ANNEX

PROJECT FOR THE PROMOTION OF EFFECTIVE ARMS EXPORT CONTROLS

1. Objectives

The purpose of this Decision is to promote accountability and responsibility with regard to the legal arms trade in line with Common Position 2008/944/CFSP, thereby contributing to peace, security and stability in countries neighbouring the Union. The objectives of this Decision are to promote improved controls on arms transfers by third countries and to support third countries’ efforts, at national and regional levels, to render international trade in conventional weapons more responsible and transparent, and to mitigate the risk of the diversion of arms to unauthorised users. Those objectives should be obtained by promoting the principles and criteria set out in Common Position 2008/944/CFSP and the ATT. The outcomes should aim to increase the effectiveness of national arms export systems in targeted countries: the implementing agency will report on legal, institutional and other relevant changes and their alignment with Common Position 2008/944/CFSP and, where appropriate, the ATT. Those outcomes should be pursued in seeking complementarity and synergies with the Union’s ongoing assistance projects in support of the implementation of the ATT, as well as in the field of export controls on dual-use goods. The scope of beneficiaries under this Decision should not overlap with beneficiaries covered under Decision (CFSP) 2017/915.

In order to achieve the abovementioned objectives, the Union should continue to promote the standards of Common Position 2008/944/CFSP, building on the achievements reached through the implementation of Joint Action 2008/230/CFSP and Decisions 2009/1012/CFSP, 2012/711/CFSP, (CFSP) 2015/2309 and (CFSP) 2018/101. For that purpose, assistance should be provided to beneficiary third countries for the drafting, updating and implementation, as appropriate, of relevant legislative, administrative and institutional measures that support an effective system of conventional arms transfer controls.

Support should also be given to the training of licensing and enforcement officers responsible for the implementation and enforcement of arms transfer controls, and to national and regional measures promoting transparency and appropriate scrutiny over exports of conventional weapons. Furthermore, contacts with the private sector (including industry, research institutes and academia) should be promoted in order to ensure compliance with arms transfer control legislation and regulations, focusing in particular on internal compliance programmes (ICPs).

2. Selection of the implementing agency

The implementation of this Decision is entrusted to BAFA. Where appropriate, BAFA will partner with Member States’ export control agencies, relevant regional and international organisations, think tanks, research institutes and NGOs.

BAFA has leading experience in the provision of export control assistance and outreach activities. It has developed such experience in all of the relevant fields of strategic export control, addressing CBRN-related dual-use goods and military goods. Through those programmes and activities, BAFA has gained in-depth knowledge of the export control systems of most of the countries included in this Decision.

With regard to arms export control assistance and outreach, BAFA successfully completed the implementation of Decisions 2009/1012/CFSP, 2012/711/CFSP, (CFSP) 2015/2309 and (CFSP) 2018/101. BAFA is also in charge of the technical implementation of the ATT implementation support programme established by Decisions 2013/768/CFSP and 2017/915/CFSP.

BAFA is therefore uniquely placed to identify the strengths and weaknesses of the export control systems of countries that will be the beneficiaries of the activities provided for in this Decision. It is also most able to facilitate synergies between the various arms export control assistance and outreach programmes and to avoid duplication. This is of particular relevance for beneficiary countries that have received support under previous Union cooperation programmes for strengthening local capacity with regard to applying and updating the national arms trade control system in line with international standards and recent developments.

3. Coordination with other Union assistance projects in the field of export controls

Based on the experience of previous Union outreach activities in the field of export controls covering both dual-use goods and conventional arms, synergy and complementarity should be sought. To that end, the activities referred to in section 5 should be carried out only in countries that are not already targeted through activities under the ATT outreach assistance project. Where appropriate, synergy can be sought in conjunction with other activities financed through the CFSP budget or with other activities relating to dual-use goods export controls financed through Union financial instruments other than the CFSP budget. This should be done in full compliance with the legal and financial limitations set for the use of relevant Union financial instruments.

To that end, regular exchanges of information will take place between the implementing agencies of the Union outreach activities in the field of export control, as well as with the European External Action Service. This coordination mechanism should be formalised, and the participation of experts from other Member States should be encouraged whenever relevant.

4. Coordination with other donors’ assistance projects in the field of export controls

Where appropriate, synergy and complementarity with other donors’ assistance projects in the field of export control outreach should also be sought. As stated in section 3, coordination with other donors should be carried out, especially for the activities referred to in subsections 5.2.1 to 5.2.3 and 5.2.6.

5. Description of project activities

5.1. Project objectives

The main objective is to provide technical assistance to a number of beneficiary countries which have demonstrated their willingness to develop their standards and practices regarding arms export control. To do so, the activities to be undertaken will take into account the status of the beneficiary countries, in particular regarding:

— their possible membership of, or application for membership of, international export control regimes relating to the transfer of conventional arms and dual-use goods and technologies;

— their candidatures for membership of the Union and whether the beneficiary countries are official candidates or potential candidates;

— their capacity as a producer, importer or trading hub in relation to trade in conventional military equipment and technologies;

— the level of maturity of the existing national export control system, with particular consideration given to the progress made as a result of support received under previous arms export control cooperation programmes financed by the Union; and

— their position regarding the ATT.

Where the beneficiary countries addressed are only signatories to the ATT, the activities should — where feasible — seek to ascertain better what the obstacles to ATT ratification are, in particular where those obstacles are of a juridical or regulatory nature and are related to gaps or needs in implementation capacities. Where the countries addressed have taken no steps towards the ATT (neither signature, ratification nor accession), the activities should promote accession thereto, possibly with the support of other beneficiary countries that have ratified the ATT.

5.2. Project description

5.2.1. Regional workshops

The project will take the form of up to eight two-day regional workshops, providing theoretical and practical training as well as an opportunity for dialogue to consolidate regional approaches in relevant areas of conventional arms export controls.

The participants in the workshops (up to 35) will include government officials of the beneficiary countries covered. Representatives from national parliaments, industry and civil society, among others, may also be invited, where appropriate.

Training will be conducted by experts from Member States’ national administrations (including former officials), representatives of countries that have aligned themselves with Common Position 2008/944/CFSP, and representatives of the private sector and civil society.

The workshops may take place in a beneficiary country or in another location to be determined by the High Representative, in consultation with the Council Working Party on Conventional Arms Exports (COARM).

The regional workshops will be organised as follows:

(a) up to two workshops for the countries in South-Eastern Europe;

(b) up to two workshops for the Eastern European and Caucasian countries of the European Neighbourhood Policy;

(c) up to two workshops for the North African Mediterranean countries of the European Neighbourhood Policy; and

(d) up to two workshops for Central Asia.

In order to foster cross-regional cooperation, partner countries from other regions will be invited to at least one of the workshops for each region.

This regional breakdown of two workshops per region may not be achieved if circumstances are not propitious (for example if the number of participants is unexpectedly too low, if there is no serious offer to host by any beneficiary country of the region, or if there is duplication with other activities of other outreach providers). In the event that one or more of the workshops is not implemented, the number of workshops for the other abovementioned region(s) could be increased accordingly, within the global ceiling of twelve workshops.

5.2.2. Study visits

The project will take the form of up to seven two- to three-day study visits by government officials to the relevant authorities of either Member States or other beneficiary countries.

Study visits should cover between two and four beneficiary countries. Beneficiary countries of the study visits need not necessarily come from the same region.

5.2.3. Individual and remote assistance to beneficiary countries

The project will take the form of workshops of no more than 10 days’ duration in total for individual beneficiary countries which request one. State officials from the beneficiary countries, including government, licensing and enforcement officials, will participate in the workshops, which will preferably take place in the respective beneficiary countries. Depending on the exact needs and availability of the beneficiary countries’ and Member States’ experts, the 10 days available overall will be allocated with a minimum two-day format.

The individual assistance workshops will be mainly held at the request of the beneficiary countries. They are intended to address a specific issue related to arms export control raised by a beneficiary country, for example in the margins of a regional workshop or during regular contacts with Union experts and with BAFA. These workshops will be available to cover issues and requests from the beneficiary countries related to arms export control, including targeted national capacity-building measures, outreach to industry and/or academia, and national training strategies in the area of arms export control.

In addition, up to 20 days will be allocated for individual support provided through remote assistance (e.g. legal reviews; consultation on specific cases, including support for technical rating of a particular good; etc.).

Experts from Member States’ national administrations (including former officials), representatives of countries that have aligned themselves with Common Position 2008/944/CFSP, and representatives of the private sector will provide their expertise.

5.2.4. Institutional capacity building and advanced-level awareness-raising events

The project will take the form of up to three workshops lasting up to four days each aimed at providing support to beneficiary countries with advanced-level arms export control systems for building up their own national capacity. Measures taken will include the application of a ‘train the trainer’ approach focusing on, inter alia, didactics, knowledge transfer and institutional memory in the beneficiary country. National institutional capacity building should cover issues such as internal compliance, risk management, and the intersection between hybrid threat reduction and arms export controls.

5.2.5. Conference for partner countries with advanced export control systems

The project will take the form of one conference in Brussels lasting up to two days. The conference will provide a forum for advanced-level discussions between Union experts and senior-level representatives (in the areas of policy, licensing and enforcement) of beneficiary countries with advanced export control systems.

This conference will give the participating beneficiary countries the opportunity to:

(a) receive information on the newest developments related to the arms trade (e.g. current procurement channels, the impact of new technologies, and security policy-related issues such as hybrid threats); and

(b) discuss and exchange views on how recent changes and improvements in arms trade controls can be implemented as part of their own national export control system.

5.2.6. Assessment events

In order to evaluate and review the impact of the activities under this Decision, two assessment events (mid-term and final) will be organised in Brussels, ideally back-to-back with a regular COARM meeting.

The mid-term assessment event will take the form of a workshop with the participation of Member States. The workshop may last up to one day.

The final assessment event will take the form of an event in Brussels with the participation of beneficiary countries and Member States. Up to two representatives (appropriate government officials) of each beneficiary country will be invited to the final assessment event.

6. Beneficiaries

6.1. Beneficiary countries under this Decision

The scope of beneficiaries under this Decision should not overlap with the beneficiaries covered under Decision (CFSP) 2017/915. Beneficiary countries under this Decision are:

(a) South Eastern European candidate or potential candidate countries (Albania, Bosnia and Herzegovina, the Republic of North Macedonia, Montenegro, Serbia and Kosovo (*));

(b) Eastern European and Caucasian countries of the European Neighbourhood Policy (Armenia, Azerbaijan, Belarus, Georgia, Republic of Moldova and Ukraine);

(c) North African, Mediterranean and Southern Neighbourhood countries of the European Neighbourhood Policy (Algeria, Egypt, Morocco, Tunisia, Jordan and Lebanon); and

(d) Central Asian countries (Kazakhstan, Tajikistan, Uzbekistan, Kyrgyzstan and Turkmenistan).

6.2. Amendment of the list of beneficiary countries

COARM may, after consultations with the coordination mechanism referred to in section 3, decide to add countries to the list of beneficiaries, provided that they are not beneficiaries under Decision (CFSP) 2017/915. In exceptional cases, where deemed meaningful, the coordination mechanism may also agree to engage with beneficiaries covered by Decision (CFSP) 2017/915. Modifications should be communicated in a formal manner between BAFA and the Union through the Chair of COARM.

7. Project results and implementation indicators

In addition to the final assessment event referred to in subsection 5.2.6, the assessment of the results of the project will take into account the following:

7.1. Individual assessment of beneficiary countries

On completion of the activities provided for, BAFA will provide the European External Action Service and the Commission with a progress report on each of the beneficiary countries referred to in subsection 6.1. The report will recap the activities that took place in the beneficiary country over the duration of this Decision and assess and describe the beneficiary country’s capacity in the area of arms transfer controls based on information available to BAFA. The basis of assessment will be the beneficiary country’s application of control instruments as stipulated in Common Position 2008/944/CFSP, insofar as these do not apply to Member States only.

7.2. Impact assessment and implementation indicators

The impact of activities provided for by this Decision for the beneficiary countries should be assessed after the activities have been carried out. The impact assessment will be carried out by the High Representative, in cooperation with COARM and, as appropriate, with the Union delegations in the beneficiary countries, as well as with other relevant stakeholders.

For that purpose, the following implementation indicators will be used:

— whether relevant national regulations on arms transfer controls are in place and whether/to what extent they comply with Common Position 2008/944/CFSP (including the application of the assessment criteria, the implementation of the EU common military list and reporting);

— where available, information on enforcement cases;

— whether the beneficiary countries are able to report arms exports and/or imports (e.g. UN Register, ATT annual reporting, Wassenaar Arrangement, OSCE and reports to national parliaments);and

— whether the beneficiary country has aligned, or intends to officially align, with Common Position 2008/944/CFSP.

The individual assessment reports referred to in subsection 7.1 should refer to those implementation indicators as appropriate.

8. Promoting the use of the EU P2P web portal (1)

The EU P2P web portal provided for in Decision 2012/711/CFSP has been developed as a Union-owned resource. It operates as a joint platform for all the Union outreach programmes (dual-use and arms). The activities listed in subsections 5.2.1 to 5.2.6 are to raise awareness of the Union outreach web portal and to promote its use. Participants in outreach activities should be informed about the private part of the web portal, which offers permanent access to resources, documents and contacts. Likewise, the use of the web portal should be promoted to other officials who are not able to participate directly in assistance and outreach activities. Furthermore, activities should be promoted through the EU P2P Newsletter.

9. Union visibility

BAFA will take all appropriate measures to publicise the fact that the action is funded by the Union. Such measures will be implemented in accordance with the communication and visibility manual for Union external actions published by the European Commission. BAFA will thus ensure the visibility of the Union contribution with appropriate branding and publicity, highlighting the role of the Union and raising awareness of the reasons for this Decision, as well as Union support for this Decision and the results of that support. Material produced by the project will prominently display the Union flag in accordance with relevant Union guidelines, as well as the logo ‘EU P2P export control programme’. Union delegations should be involved in events in third countries to enhance political follow-up and visibility.

Given that planned activities vary greatly in scope and character, a range of promotional tools will be used, including traditional media, websites, social media, information and promotional materials (including infographics, leaflets, newsletters, press releases and others, as appropriate). Publications and public events procured under the project will be branded accordingly.

10. Duration

The total estimated duration of the project will be 24 months.

11. Reporting

The implementing entity will prepare regular quarterly reports detailing in succinct form the progress of the project, as well as mission reports after the completion of each activity. The reports will be submitted to the High Representative no later than six weeks after the completion of relevant activities.

12. Estimated total cost of the project and Union financial contribution

The total estimated cost of the project is EUR 1 538 292,73, with co-financing from the Government of the Federal Republic of Germany. The total estimated cost of the Union-financed project is EUR 1 377 542,73.

(*) This designation is without prejudice to positions on status, and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo Declaration of Independence.

(1) https://ec.europa.eu/jrc/en/research-topic/chemical-biological-radiological-and-nuclear-hazards/eu-p2p-outreach-programmes-export-control and https://circabc.europa.eu/