconsidered and made more flexible: links between the legal and illicit trade in small arms and light weapons. • Criminals and irregular armed groups do not make these distinctions. • Many times these distinctions are made on the Section 6: Conclusion basis of marketing decisions made by small arms manufacturers. Small arms crime control initiatives are now well developed in the OAS region and significant • While the potential impact of certain weapons potential is associated with these agreements. is greater than others the real impact of certain Implementation, however, lags behind for a types of weapons is important to take into variety of reasons, some political, some financial consideration. and some technical. The UN Conference has • Most illegal small arms began as legally addressed many of these issues, helping to produced and commercialized products. generate political momentum, and to support the provision of increased financing and technical • Military, police and private security forces can assistance available to OAS Member States also misuse weapons. through CICAD, UN-LiREC, UNDP and bilaterally through the Defense and State Departments of For example, in Colombia, where most think of the Government of the United States. the problems related to arms trafficking in terms In order to work toward the implementation of of assault rifles, rocket launchers, guerrillas and the Inter-American Convention, for example, paramilitaries, a recent study concluded that 80 more than 16 of 33 signatories need to respond to per cent of all political and crime-related the approved questionnaire identifying points of homicides were committed with .32, .38 and 9 contact and responsible central authorities and mm caliber pistols and revolvers and that move toward taking inventory of related measures approximately 80 per cent of homicides are and legislation already in place. Technical related to crime and delinquency, and not directly assistance will be of limited use and financial armed conflict.63 resources will be wasted if States do not have a Tackling the illicit trade in small arms and light clear picture of their situation and capabilities weapons is more complex than the already from the beginning. At the same time the OAS, challenging disciplines of crime control and post- NGOs and other multilateral institutions have to conflict peace-building. It also requires find ways to maintain momentum towards interventions in the fields of public health, youth ratification and implementation when there are and popular culture, human rights, international changes in national governments or transfers of law and the trade in goods and services. responsibility from one ministry to another. Internationally, many governments have protected
WILLIAM GODNICK 19 their interests in the trade in small arms and light weapons. Within the OAS it is in the interest of many States to protect themselves from the adverse impact of these weapons on political, economic and social development.
20 WILLIAM GODNICK Notes
1 United Nations General Assembly, Draft 10 See Jessica Cascante. The states that have Programme of Action to Prevent Combat and presented their completed questionnaires to the Eradicate the Illicit Trade in Small Arms and Light OAS are Argentina, Belize, Bolivia, Brazil, Canada, Weapons in All Its Aspects, A/CONF.192/L.5.Rev.1, Colombia, Chile, Ecuador, El Salvador, Guatemala, 20 July 2001. Available online in English at Guyana, Mexico, Panama, Peru, Trinidad and http://www.un.org/Depts/dda/CAB/smallarms/confdoc Tobago, and Venezuela. .htm and in Spanish at http://www.un.org/spanish/ 11 Clegg, et al. conferences/smallarms/confdoc.htm. 12 According to the Small Arms Survey 2001: 2 Organization of American States General Profiling the Problem, Oxford University Press, p. Assembly, Inter-American Convention Against the 254, as of September 2000, the following OAS Illicit Manufacturing of and Trafficking In Firearms, Member States had adopted the CICAD Model Ammunition, Explosives and Related Materials, Regulations: Argentina, Belize, Canada, El November 1997. Full text available online in Salvador, Panama and the United States. The English, Spanish, French and Portuguese at following States had either partially implemented www.oas.org. or were in the process of doing so: Bahamas, 3 UN Security Council Presidential Statement on Barbados, Bolivia, Colombia, Costa Rica, small arms can be found online at Dominican Republic, Grenada, Guyana, Haiti, http://www.un.org/Docs/sc/statements/2001/prest21e. Jamaica, Nicaragua, Peru, Santa Lucia and Trinidad and Tobago. 4 Brasilia Declaration for the 2001 United Nations Conference on the Illicit Trade in Small Arms and 13 Organization of American States General Light Weapons in All Its Aspects, Regional Assembly, Resolution on the Proliferation of and Preparatory Meeting of the Latin American and Illicit Trafficking in Small Arms and Light Weapons, Caribbean States for the 2001 United Nations AG/RES. 1642 (XXIX-0/99), 7 June 1999. Conference on the Illicit Trade in Small Arms and 14 Organization of American States General Light Weapons in All Its Aspects, Brasilia, 24 Assembly, Resolution on the Proliferation of and November 2000. Illicit Trafficking in Small Arms and Light Weapons, 5 Author e-mail correspondence with Bjorn AG/RES. 1797 (XXXI-0/01), 5 June 2001. Holmberg, Head of the Regional Clearing-house 15 Author interview with Dr. Gabriel Aguilera, on Firearms, Ammunitions and Explosives, United former Vice-Minister of Foreign Affairs, Nations Regional Centre for Peace, Disarmament Government of Guatemala, Guatemala City, 24 and Development in Latin America and the November 1999. Caribbean, 16 August 2001. 16 United Nations Observer Mission to Guatemala 6 Julieta Castellanos, “El Compromiso de Managua,” and the United Nations Development Programme, El Heraldo, Tegucigalpa, Honduras, 2 May 2001. La Construcción de la Paz en Guatemala: Compendio 7 Statements made by regional organizations and de Acuerdos de Paz, Guatemala City: Editorial UN Member States can be found on the UN 2001 Serviprensa, 1997, pp. 311-329. Conference website at http://www.un.org/Depts/ 17 Author telephone interview regarding UNDP dda/CAB/smallarms/statements.htm. activities in El Salvador with Robert Scharf, 8 Ellizabeth Clegg, Owen Greene, Sarah Meek and Emergency Response Division, United Nations Geraldine O’Callaghan, Regional Initiatives and the Development Programme, 13 August 2001. UN Conference: Building Mutual Support and 18 South American Common Market (MERCOSUR), Complementarity, London: BASIC, International Mecanismo Conjunto de Registro de Compradores Alert and Saferworld, February 2001. y Vendedores de Armas de Fuego, Municiones, 9 Author e-mail correspondence with Jessica Explosivos y otros materiales relacionados PARA Cascante, Office of the Director for the UN EL MERCOSUR, MERCOSUR/CMC/DEC No 7/98, System, Ministry of Foreign Affairs, Government Buenos Aires, 7 July 1998. of Mexico, 6 August 2001.
WILLIAM GODNICK 21 19 Author e-mail correspondence with Santiago 30 Sarah Meek, “Combating Arms Trafficking: Villalba, Office for International Security and Progress and Prospects,” in Lora Lumpe, ed., Nuclear Affairs, Ministry of Foreign Affairs, Running Guns: The Global Black Market in Small Government of Argentina, 27 August 2001. Arms, London: Zed Books, 2000. 20 Bjorn Holmberg, see note 5. 31 Owen Greene, Enhancing Traceability of Small Arms and Light Weapons: Developing an 21 See note 4. International Marking and Tracing Regime, London: 22 Central American Integration System (SICA), BASIC, International Alert and Saferworld, 2000. Tratado Marco de Seguridad Democrática en 32 For a perspective on the U.S. government’s Centroamérica. Central American Presidential Summit, implementation of provisions to prevent illicit San Pedro Sula, Honduras, 15 December 1995. brokering see the Fund for Peace report entitled 23 Ministry of Foreign Affairs, Government of “Casting the Net” available at http://www. Costa Rica, “Costa Rica confirma no-ratificación fundforpeace/org/resources/pubs/thenet.pdf. del Tratado Marco Seguridad Democrática,” Press 33 Wendy Cukier, Combating the Illicit Trade in Release, 4 April 2001. Small Arms and Light Weapons: Strengthening 24 The Inter-American Defense Board is an Domestic Regulations, London: BASIC, independent international organization with International Alert and Saferworld, March 2001. headquarters in Washington D.C., presided by 34 Small Arms Survey 2001: Profiling the Problem, official military representatives of the following Oxford: Oxford University Press, p. 105. countries: Antigua and Barbuda, Argentina, Bolivia, Brazil, Chile, Colombia, Dominican 35 Arghavan Gerami, “Addressing the demand side Republic, Ecuador, El Salvador, Guatemala, of the small arms complex: ensuring balance at Honduras, Mexico, Nicaragua, Paraguay, Peru, the 2001 UN Conference on the Illicit Trade in Trinidad and Tobago, the United States, Uruguay Small Arms and Light Weapons,” The Ploughshares and Venezuela. The IADB mandate is to deal Monitor, March 2001, p. 21. collectively with security issues in the Western 36 For a comprehensive discussion of the current Hemisphere. The relationship of the IADB relative challenges of the public security sector in Central to the OAS is currently under deliberation. America see Adam Isacson, Altered States: Security 25 United Nations Observer Mission to El Salvador and Demilitarization in Central America, (ONUSAL), “Análisis del armamento verificado y Washington, D.C., and San José: Center for destruido al FMLN, Marzo 1992-Agosto 1993.” International Policy and Arias Foundation for Peace and Human Progress, 1997. 26 José Miguel Cruz and Maria Antonieta Beltrán, Las Armas en El Salvador: Diagnóstico Sobre Su 37 Mario Rodriguez, “Diagnóstico sobre la Situación y Su Impacto, San Salvador: Instituto situación actual de las armas ligeras y la violencia Universitario de Opinión Pública de la Universidad en Guatemala,” paper presented to the First Centroamericana José Simeón Cañas and the Central American Forum on Small Arms Arias Foundation for Peace and Human Progress, Proliferation, Antigua, Guatemala, 27 June 2000. June 2000. 38 Rodriguez. 27 Instituto Universitario de Opinón Pública, 39 Elder Gómez, “Podrian cerrar más empresas de Universidad Centroamericana “José Simeón seguridad,” El Diario de Hoy, San Salvador, 18 Cañas,” Normas Culturales y Actitudes sobre la February 1999. Violencia: Estudio ACTIVA, San Salvador: IUDOP- UCA, May 1999. 40 Cruz and Beltrán. 28 JTO Wire, “Brazil Levies Tax on Firearms to 41 Julieta Castellanos, Honduras: armamentismo y Prevent Killings,” Join Together Online, violencia, Tegucigalpa: Arias Foundation for Peace http://www.jointogether.org 17 November 2000. and Human Progress, CIPRODEH and Foro Ciudadano, June 2000. 29 Ray Bonner, “U.S. Suspends Sales of Handguns to Venezuela,” The New York Times, 6 May 1999.
22 WILLIAM GODNICK 42 Ninfa Arias, “Desmantelarán y desarmarian las 53 Cruz and Beltrán. agencies de seguridad,” La Tribuna, Tegucigalpa, 54 See Chapter 4 of John Hughes-Wilson and 25 October 2000 and “SISTEC, primera empresa Adrian Wilkinson, Safe and Efficient Small Arms en entregar armas prohibidas,” Diario Tiempo, Collection and Destruction Programmes: A Proposal San Pedro Sula, 28 October 2000. for Practical Technical Measures, New York: United 43 For a more in-depth discussion of these types Nations Development Programme, Emergency of measures see Owen Greene, Stockpile Security Response Division, July 2001. and Reducing Surplus Weapons, London: BASIC, 55 Clegg, et al. International Alert and Saferworld, September 2000. 56 See Organization of American States General Assembly, OAS Declaration on Small Arms and 44 United States General Accounting Office, Light Weapons, AG/RES. 1743 (XXX-0/00), 5 June Conventional Arms Transfers: U.S. Efforts to Control 2000 and Organization of American States the Availability of Small Arms and Light Weapons, General Assembly, Support for the United Nations Washington, D.C.: GAO, July 2000. Conference on the Illicit Trade in Small Arms and 45 Edward Laurance, The New Field of Micro- Light Weapons in All Its Aspects, AG/RES. 1796 Disarmament: Addressing the Buildup of Small Arms (XXX1-0/01), 5 June 2001. and Light Weapons, Bonn: Bonn International 57 Organization for Security and Cooperation in Center for Conversion, September 1996. Europe, OSCE Document on Small Arms and Light 46 Edward Laurance and William Godnick, Weapons, ESC.DOC/1/00, 24 November 2000. “Weapons Collection in Central America: El 58 The Nobel Laureates Framework Convention Salvador and Guatemala,” in Sami Faltas and can be found in English, French and Spanish at Joseph Di Chiaro III, eds., Managing the Remnants http://www.armslaw.org. of War: Micro-Disarmament as an Element of Peace- Building, Baden-Baden: Nomos Verlag, 2001. 59 See Organization of American States General Assembly, Inter-American Convention on 47 Vicente Archibold, “Panamá: Diagnóstico de Transparency in Conventional Weapons Acquisitions, Armas de Fuego,” paper presented to the First AG/RES. 1607 (XXIX-0/99), 7 June 1999. This Central American Forum on Small Arms convention includes some weaponry that could Proliferation, Antigua, Guatemala, 27 June 2000. also be considered light weapons, namely 48 “Tiene Exito Programa de Canje de Armas por machine guns, howitzers and military pieces with Bonos en Nuevo León,” Notimex, Monterrey, calibers of 100 and above. As of July 2001 only Mexico, 6 May 2001. Canada, Ecuador and Guatemala had ratified the convention. 49 Author telephone interview with Martin Appiolaza, Coordinator, Plan Canje de Armas por 60 In addition to OAS Member States Canada and Mejores Condiciones de Vida, Ministry of Justice the United States, the Norwegian Initiative on and Security, Government of Mendoza, Argentina, Small Arms Transfers Database also includes small 26 July 2001. arms export data from Belgium, Denmark, Finland, France, Germany, Ireland, Netherlands, 50 See the comments of Viva Rio’s Executive Norway, South Africa, Spain, Sweden and the Director, Rubem César Fernandes, to the UN United Kingdom. Many of these countries export Conference at http://www.un.org/Depts/dda/ to other OAS Member States. CAB/smallarms/statements/Ngo/viva.html. 61 In addition to the NISAT Small Arms Transfers 51 Martha Plotkin, ed., Under Fire: Gun Buy-Back, Database, Canadian small arms export data can Exchanges and Amnesty Programs, Washington, also be obtained from the Canadian Military D.C.: Police Executive Research Forum, 1996. Industry Database by contacting Project 52 Michael Romero, Garen Wintemute and Jon Ploughshares at [email protected]. Vernick, “Characteristics of a gun exchange 62 See the International Action Network on Small program, and an assessment of potential Arms at http://www.iansa.org. benefits,” Journal of Injury Prevention 1998:4, pp. 206-210.
WILLIAM GODNICK 23 63 Robert Muggah and Eric Berman, Humanitarianism Under Threat: The Humanitarian Impact of Small Arms and Light Weapons, Study Commissioned by the Reference Group on Small Arms of the UN Inter-Agency Standing Committee, Geneva: Small Arms Survey and the Centre for Humanitarian Dialogue, July 2001, p. 12.
24 WILLIAM GODNICK