Council Joint Action 2008/368/CFSP of 14 May 2008 in support of the implementation of United Nations Security Council Resolution 1540 (2004) and in the framework of the implementation of the EU strategy against the proliferation of weapons of mass destruction
Date: 2008-05-14
Institutions: Council of the European Union
Subjects: EU financing, common foreign and security policy, non-proliferation of arms, the EU's international role, weapon of mass destruction

L 127/78

EN

Official Journal of the European Union

15.5.2008

III

(Acts adopted under the EU Treaty)

ACTS ADOPTED UNDER TITLE V OF THE EU TREATY

COUNCIL JOINT ACTION 2008/368/CFSP

of 14 May 2008

in support of the implementation of United Nations Security Council Resolution 1540 (2004) and in
the framework of the implementation of the EU strategy against the proliferation of weapons of
mass destruction

THE COUNCIL OF THE EUROPEAN UNION,

lished by UNSCR 1540 (‘the 1540 Committee’) with a
report on steps which they have taken or intend to take
to implement UNSCR 1540.

Having regard to the Treaty on European Union, and in
particular Article 14 thereof,

Whereas:

(1)

(2)

(3)

On 12 December 2003, the European Council adopted
the EU strategy against the proliferation of weapons of
mass destruction, Chapter III of which contains a list of
measures to combat such proliferation which need to be
taken both within the EU and in third countries.

listed in Chapter

to the measures
particular

The EU is actively implementing this strategy and is
III
giving effect
financial
in
thereof,
releasing
resources
specific projects conducted by
to support
multilateral
institutions, providing States in need with
technical assistance and expertise with regard to a wide
range of non-proliferation measures, and fostering the
role of the United Nations Security Council.

through

On 28 April 2004, the UN Security Council adopted
Resolution 1540 (2004) (‘UNSCR 1540’), which is the
first international instrument that deals with weapons of
mass destruction,
their means of delivery and related
materials in an integrated and comprehensive manner.
UNSCR 1540 established binding obligations for all
States aimed at preventing and deterring non-State
to such weapons and
actors
weapon-related material.
It also called upon States to
present the Committee of the Security Council estab-

from obtaining access

(4)

(5)

(6)

and

that

1673

(2006)

decided

of UNSCR

implementation

On 27 April 2006, the UN Security Council adopted
the
Resolution
Committee should intensify its efforts to promote the
full
through
programmes of work, outreach, assistance, dialogue and
cooperation.
It also invited the 1540 Committee to
explore with States and international, regional and subre-
gional organisations the possibility of sharing experience
and lessons learned, and the availability of programmes
which might
facilitate the implementation of UNSCR
1540.

1540

The 1540 Committee's report
in April 2006 recom-
mended that regional and subregional outreach activities
be widened and intensified with a view to providing
States, in a structured manner, with guidance for imple-
menting their obligations under UNSCR 1540, taking
into account the fact that at that time 62 States had
their first national report and that 55
yet to submit
States which had submitted their first national report
still had to submit additional
information and clarifi-
cation requested by the 1540 Committee.

On 12 June 2006, the European Union adopted a first
Council Joint Action 2006/419/CFSP (1) in support of the
implementation of UNSCR 1540 and in the framework
of the implementation of the EU strategy against the
proliferation of weapons of mass destruction. That Joint
Action was
the
requirements related to UNSCR 1540 and at contributing
to strengthening third States' administrative capacities in
drafting national
reports on the implementation of
UNSCR 1540.

awareness of

raising

aimed

at

(1) OJ L 165, 17.6.2006, p. 30.

15.5.2008

EN

Official Journal of the European Union

L 127/79

(7)

(8)

(9)

(10)

Joint Action 2006/419/CFSP
The implementation of
resulted in the organisation of five regional seminars in
Africa, the Middle East, Latin America, the Caribbean and
Asian-Pacific regions. These activities contributed to
diminishing significantly the number of non-reporting
States and the number of States which did not submit
additional information required by the 1540 Committee
following their submission of incomplete reports.

The 1540 Committee emphasised to the UN Security
Council
in December 2007 that in practical work the
main focus of the Committee should shift away from
national reporting and towards the implementation of
all aspects of UNSCR 1540. In this regard, individually
designed outreach and assistance, which is responsive to
regional and other specific circumstances, could help
implementing
States to cope with the challenges of
UNSCR 1540. The 1540 Committee has also stated in
its work programme that national plans or road maps for
implementation could serve States as useful planning
this idea should be further promoted.
tools and that
concerned should also receive more
The countries
assistance in developing their national action plans.

The Office for Disarmament Affairs within the United
Nations Secretariat, which is responsible for providing
the 1540 Committee and its experts with substantive
and logistical support, should be entrusted with the
implementation of the projects to be carried
technical
out under this Joint Action.

Financial

and Administrative

This Joint Action should be implemented in accordance
with the
Framework
Agreement concluded by the European Commission
with the United Nations concerning the management
financial contributions by the European Union to
of
programmes or projects administered by the United
Nations,

The aim of the workshops shall be twofold:

— enhancing the capacity and skills of officials in targeted
export
they can
level for the imple-

States who are
control process in all
make effective efforts at the practical
mentation of UNSCR 1540,

its dimensions, so that

for managing the

responsible

— putting officials of

targeted States participating in the
projects in a position to clearly identify gaps and needs,
taking into account different perspectives (government and
industry) so that effective requests for assistance can be
formulated.

A detailed description of the projects is set out in the Annex.

Article 2

The Presidency, assisted by the Secretary-General of the
1.
Council/High Representative for
the Common Foreign and
Security Policy (SG/HR) shall be responsible for the implemen-
tation of this Joint Action. The Commission shall be fully asso-
ciated.

The technical implementation of the projects referred to in
2.
Article 1(2) shall be carried out by the UN Secretariat (Office for
Disarmament Affairs) (‘UN Secretariat (ODA)’). It shall perform
this
the SG/HR, assisting the
Presidency. For this purpose, the SG/HR shall enter into the
necessary arrangements with the UN Secretariat (ODA).

the control of

task under

HAS ADOPTED THIS JOINT ACTION:

Article 1

In accordance with the EU strategy against the prolif-
1.
eration of weapons of mass destruction, which sets
the
objective of fostering the role of the UN Security Council and
of enhancing its expertise in meeting the challenges of prolif-
eration, the EU shall further support the implementation of
UNSC Resolution 1540 (2004) (‘UNSCR 1540’).

The Presidency, the SG/HR and the Commission shall keep
3.
each other regularly informed concerning the implementation
of this Joint Action, in conformity with their respective compe-
tences.

Article 3

The financial reference amount for the implementation of
1.
the projects referred to in Article 1(2) shall be EUR 475 000 to
be funded from the general budget of the European Union.

2.
The projects in support of UNSCR 1540, corresponding
to measures of the EU strategy, shall consist of a series of
thematic workshops in several targeted subregions.

2.
The expenditure financed by the amount stipulated in
paragraph 1 shall be managed in accordance with the
Community procedures and rules applicable to the general
budget of the European Union.

L 127/80

EN

Official Journal of the European Union

15.5.2008

The Commission shall supervise the proper management
3.
of the expenditure referred to in paragraph 2, which shall take
the form of a grant. For this purpose, the Commission shall
conclude a financing agreement with the UN Secretariat (ODA).
The financing agreement shall stipulate that the UN Secretariat
(ODA) is to ensure visibility of the EU contribution, appropriate
to its size.

endeavour

The Commission shall

the
4.
financing agreement referred to in paragraph 3 as soon as
possible after the entry into force of this Joint Action. It shall
inform the Council of any difficulties in that process and of the
date of conclusion of the financing agreement.

to conclude

Article 4

regular

to the
The Presidency, assisted by the SG/HR, shall report
Council on the implementation of this Joint Action on the
basis of
reports prepared by the UN Secretariat
(ODA). These reports shall form the basis for the evaluation
carried out by the Council. The Commission shall be fully
the
associated, and shall report on the financial aspects of
implementation of this Joint Action.

Article 5

This Joint Action shall enter into force on the day of
adoption.

its

It shall expire 24 months after the conclusion of the financing
agreement referred to in Article 3(3), or three months after the
date of
its adoption if no financing agreement has been
concluded within that period.

Article 6

This Joint Action shall be published in the Official Journal of the
European Union.

Done at Brussels, 14 May 2008.

For the Council
The President

A. BAJUK

15.5.2008

EN

Official Journal of the European Union

L 127/81

ANNEX

EU support for the implementation of United Nations Security Council Resolution 1540 (2004)

1. Background

In its April 2006 report, the 1540 Committee concluded that 62 States had yet to submit their first national report
and 55 States, although they had done so, still had to submit additional information and clarification. Since these
States were concentrated in three geographical areas (Africa, the Caribbean and the South Pacific), and since the gaps
in the national reports followed certain regional patterns, the 1540 Committee suggested that activities to assist States
in meeting implementation requirements of UNSCR 1540 should concentrate on regions and areas where specific
needs were identified.

In response to this view, the EU support during the period 2004-2007 for the activities of the 1540 Committee was
twofold:

— the EU carried out démarches to third States to promote the submission of national reports under UNSCR 1540,

— on 12 June 2006 the EU adopted Joint Action 2006/419/CFSP providing financial support for five outreach
activities targeting five different regions of developing countries. The outreach activities, in the form of seminars,
aimed at raising awareness among developing countries of their obligations under UNSCR 1540 and contributing
to strengthening third States’ national administrative capacities in drafting national reports on the implementation
of UNSCR 1540.

According to the briefing presented by the Chairman of the 1540 Committee to the UNSC on 17 December 2007,
considerable progress has been made with regard to the reporting obligations of the UN Member States, but more
efforts are needed in the next period to achieve full implementation of all aspects of the resolution. In particular, as of
March 2008, 144 States had already submitted their first reports and 99 States have already submitted additional
information requested. Consequently, thematic discussion on outreach activities held by the 1540 Committee in
October 2007 recognised the need for a phased approach and recommended that future outreach activities should
focus less on the issue of reporting and more on assisting States with issues of implementation.

The December 2007 briefing also stressed how in practical work the main focus of the 1540 Committee should shift
from reporting to implementation of all aspects of UNSCR 1540. In this regard individually designed outreach and
assistance, which is responsive to regional and other specific circumstances, could help Member States cope with the
challenges of implementation. As the Committee stated in its work programme, national plans or road maps of
implementation can serve States as useful planning tools and this idea should be further promoted. The countries
concerned should receive more assistance in developing their national action plans. Similarly, Member States’ capacity
to formulate effective assistance requests should also be enhanced.

2. Description of projects

The projects in support of the implementation of UNSCR 1540 will take the form of six workshops aiming at
enhancing the capacity of officials responsible for managing the export control process in six subregions (Africa,
Central America, Mercosur, the Middle East and Gulf Regions, Pacific Islands and South-East Asia), so that they can at
a practical
level undertake implementation efforts of UNSCR 1540. The proposed workshops will be specifically
tailored for border, customs and regulatory officials and will comprise the main elements of an export control
process including applicable laws (including national and international legal aspects), regulatory controls (including
licensing provisions, end-user verification and awareness-raising programmes) and enforcement (including commodity
identification, risk-assessment and detection methods).

During the workshop, States will be encouraged to confer and share experiences on practical
issues relating to
implementation. States will have the opportunity to compare their export control processes and, by making these
identify those practices which could gain from the experience of others. Where assistance may be
comparisons,
required to enable States to apply the most effective practices, assistance programmes may be assembled.

The proposed activities should also position the abovementioned officials to clearly identify gaps and needs taking into
account different perspectives (government and industry) so that effective assistance requests for training, equipment
and other fields of activities can be formulated. These requests will be submitted to the 1540 Committee — for
circulation to States — or directly to States,
international, regional and non-governmental organisations. These
workshops will, as well as drawing on the experts of the 1540 Committee, need to draw on expertise available
internationally. Therefore donor countries, as well as international intergovernmental organisations, could also provide
well-established or known competencies by making their experts available for the duration of the workshop.

L 127/82

EN

Official Journal of the European Union

15.5.2008

This new Joint Action builds on and intensifies efforts undertaken under the previous Joint Action 2006/419/CFSP
that mainly focused on awareness-raising and reporting obligations. It will provide a clearly operational and subre-
gional dimension to the projects by involving approximately three State officials (practitioners/expert level) from each
participating State in the workshops, with a duration of three to four days.

The clear identification of gaps and needs which will be facilitated by the workshops financed through this Joint
Action will be particularly useful to the European Union, mainly for the selection of countries which could benefit
from capacity-building projects financed under the new stability instrument. It will also help define the precise fields in
which additional EU actions are mostly needed. Participants of the workshops will be encouraged to deliver specific
assistance requests. The EU will identify the scope of assistance taking into account the intentions of other potential
donors and will ensure a maximum synergy with other EU financial instruments (e.g. complementarity with this Joint
Action of activities under the stability instrument in the area of export control in third countries).

Results of projects:

— enhanced understanding by participants of national, regional and international efforts to prevent proliferation of

weapons of mass destruction and their means of delivery,

— greater clarity of current implementation and enforcement measures and increase steps taken or planned to be

taken toward full implementation of UNSCR 1540,

— enhanced risk-assessment, detection and examination techniques,

— improved interplay and information-sharing between national and regional export control and enforcement au-

thorities,

— enhanced understanding of cargo movements and methods that are employed to circumvent export control

processes,

— enhanced understanding of the dual-use nature of certain commodities and improved capability to identify those

dual-use commodities related to weapons of mass destruction and their means of delivery,

— enhanced cooperation between regulatory and enforcement officials and industry,

— workshop output for participants:

(a) produce potential national action plans;

(b) develop assistance requests for future follow-up on more specific areas in this workshop, and, as appropriate,
enhance cooperation with intergovernmental organisations and subregional organisations in the provision of
such assistance; and

(c) report of seminar proceedings.

3. Duration

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

4. Beneficiaries and participants

States selected to attend have been chosen in accordance with several criteria. Examination of country matrices on
implementation of UNSCR 1540 were used to identify those States which may require assistance in areas of risk-
assessment, border and transhipment controls, commodity identification, and detection techniques.

In proposing the States mentioned below for participation in the projects, consideration has also been given to their
varying levels of implementation and capability. Similarities in regional
issues, such as transhipment, provide a
common thread and allow synergies between States to be identified and developed.

In addition, the selected States participated in outreach activities previously undertaken in the relevant subregions.

States will be requested to nominate officials at the implementation level, familiar with the export and border-control
processes. These would include representatives from the following areas of government:

— regulatory authorities, and

— border enforcement (including customs and police authorities; particular attention will be given to cross-govern-

mental and interagency processes).

15.5.2008

EN

Official Journal of the European Union

L 127/83

Additional agencies identified as central to the export control process will be invited as appropriate, following a
decision of the Presidency of the EU, assisted by the SG/HR.

An invitation to attend and participate in the workshops would also be considered for the relevant intergovernmental
and regional organisations.

It is important to stress that some of the participating States might be faced, even inadvertently, with risks of
proliferation of WMD, due to their geographical
location, political situation or to their national energy plans.
Several among them have also already engaged in a constructive dialogue on non-proliferation of WMD with the
EU, also through the negotiation and signing of bilateral agreement including clauses on non-proliferation of WMD.
Accordingly, the organisation of this series of workshops represent a great opportunity for the EU to deliver on its
commitments under these clauses and to show the importance it attaches to assisting developing countries also
through multilateral means.

The States selected for attendance at the workshops include:

1. Project covering Africa

Ghana, Kenya, Morocco, Nigeria, Uganda, South Africa, Republic of the Congo, Egypt, Libya, and Tanzania.

2. Project covering Central America

Belize, Costa Rica, El Salvador, Guatemala, Honduras, Mexico, Nicaragua and Panama.

3. Project covering Mercosur States

Argentina, Brazil, Uruguay, Paraguay, Venezuela, Bolivia, Chile, Columbia, Ecuador and Peru.

4. Project covering the Middle East and Gulf regions

Bahrain, Iraq, Jordan, Kuwait, Oman, Saudi Arabia, Syria, United Arab Emirates.

5. Project covering Pacific Islands States

Fiji, Marshall Islands, Micronesia (Federated States of), Nauru, Palau, Papua New Guinea, Solomon Islands (Republic
of), Timor-Leste, Tuvalu, Vanuatu.

6. Project covering South-East Asian States

Cambodia, Indonesia, Malaysia, Myanmar, Philippines, Singapore, Thailand and Vietnam.

5. Implementing entity

The Presidency, assisted by the SG/HR, is responsible for the implementation of this Joint Action. The Presidency shall
entrust the technical implementation to the UN Secretariat (ODA). The UN Secretariat (ODA) will sign a Host Nation
Support agreement with the States, which will be identified as hosting countries. The hosting State will participate in
the implementation of the projects, financed by this Joint Action. The procurement of any goods, works or services by
the UN Secretariat (ODA) of the hosting States in the context of this Joint Action will be carried out in accordance
with the applicable UN rules and procedures, as detailed in the financing agreement with the UN Secretariat (ODA)
(Article 3(3) of this Joint Action).