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TRUST FUND TO SUPPORT INITIATIVES OF STATES COUNTERING OFF THE COAST OF SOMALIA

PROJECT DOCUMENT

PROJECT OVERVIEW

1. Requesting Agency INTERPOL 2. Project Title Evidence Exploitation Initiative (“EVEXI”) 3. Duration 6 month 4. Estimated Starting Date Immediate 5. Location The Participating Countries 6. Application to Window of Fund A 7. Focus Area Intelligence Gathering and Evidence Exploitation 8. Overall Budget (needed to 198, 455.40 EURO implement the entire project) 9. Request to Trust Fund 198, 455.40 EURO

10. Brief Description

Project EVEXI aims at streamlining INTERPOL/ EUROPOL intelligence gathering processes in relation to investigations of Maritime Piracy. Furthermore INTERPOL has been approached by several member countries that have arrested and detained Somali nationals in relation to acts of maritime piracy, to assist and provide expert advice in the debriefing of hostages, the interview of suspected pirates, and exploitation of physical evidence captured on pirates, for intelligence gathering purposes.

Henceforth, Project EVEXI seeks to deliver the following tasks in the context of a multinational approach to the investigation of the organized crime aspect of maritime piracy: 1. To generate intelligence deriving from interviews of released hostages and Somali prisoners detained in relation to piracy attacks and exploit physical evidence collected during the detention and arrests of pirates. 2. To gather intelligence through targeted interviews, to obtain intelligence that can be used to initiate or support existing international investigations on maritime piracy. 3. To utilize the Analytical Work File (AWF) of EUROPOL to create links of information regarding the financing of Somali pirates by citizens of European countries. 1 4. To assist and support the Participating Countries in analyzing the information gathered in the interviews and exploitation of physical evidence and forward all raw

1 The EUROPOL Analytical Work File (AWF) on Maritime Piracy is the sole global database, where law enforcement data are stored and constantly analyzed. The aim of that database is to discover previously unknown links amongst entities and report them back to the data owners. Secondly, the AWF Maritime Piracy is used for strategic analysis to identify the high value targets of Maritime Piracy and their assets.

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data and analytical outputs into the Analytical Work File (AWF) on Piracy at EUROPOL for global analysis, aiming to learn more about the Pirates networks and identify the high-value targets (HVTs) of Piracy and their assets.

At present, several states in the region of East Africa and the have arrested and detained Somali nationals in relation to acts of maritime piracy and would therefore be the focus of this project:

1. Seychelles with 47 arrested pirates 2. Kenya (119 pirates) 3. Maldives (34 pirates) 4. Madagascar (12 pirates) 5. Tanzania (12 pirates) 6. Yemen (120 pirates) (“subject to improved security situation”)

1. SITUATION ANALYSIS AND JUSTIFICATION

1.1 Problem Analysis During the last year it has become increasingly clear that the arrest, detention and prosecution of pirates (i.e. the low-level operatives involved in piracy, and in reasonably small numbers) is having a minimal effect in deterring and preventing piracy. Thus, the critical investigative and prosecutorial targets should be the persons organizing, financing, leading, and acting as negotiators in Somali piracy also called high value targets (HVTs).

There are obvious problems that the international community is facing: 1. Many HVTs are unidentified as of yet 2. They mostly reside in Somalia 3. Collecting intelligence/evidence on them is far more difficult than with pirates detained at sea 4. Even if a case against them could be prepared, it would still be difficult to apprehend and arrest them physically.

This innovative and ambitious project proposes to target the key actors that have been involved in organizing acts of piracy which have impacted the participating countries by leveraging all of the human intelligence sources available and combining this with shared information from investigations by other jurisdictions, so that prima facie cases can be developed against them and international warrants issued for their arrests.

Project EVEXI is in line with repeated declarations of the Contact Group on Piracy off the coast of Somalia that one of the pillars of the fight against piracy is the build up of the capabilities of the police forces in Kenya, Tanzania, the Seychelles, and Mauritius.

Resolution 1950 from 23 November 2010 urges states in cooperation with INTERPOL and

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EUROPOL to further investigate international criminal networks involved in piracy off the coast of Somalia, including those responsible for illicit financing and facilitation. The landmark resolution also underlines the importance of continuing to enhance the collection, preservation and transmission to competent authorities of evidence of acts of piracy.

In his presentation on piracy to the Security Council, UN Special Adviser, Mr. Jack Lang, proposed in Section 8 of his report, to establish an international procedure on what he calls “Procès verbal,” translated by international courts as “witness statement” in cases of maritime piracy. This would include a format of allowing regional law enforcement agencies to conduct interviews of arrested or convicted alleged pirates, making sure that all necessary aspects of the criminal networks behind maritime piracy are covered.

Written statements of arrested pirates, if successful, provide an invaluable tool in the investigation of operational networks behind maritime piracy attacks, but so far little effort has been made to explore further on such interviews. At this stage where an extensive number of Somalis are held in custody for piracy-related offenses, it is important to understand the aspects surrounding the occurrence of piracy, such as the recruitment methodology, structure of the criminal piracy enterprise, cultural factors that need to be understood in order to develop an effective prevention strategy, those facilitating the process, and the operation of piracy networks.

Many prisoners have received lengthy prison sentences, some up to twenty years, and will in most cases be transferred to Somalia in order to serve their full prison sentence. It is imperative to exploit all testimonial and accompanying physical evidence before these individuals are returned to Somalia.

1.2 Synergies/Partnerships

INTERPOL is in a unique position to coordinate regional naval efforts with the law enforcement community’s efforts to identify, investigate and prosecute the criminal networks supporting and financing maritime piracy.

INTERPOL has welcomed and supported the establishment of the CGPCS, a model of effective international cooperation in response to a complex regional security issue

INTERPOL works closely with all other worldwide law enforcement agencies, as well as with international Police institutions, the private shipping industry, the EU/EUNAVFOR, NATO and the United Nations.

INTERPOL and UNODC have jointly conducted a gap analysis for the Seychelles, where, amongst others, the strong need of Analytical capacity building in Seychelles has been identified.

INTERPOL is providing Police support to Somalia, and actively participating in the Kampala meetings.

INTERPOL is supporting the implementation of the Djibouti Code of Conduct through the

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INTERPOL supports the COMESA and IOC led Regional Plan of Action to Combat Maritime Piracy, adopted in Mauritius on October 7, 2010.

INTERPOL is a participant in Working Group I (Operational Coordination and Capability Development), Working Group II (Legal Issues), Working Group III (private industry), the sub- Working Group on Maritime Piracy, and the ad hoc Piracy Financing Working Group, and thus contributing to many forms of Police support. In particular, INTERPOL, jointly with EUROPOL, is providing the sole international criminal database on piracy off the coast of Somalia (Analytical Working File AWF Piracy). This database is being populated by both, the worldwide law enforcement community as well as by EU NAVAL FORCES.

INTERPOL, in coordination with the private Shipping Industry, and IMO, is introducing a Regional Task Force to East Africa and Indian Ocean States to preserve Evidence from released Vessels, which evidence is not systematically being collected during the post- release phase of a piracy incident.

INTERPOL is supporting international efforts against maritime piracy by providing ongoing support to the global law enforcement community, by following up on international leads and ensuring that important investigative and identifying information pertaining to offenders and criminal cases are checked against IPSG databases and further made available to the global law enforcement community, through INTERPOL secure global communication channels. Only through this basic (yet critical) effort, can INTERPOL enrich and populate the referenced global databases (i.e. Criminals, Fingerprints, Ballistics, DNA, Stolen and Lost Travel Document, Photos, Telephone subscribers, etc); provide guidelines for corroborating and validated evidence; collect information; enhance info-sharing; provide operational Police support; coordinate international Police investigations; and issue INTERPOL Notices, diffusions, alerts, etc.

1.3 Partnership Arrangements/Modalities

1. Project EVEXI will be delivered in close cooperation with the INTERPOL General Secretariat, the EUROPOL Analytical Work File (AWF) on Piracy, INTERPOL Member Countries. 2. The INTERPOL General Secretariat is the leading party within Project EVEXI. It is going to select the subject matter experts (SME) on Interview techniques from its member countries, as well as Analytical experts from Europol and/or the INTERPOL Member Countries and assign those SME to mentor Investigators and Analysts in the selected countries (Seychelles, Yemen, Tanzania, Maldives, Kenya, Madagascar). The INTERPOL General Secretariat will not conduct any Interviews within the selected countries. Its role is limited to coordination and mentoring. 3. Together with local Piracy Investigators and in accordance with the legal framework of international police cooperation, the SME selected by the INTERPOL General Secretariat will assist in interviewing pirates that are currently held in custody in the selected country. 4. In February and March 2011, Analysts in Seychelles, Kenya, Tanzania, and

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Madagascar have been trained by a joint INTERPOL/UNODC Analytical Training Program. Some of those trained Analysts are working within the Maritime Piracy units of the local police forces. The INTERPOL General Secretariat will assist those Analysts in analyzing the Pirates’ Interviews, conducted by local investigators (see No. 3). 5. The outcomes of the Analysis will be reported back to the Investigators. If identified, Investigators will try to close Intelligence Gaps by conducting additional interviews, confronting the prisoners with additional questions based on the intelligence gaps of the Analysis. 6. Finally, all Information will be shared via the National Central Bureaus (NCBs) of INTERPOL with the INTERPOL General Secretariat. The INTERPOL General Secretariat will forward all information into the EUROPOL AWF Piracy for global analysis. Results out of this analysis will be reported back via the INTERPOL General Secretariat and the INTERPOL NCB in the selected country to the local piracy unit. 7. All Interviews and Analysis conducted by Tanzania, Kenya, and Yemen may also be shared with the IMO Regional Centres in Dar es Salaam, Mombasa and Sana’a.

2. STRATEGY

2.1 Overview of Project Strategy

• STAGE I – Case Clustering :

The piracy incidents which have directly impacted on the participating countries and for which they have convicted prisoners or released hostages will be used to focus on the collection of information from all available sources. However, before this can be done, all of the incidents that impacted the participating countries will be grouped as best as they can, based on the origin of the pirates; i.e. Haradheere, Garacad, Hobyo, etc., in order to link incidents with common organizers. These groups will in turn be linked with known incidents of other flag States where investigations have produced good and actionable intelligence or even resulted in prosecutions. These case clusters will each serve as the nucleus of investigation for specific piracy networks. I.e.:

Serenity – Winfar 131 (Taiwan) – Maersk Alabama (USA)

Indian Ocean Explorer – Pompeii (Belgium) – MV Cork (Germany) – Cargo 123 (The Netherlands) – Intertuna Dos – MV Ariana (Ukraine)

In this manner, the most promising cluster can be selected for investigation.

• STAGE II – Collection :

A collection plan will be formulated for the selected clusters which takes account for the sources available: - Convicted prisoners and supporting physical evidence (primary source) - Released hostages (primary source)

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- External Intelligence sources - Open sources

This also maximizes the opportunity to collect information for each cluster. The collection plan will specify the personnel.

• STAGE III – Collation & Analysis :

The information will be collated and analyzed in order to accomplish the following: 1. Identify the main people involved in organizing, financing, negotiating, and leading each act of piracy in the Indian Ocean and the Gulf of Aden, prioritizing the largest cluster 2. Determine what role each of them played 3. Learn how they enabled the piracy operations 4. Ascertain when and where they performed their roles 5. Discover motives for these acts of piracy (i.e. financial contracts) 6. Establish any other pertinent matters.

The output will be a partial view of how the acts of piracy committed on the participating countries have been organized; it will also be combined with information from other States that have suffered piracy at the hands of the same organizers (i.e. German MV York, Belgian MV Pompeii, etc.). The output in form should be a pirate social network diagram with an associated narrative.

• STAGE IV – Generation of Two Identifiable Products :

For each cluster, two products will be generated: 1. An intelligence product that will be presented to INTERPOL for further analysis and global comparison within the EUROPOL AWF Maritime Piracy. 2. A skeletal prima facie case built on evidential components and probabilistic components leading to the issue of an International Red Notice for each feasible target.

Both products will provide an excellent and instantly usable guidance for the participating countries’ law enforcement officers in dealing with intelligence and the sensitive aspect of witness statements obtained in a prison environment. Conducting several interviews over a period of 1 – 2 weeks will also lead to best practices when dealing with piracy suspects and interview of prisoners in such cases.

• OPERATIONAL RECOMMENDATION :

It is recommended to nominate a Project Coordinator or lead administrator for six months in order to facilitate the project with the participating countries’ law enforcement authorities and to report the product back to INTERPOL. The Project Coordinator will be in contact with the analysts and investigators from different agencies to facilitate the interviews and the exploitation of physical evidence used to prosecute the pirates.

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It is suggested that INTERPOL’s Maritime Piracy Task Force send a delegation of experienced investigators to each participating country for a period of 1-2 weeks, as soon as operationally possible, to assist in conducting interviews and exploitation of physical evidence in the custody of the host states, most of which have yet to be exploited beyond the confines of a particular case and in a pro-active manner. The preparation of the interview material would be facilitated one month in advance of the mission.

This proposed project will not overlap but enhance and complement the Analytical Training Program (ATP), which is currently being conducted in some of the select countries by INTERPOL and UNODC, as the ATP provided only basic training on criminal analysis. In the countries that have benefited from ATP training, we will use those trained Analysts to analyze the Interviews and data drawn from the exploitation of physical evidence collected during the arrest of pirates, and report back their results to the local piracy investigators.

There is no question regarding the legality of interviews of convicted pirates since all activities will be conducted by local authorities and in accordance with local law, whilst Investigators from other countries participating in these interviews can only do so with the express authorization of the host country. This is, of course, the common procedure in all international cooperation arrangements. INTERPOL will only serve as a coordinating body; it shall not actively take part in any operational activity. 2.2 Major Project Outcomes and Outputs

• Project EVEXI is an Intelligence gathering project. It will dramatically increase the amount of raw data available in the sole global law enforcement database at EUROPOL, the AWF. • Project EVEXI will show the selected countries the worthiness of information sharing by providing back the results of the global comparison in the AWF Piracy. • Project EVEXI will enable the selected countries to conduct and analyze future Interviews and exploitation of physical evidence independently without any additional support. • The selected countries will independently share their information via the appropriate channels with the international law enforcement community • The selected countries may independently share their information via the appropriate channels with the International Maritime Organization’s Regional Information Centres in Dar es Salaam, Mombasa and Sana’a.

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2.3 Key Risks and Mitigation Strategy

••• Risk : It has been identified by the INTERPOL General Secretariat, that the reason for the lack of information and intelligence sharing is not only the lack of interview techniques and analysis, but more the lack of knowledge of information sharing within the global law enforcement community. Many investigators simply don’t see the links between their own investigation and the investigation in other countries, because they never had forwarded their information into the EUROPOL AWF piracy for global comparison.

••• Mitigation : After Project EVEXI support, the selected countries should be able to conduct and analyze further interviews and exploit physical evidence without further or with minimal direct support from the international community. They will share the outcomes via the appropriate channels with the international law enforcement community.

The selected countries will support the EUROPOL AWF Piracy and profit from the global analysis of their law enforcement data.

Yemen, for example, may share information with the IMO Regional Centre in Sana’a Kenya may share information with the IMO Regional Centre in Mombasa Tanzania may share information with the IMO Regional Information Centre in Dar es Salaam, in support of the Djibouti Code of Conduct.

2.4 Means of Verification

• INTERPOL’s implementation of follow-up verification processes, including: 1. Establishing 6 month Goals and Objectives 2. Determining quarterly Benchmarks 3. Participating in Interviews and exploitation of physical evidence in at least six countries 4. Showing substantial increase in the number of intelligence gathered 5. Producing and Disseminating three finished intelligence products per month • Quarterly Police Performance Reports • Monthly Analytical reports from the Project Coordinator • WG 1 assessments and Contact Group reviews

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3. MANAGEMENT ARRANGEMENTS

3.1 Project Management Mechanisms and Structure

This Program initiative will be managed by the INTERPOL Maritime Piracy Task Force at the General Secretariat (IPSG) in Lyon, France. It will identify the project coordinator, in consultation of participating countries, and assist him/her in identifying the SME within the INTERPOL Member Countries and EUROPOL.

A 7-percent administrative and management fee to cover cost overhead, exchange rate fluctuations and inflation has been factored in the final cost of this Training Program proposal.

3.3 Reporting

The outcome of the interview process will be analyzed in a strategic report, which will be presented to INTERPOL.

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3.4 Legal Context

The participating countries are all member countries of INTERPOL. Police Services Support of Member Countries is a Core Functions of INTERPOL’s General Secretariat (IPSG). The Project EVEXI will be delivered to the participating countries within this legal framework.

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3.5 Budget Overview (by Outcome) – please see attached document

OUTCOME BUDGET

Project Outcome Please see attachment

Staff, Security and Travel Costs

Project Management and Support Costs

TOTAL

Signed on behalf of:** Party/Entity Name/Title of Signatory Date Siignature

Name of Drafters / Key contributors : Pierre St Hilaire, Assistant Director for the Office of Legal Affairs Head of Maritime Piracy Task Force at INTERPOL

Mark Muelder, Criminal Intelligence Analyst Maritime Piracy Task Force

Agency / Office : INTERPOL

Contact email : [email protected] [email protected] [email protected] (INTERPOL NY Office)

Date : 18 March 2011

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3. WORK PLAN & BUDGET

Project Name EVEXI Project Duration 6 Month Countries covered by project 6 Countries

ADMINISTRATIVE COSTS IPSG TOTAL Project Coordinator Consultant 6 Month 4000€ / Month 24,000.00 € Expert days 50 days 350€ / day 17,500.00 € Translator 100 days 350€ / day 35,000.00 € ADMINISTRATIVE COSTS IPSG 76,500.00 €

OPERATIONAL COSTS YEMEN Person Days DSA Sana'a FLIGHTS TOTAL Expert Interview Techniques 2 7 100.00 € 1,500.00 € 4,400.00 € Expert criminal Intelligence Analysis 1 7 100.00 € 1,500.00 € 2,200.00 € Coordinator Travel 1 15 100.00 € 1,500.00 € 3,000.00 €

OPERATIONAL COSTS TANZANIA Person Days DSA Dar Es Salaam FLIGHTS TOTAL Expert Interview Techniques 2 7 140.00 € 1,500.00 € 4,960.00 € Expert criminal Intelligence Analysis 1 7 140.00 € 1,500.00 € 2,480.00 € Coordinator Travel 1 15 140.00 € 1,500.00 € 3,600.00 €

OPERATIONAL COSTS SEYCHELLES Person Days DSA Victoria FLIGHTS TOTAL Expert Interview Techniques 2 16 240.00 € 1,500.00 € 10,680.00 € Expert criminal Intelligence Analysis 1 16 240.00 € 1,500.00 € 5,340.00 € Coordinator Travel 1 30 240.00 € 1,500.00 € 8,700.00 €

OPERATIONAL COSTS MALDIVES Person Days DSA Male FLIGHTS TOTAL Expert Interview Techniques 2 7 190.00 € 1,500.00 € 5,660.00 € Expert criminal Intelligence Analysis 1 7 190.00 € 1,500.00 € 2,830.00 € Coordinator Travel 1 15 190.00 € 1,500.00 € 4,350.00 €

OPERATIONAL COSTS KENYA Person Days DSA Nairobi FLIGHTS TOTAL Expert Interview Techniques 2 16 220.00 € 1,500.00 € 10,040.00 € Expert criminal Intelligence Analysis 1 16 220.00 € 1,500.00 € 5,020.00 € Coordinator Travel 1 30 220.00 € 1,500.00 € 8,100.00 €

OPERATIONAL COSTS MADAGASCAR Person Days DSA Antananarivo FLIGHTS TOTAL Expert Interview Techniques 2 7 160.00 € 1,500.00 € 5,240.00 € Expert criminal Intelligence Analysis 1 7 160.00 € 1,500.00 € 2,620.00 € Coordinator Travel 1 15 160.00 € 1,500.00 € 3,900.00 €

OPERATIONAL COSTS 93,120.00 €

Administrative and Operational costs 169,620.00 € Additional costs 10% Contingency 16,962.00 € 7% Administrative Costs 11,873.40 €

TOTAL 198,455.40 €