COUNCIL OF
Brussels, 24 January 2001
THE EUROPEAN UNION
5633/01
LIMITE
COSDP 20
FORWARDING NOTE
from :
Secretariat
to :
Delegations
n° prev. docs.
13957/1/00 COSDP 71
Subject :
Suggestions for procedures for coherent, comprehensive EU crisis management
Delegations will find attached the document containing suggestions for procedures for
coherent, comprehensive EU crisis management drawn up by the Secretariat in the
light of the documents approved by the European Council in Nice.
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SUGGESTIONS FOR
PROCEDURES
FOR
COHERENT, COMPREHENSIVE EU CRISIS MANAGEMENT
Introduction
The "reference framework" presented by the Secretary General/High Representative
on procedures for coherent, comprehensive crisis management refers to more detailed
suggestions for procedures. The present working paper contains these suggestions, as
revised following the first discussion at iPSC and Pol-Mil WG level.
This document is intended to be a living document to be studied in detail and
evaluated by civilian and military experts. The procedures should not be validated
until they have been tested and revised accordingly in the light of experience and
exercise. The working paper thus forms an evolving whole which will be constantly
reviewed and up-dated.
The working paper is not exhaustive. Elements such as standard operating procedures
(SOP) and the Civil-Military co-operation (CIMIC) concept might be further
developed. Moreover, the objective of the present paper being to address EU crisis
management procedures, it only briefly refers to the post-conflict phase, a subject that
might however be developed at a later stage.
The working paper is composed of five sections:
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-
Suggestions for procedures for comprehensive, coherent crisis management;
-
Annex I: Civilian instruments of crisis management
-
Annex II: Options for the financing of military operations
-
Annex III: Questions relating to the Council's rules of procedure
-
Annex IV: The SG/HR's approach on the EU situation Centre.
The present suggestions are based on current Treaty provisions. After the entry into
force of the Treaty of Nice these suggestions will need to be amended accordingly.
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Phase 1 Routine phase - Pre-crisis, support to stability and conflict
prevention
The procedures outlined in the following are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEC Article 207.
1.
The Member States and the Commission carry out routine monitoring and
exchanges of information within the Political and Security Committee (PSC), as
well as within the relevant geographic and thematic Council working groups.
The Military Committee carries out routine monitoring and exchange of
information within its area of competence.
2.
The EU Sitcen, operating on a permanent basis, monitors international
developments, provides early warning, receives and evaluates information and
disseminates information and evaluation to concerned users, and acts as point of
operational contact for the SG/HR.
3.
The Committee for civilian aspects of crisis management provides information,
formulates recommendations and gives advice on civilian aspects of crisis
management to the PSC and to the other appropriate Council bodies in
accordance with their respective competencies.
4.
Following up the principles and objectives of the OSCE Charter for European
Security, the Union co-operates with the UN, the OSCE, the Council of Europe
and other international organisations in a mutually reinforcing manner in
stability promotion, early warning and conflict prevention. The EU contributes
to these objectives for example through projects to combat the destabilising
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accumulation of small arms, and through a broad range of programmes in
support of human rights, democracy, institution building and market economy,
through EU instruments, Community action and individual Member States'
initiatives (see Annex I for procedures for civilian instruments). NB. The EU
can also use these instruments in all subsequent phases of a crisis.
5.
The EU maintains contacts with third countries within the framework of
political dialogue.
6.
The EU implements the provisions for the routine phase, of the arrangements
with non-EU European NATO members and other candidates for accession to
the EU, on involvement in military crisis management.
7.
The EU implements the provisions of the permanent arrangements on
consultation and co-operation with NATO for the routine phase.
8.
The SG/HR maintains contacts with a large number of third countries, the UN
and other international and regional organisations (e.g. OSCE, Council of
Europe), NGOs, etc.
9.
The Military Staff performs military advance planning and regularly reviews
existing plans.
EU implements provisions for permanent arrangements with
third countries wishing to accredit officers to the Military Staff.
10. The Commission performs activities within its field of responsibility, including
planning.
It ensures relevant international contacts within its area of
responsibility.
11. Close co-ordination takes place between the Council Secretariat and the
Commission.
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12. Procedures are tested and further developed within a comprehensive exercise
policy. All Council Secretariat services, the Commission, Member States and,
possibly, relevant external actors will participate in the exercises.
13. The Council Press Service on a regular basis keeps the media informed of EU
routine activities for example to support stability and conflict prevention.
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Phase 2 Crisis build-up
The procedures outlined in the following are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEC Article 207.
A.) Early Warning
1.
The SG/HR, the Presidency, a Member State and/or the Commission draw the
PSC's attention to a mounting crisis.
2.
The provision of information, including intelligence, from Member States is
intensified.
B.) Detection of a crisis
1.
The PSC makes a political assessment of the situation, the danger for escalation
and its consequences. Moreover, the PSC considers measures and instruments,
which might be used to seek to positively influence the situation. The
Commission, which fully participates in the work of the PSC, starts reflecting
on the possible use of instruments falling within its responsibility, and informs
the PSC on measures already taken or intended to be taken
(see Annex I).
Member States do likewise, informing the PSC on measures taken.
2.
The PSC may agree to dispatch a fact-finding mission (FFM), possibly civil and
military, to verify facts and assess the needs for further EU action.
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3.
The PSC may ask competent bodies (Military Committee, geographical working
groups etc.) to provide further analysis of the crisis. The Committee for civilian
aspects of crisis management provides information, formulates
recommendations and gives advice on civilian aspects of crisis management to
the PSC and to the other appropriate Council bodies in accordance with their
respective competencies. The SG/HR informs the Council instances that might
be called upon to participate in the crisis management.
4.
Consultations with third countries within the framework of political dialogue.
5.
Intensification of dialogue and consultation, including at ministerial level, with
the non-EU European NATO members and other candidates for accession to the
EU.
6.
Intensification of contacts and meetings, including at ministerial level, between
EU and NATO.
7.
The EU Sitcen steps up the collection of information, processes it, and reports
on the situation to the SG/HR and to the bodies concerned. The Council
Secretariat, including the Military Staff, provides analysis papers and policy
options. Provision of classified information by the Member States is paramount.
8.
SG/HR intensifies contacts with a large number of third countries, the UN and
other international and regional organisations (e.g. OSCE, Council of Europe
),
providing and soliciting relevant information.
9.
The Commission prepares, as appropriate, proposals within its area of
responsibility (See Annex I)
.
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C) EU action is considered appropriate: identification of available
instruments, capabilities and resources
1.
The PSC analyses the situation and establishes that EU action is appropriate
(possibly on request from an international lead agency). The PSC should have
access to all information
processed through agreed channels, proposals and
initiatives relating to the crisis in order to make a global assessment. The
SG/HR, after consultation with the Presidency, may chair the PSC.
2.
The Military Committee provides military advice on the military dimension of a
crisis situation, on possible military strategic objectives and available military
capabilities and capacities. Its Chairman participates in the PSC. The military
representatives of the Member States are encouraged to do likewise.
3.
Close contacts between the SG/HR and the Commission throughout the process
.
4.
Community measures may be taken already during this phase.
5.
The SG/HR will contribute with his suggestions to the strategic direction of the
EU response to the crisis, which may, from the outset or at a later stage, imply
recourse to military means. The processing of the classified information
provided by Member States will assist the SG/HR in preparing his suggestions.
For those measures involving the recourse to military means, the SG/HR,
assisted by the Director of the EU Military Staff, will receive opinions and
advice from the Chairman of the Military Committee.
6.
The PSC will provide the general political assessment, keeping in mind the
totality of measures applicable and pronouncing itself on the political
appropriateness of using a particular instrument. The Commission, which fully
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participates in the work of PSC, informs the PSC about its state of reflection on
the instruments within its field of responsibility. Each measure will be dealt
with by the competent body according to the applicable procedures (see
Annex I).
Member States inform the PSC about measures taken or that they
intend to take at national level.
7.
The consistency of the work of the Council bodies and of the different Council
formations must be ensured.
8.
Within the Committee on civilian aspects on Crisis Management, Member
States and the Commission provide information on the non-military crisis
management assets available and their state of readiness or deployment as well
as about bilateral contributions. The Committee ensures that the Council
Secretariat is provided with sufficient information in order to be in a position to
advise the competent bodies.
9.
The 'Co-ordinating Mechanism' on civilian aspects of crisis management within
the Council Secretariat supports the relevant bodies, as well as the SG/HR when
he prepares his suggestions, on the basis of information collected through the
inventories of EU and national civilian instruments. It maintains contacts with
Commission Crisis
Management Unit.
10. If among the possible measures, some imply the use of military means, the
SG/HR, in close co-operation with the Presidency, may submit to the PSC
suggestions on
the political objectives of the EU's possible military operation
and on strategic political option(s).
11. The PSC tasks the Military Committee supported by the Military Staff, to
develop strategic military option(s).
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12. Consultations with third countries according to the agreed arrangements.
13. If the use of NATO assets and capabilities is being considered, the NAC will be
informed.
14. If the use of NATO assets and capabilities is envisaged, special attention will be
given to consultation with the non-EU European NATO members.
15. The SG/HR intensifies contacts with the UN and other international and
regional organisations (e.g. OSCE, Council of Europe) concerned that are
envisaging to contribute to the management of the crisis.
16. The Commission ensures relevant international contacts within its area of
responsibility.
17. Meanwhile, monitoring of the developing crisis continues, information
gathering is strengthened from sources such as missions of the Member States,
Commission delegations, international organisations and NGOs on the ground,
satellite images, etc.
18. Overall EU Communication Strategy on the crisis and on possible EU action is
developed. The SG/HR, Member States and the Commission agree a coherent
information policy.
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Phase 3 Pre-decisional planning/definition of action
The procedures outlined in the following are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEC Article 207.
1.
The PSC submits an opinion to the Council on the general political assessment.
Coreper prepares the work of the Council. The Council agrees that EU action is
appropriate. In particular, the Council:
• if European Council conclusions exist, will further specify the EU political
objectives; otherwise, the Council will define them;
• selects strategic political option(s) for further development;
• invites the Commission to consider proposing or adopting the measures in
pursuit of the political objectives thus selected which fall within its area of
responsibility (see Annex I).
2.
Within the Committee on civilian aspects on Crisis Management, Member
States and the Commission provide information on the non-military crisis
management assets available and their state of readiness or deployment as well
as about bilateral contributions. The Committee ensures that the Council
Secretariat is provided with sufficient information in order to be in a position to
advise the competent bodies.
3.
The EU Sitcen, in addition to its normal functions, steps up the collection,
processing and reporting of situation information. In particular, it will produce
comprehensive and timely situation reports and assessments, especially to the
SG/HR and the competent bodies for crisis management.
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4.
The SG/HR reinforces contacts with the UN and other international and regional
organisations (e.g. OSCE, Council of Europe) concerned that are envisaging to
contribute to the management of the crisis.
5.
The Commission ensures relevant international contacts within its area of
responsibility.
6.
If the operation involves the use of military means, the PSC, by means of the
Initial Planning Directive, tasks the Military Committee, supported by the
Director of the EU Military Staff, to develop and prioritise the selected strategic
military option(s). The Military Committee proposes the selected military
options to the PSC.
If necessary, to assist it in the elaboration of military options, the Military Staff
may need to seek assistance from other sources, including multinational
headquarters, national headquarters or NATO.
7.
The Council should at the earliest possible time, in the light of an opinion by the
PSC advised by the Military Committee:
• approve the strategic military option(s), including the proposed chain of
command, for further development. The Chairman of the Military
Committee will attend the Council meetings;
• appoint the Operation Commander and designate the Operation
Headquarters.
• consider whether it intends to request the use of NATO assets and
capabilities.
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8.
Consultations will be held with non-EU European NATO members and the
other countries that are candidates for accession to the EU with a view to
ensuring that the countries potentially contributing to such an operation are
informed of the EU's intentions, particularly with regard to the military options
being envisaged.
9.
OPTION 1: EU MILITARY OPERATION WITHOUT USE OF NATO ASSETS AND
CAPABILITIES
a)
Member States and, as appropriate, interested third countries, give
informal notification to the Military Staff of intention to contribute to
an operation by committing military and/or other relevant forces.
1
b)
The PSC, on advice by the Military Committee, assesses the strategic
military option(s), including its civilian-military aspects.
c)
Provision and processing of intelligence information.
d)
Options for the financing of military operations are set out in
Annex II.
e)
Non-EU European NATO members and other candidates for accession
to the EU may deploy liaison officers to European operational
headquarters, in order to enable the exchange of information on the
operational planning and on the foreseen contribution.
f)
EU keeps NATO fully informed of the planning of the operation.
1 This commitment may cover the provision of logistical and other facilities of a
significant nature (i.e. forces or resources significant for the armed forces of the
country concerned, and/or important for the effective conduct of the operation). It can
be made during all phases of the crisis.
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OPTION 2: EU MILITARY OPERATION WITH RECOURSE TO NATO ASSETS AND
CAPABILITIES
a)
Member States and, as appropriate, interested third countries, give
informal notification to the Military Staff of intention to contribute to
an operation by committing military and/or other relevant forces.
1
b)
The PSC, on the basis of the opinion and recommendation of the
Military Committee, supported by the Military Staff, transmits via the
Military Committee, to the Operation Commander the strategic
directives permitting the preparation of necessary planning documents
(CONOPS, OPLAN), using the assured access to NATO planning
capability. The EUMC provides military advice on the operational
planning documents and forwards them to the PSC for approval.
c)
Staffs of the two organisations, in close contact with DSACEUR as
strategic co-ordinator, meet in order to specify the pre-identified
NATO assets and capabilities considered for this option.
d)
NATO assets and capabilities needed for the EU operation, as well as
the modalities for their release, including the possible conditions for
their recall, are identified at a PSC/NAC meeting.
e)
For operations requiring recourse to NATO assets, the non-EU
European allies will be involved in the planning according to the
procedures laid down within NATO.
10. The SG/HR reinforces relations with the media and steps up information on the
EU activities
.
1See footnote 10.
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Phase 4 Operational phase - formal decision to take action
The procedures outlined below are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEC Article 207.
1.
The PSC submits an opinion to the Council recommending taking action.
Coreper prepares the work of the Council. The Council adopts a decision to take
action to tackle the crisis (this decision could, where appropriate, take the form
of a Joint Action in full respect of the single institutional framework and of
Article 47 of the TEU). Within that decision, the Council:
• takes the necessary measures to that end;
• defines the conditions under which the SG/HR will be responsible for
implementing the political and military aspects;
• invites the Commission to direct its action towards achieving the objectives
and priorities of the Joint Action, where appropriate, by pertinent
Community measures or notes that the Commission intends to do so;
• invites Member states to direct their action in support of the Joint Action.
In parallel the Council adopts the Commission proposals for measures falling
under the EC Treaty. Within the Committee on civilian aspects on Crisis
Management, Member States and the Commission provide information on the
non-military crisis management assets available and their state of readiness or
deployment as well as about bilateral contributions. The Committee ensures that
the Council Secretariat is provided with sufficient information in order to be in a
position to advise the competent bodies.
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2.
If the operation involves the use of military means, the Council at the same
time, in the light of an opinion by the PSC advised by the Military Committee:
• selects a strategic military option, including its chain of command. The
Member States are invited to confirm their readiness, subject to national
procedures, to support the selected option;
• appoints the Operation Commander and designates the Operation
headquarters if this has not been done in phase 3;
• designates the Force Commander, the Force Headquarters and Component
Commands;
• approves the directive for the Force Commander;
• addresses, where appropriate, a formal request to NATO for the use of its
assets and capabilities and approves on the basis of the "Berlin Plus"
agreement the arrangements for hand-over and any recall conditions;
• invites third countries, which have indicated their willingness, to participate
in the operation.
The Chairman of the Military Committee attends the Council meetings.
3.
The Operation Commander prepares a "Concept of operations" (CONOPS)
which, following a first evaluation by the Military Staff, he presents to the
Military Committee and, after endorsement, to the PSC.
4. Subsequently, the Operation Commander prepares a "Operation Plan" (OPLAN)
which, following a first evaluation by the Military Staff, he presents to the
Military Committee and, after endorsement, to the PSC.
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5. Force Generation Process, including Force Generation Conference. The SG/HR,
with the assent of the PSC deliberating in accordance with the relevant rules,
tasks the Chairman of the Military
Committee, assisted by the Military Staff, to
develop the plan for the constitution of the force. The Military Committee
transmits the task to the Operation Commander. The relevant third countries
confirm the level and quality of their national contribution.
6.
The PSC submits to the Council its opinion on CONOPS and subsequently on
OPLAN, ROE (rules of engagement) and, where appropriate, SOFA (status of
forces agreement).
7.
Coreper prepares the work of the Council. The Council, possibly convened in an
extraordinary session, approves the concept of the operation and adopts the
decision to launch the operation.
8.
The PSC exercises, under the authority of the Council and the conditions laid
down in the Joint Action, the political control and strategic direction of the
military operation. The SG/HR takes the necessary follow-up measures as
entrusted to him by the Council in the Joint Action.
9.
Establishment of the Committee of Contributors,
which includes all 15 Member
states as well as participating third countries.
10. Provision and processing of intelligence information.
11. Throughout this phase, the Commission implements measures within its area of
responsibility.
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12. The EU Sitcen in addition to its normal functions steps up the collection,
processing and reporting of situation information. In particular, it will produce
comprehensive and timely situation reports and assessments, especially to the
SG/HR and the competent bodies for crisis management.
13. The SG/HR ensures close contacts with the UN and other international and
regional organisations (e.g. OSCE, Council of Europe) concerned, contributing
to the consistency of the Union's representation.
14. The Commission ensures relevant international contacts within its area of
responsibility
.
15. Throughout this phase communication policy is updated.
The SG/HR boosts relations with the media
.
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Phase 5 Operational phase - Implementation
The procedures outlined below are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEC Article 207.
1.
The Council maintains the overall responsibility for the conduct of the action.
Coreper prepares the work of the Council.
The Council:
• receives reports and updates from the SG/HR in its role as PSC chairman
on the follow up measures it entrusted him to carry out, and gives the
necessary direction;
• adopts any further proposals presented meanwhile by the Commission;
• receives reports from the Commission on the implementation of measures
within its area of responsibility;
• receives reports from Member states on national measures.
2.
The PSC monitors the implementation of the measures taken and assesses their
effects and, as necessary, may recommend adjustments. It exercises the political
control and strategic direction of EU military operations. The Commission
informs the PSC about the measures it has taken or is envisaging taking within
its area of responsibility. The Commission ensures the proper implementation of
Community measures. The Committee for civilian aspects of crisis management
provides information, formulates recommendations and gives advice on civilian
aspects of crisis management to the PSC and to the other appropriate Council
bodies in accordance with their respective competencies.
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3.
Throughout the operation:
• Full coherence will be ensured between the civil and military aspects of the
EU action;
• the SG/HR, contributes to the consistency of the Union's representation in
maintaining contacts with the UN and other relevant international and
regional organisations, third countries and NGOs;
• the PSC continues to exercise its function of global assessment. The SG/HR
in his capacity as PSC Chairman, contributes with his suggestions - in
understanding with the Commission for measures falling under the EC
Treaty - with a view to the PSC addressing an opinion to the Council, on a
set of possible measures for implementation once the military operation has
terminated;
• the EU Sitcen continues to perform its normal functions and, in addition,
steps up the collection, processing and reporting of situation information. In
particular, it will produce comprehensive and timely situation reports and
assessments, especially to the SG/HR and the competent bodies for crisis
management;
• the Commission, within its area of responsibility, prepares additional
measures and proposals for implementation in parallel with or once the
military operation has terminated;
• the Commission ensures relevant international contacts within its area of
responsibility.
4.
For the military part of the operation, the SG/HR, with the assent of the PSC
deliberating in accordance with the relevant rules and advised by the Military
Committee, gives the politico-military directives relating to the subsequent
implementation of the operation to the Chairman of the Military Committee. On
that basis, the Chairman of the Military Committee tasks the Operation
Commander.
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All forces are under the operational command (OPCOM) or the operational
control (OPCON) of the Operation Commander.
5.
With the assent of the PSC, deliberating in accordance with the relevant rules
and advised by the Military Committee, the SG/HR forwards the activation
order to the Operation Commander.
6.
The Operation Commander launches the operation.
7.
The Military Committee is responsible vis-à-vis the PSC for the execution of the
guidance received. For that purpose, it can hear the Operation Commander and
give him recommendations. Throughout the operation, the Chairman of the
Military Committee, supported by the Director of the EU Military Staff:
• ensures, in his role as contact point designated by the PSC, the liaison with
the Operation Commander;
• monitors the progress of the operation also on the basis of assessments
provided by the Military Staff;
• performs, in co-ordination with the Operation Commander and the Director
of the Military Staff, strategic analyses to support the PSC;
• elaborates, as necessary, new strategic military options, in the light of
political and operational developments;
• submits an opinion to the PSC on the advisability of carrying on or putting
an end to the operation;
• maintains the necessary contacts with the UN and other relevant
international organisations active on the ground.
8.
In case of an EU operation without the use of NATO assets and capabilities, the
EU keeps NATO informed of the general conduct of the operation.
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9.
If NATO assets and capabilities are being used, the EU keeps NATO informed
(this includes the possibility for PSC/NAC meetings).
10. The Operation Commander will be invited to the Military Committee, in order
to inform the committee of the conduct of the operation.
The President/Chairman of the PSC/GAC may invite the Operation Commander
to the PSC and the GAC.
11. The
Committee of Contributors meets regularly during the operation. The
Operation Commander participates or is represented in the Committee of
Contributors. The Committee provides opinions and recommendations on
possible adjustments to the operational planning, including possible adjustments
to objectives, which may affect the situation of the forces in the theatre. It will
deal with implementation, use of forces and all day to day conduct of an
operation. The Chairman of the Committee of Contributors keeps the PSC
informed of the outcome of the Committee's deliberations.
The PSC will take
account of views and recommendations expressed by the Committee of
Contributors.
12. The Committee of Contributors is supplied with detailed information regarding
the operation at the theatre.
13. The SG/HR implements information policy and relations with the media
.
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Phase 6 Ending the military operation; transition period
The procedures outlined below are implemented in full compliance with the
competencies attributed to Coreper by virtue of TEU Article 207.
1.
The PSC, in the light of the situation, evaluates the political appropriateness of
discontinuing some or all measures employed in the crisis. The Committee for
civilian aspects of crisis management provides information, formulates
recommendations and gives advice on civilian aspects of crisis management to
the PSC and to the other appropriate Council bodies in accordance with their
respective competencies.
2.
The SG/HR makes contributions with a view to the PSC addressing an opinion
to the Council on a set of measures to that end. The SG/HR prepares his
contributions in the light of information, including confidential, provided by
Member States.
The formal proposals are submitted to and dealt with by the competent bodies
according to normal procedures (for civilian instruments see Annex I).
3.
If the operation involves the use of military means, the PSC tasks the Military
Committee to prepare a draft planning directive for the operation to be
terminated. The Military Committee requests the Military Staff to prepare this
directive in concert with the Operation Commander.
4.
The PSC tasks the Military Committee, assisted by the Military Staff and in co-
operation with the Operation Commander, to plan the termination of the
operation.
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5.
If NATO assets and capabilities are being used in the operation, the PSC
informs the NAC in advance of the plans to terminate the operation.
6.
The Military Committee and the PSC will consult the Committee of
Contributors on the questions relating to the planning of terminating the
operation, and to the redeployment of the forces. Once the operation is
terminated, the Committee of Contributors is invited to give its evaluation of the
lessons learned.
7.
Coreper prepares the work of the Council. The Council:
• in the light of an opinion by the PSC advised by the Military Committee
(based on the proposed plan), decides to terminate the military operation;
• decides to terminate the other measures which are no longer needed;
• decides about the launching of further measures needed at this stage;
• invites the Commission to re-examine the measures falling under its
responsibility, or to make the necessary proposals to that end;
• invites Member States to re-examine measures taken at national level, and
if necessary, to adapt them.
The Chairman of the Military Committee attends the Council meeting.
8.
Once the military operation is terminated, the PSC:
• requests the Military Committee, the Operation Commander and the
Military Staff to evaluate lessons learned;
• requests the Committee for Civilian aspects of crisis management to
evaluate lessons learned within its area of responsibility;
• proceeds to an overall assessment.
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9.
Information Policy concentrates on termination of the operation, transition and
follow-up measures.
10. Following up the principles and objectives of the OSCE Charter for European
Security, the Union co-operates with the UN, the OSCE, the Council of Europe
and other international organisations in a mutually reinforcing manner in
stability promotion and post-conflict reconstruction.
_________________
Abbreviations:
CONOPS: concept of operations
FFM: fact-finding mission
HoMs: Heads of Mission in third countries (Member States and Commission)
MC: Military Committee
MilReps: Military representatives at the Military Committee
MS: Military Staff
OPCOM: operational command
OPCON: operational control
OPLAN: operation plan
PSC: Political and Security Committee
ROE: rules of engagement
SG/HR: Secretary General/High Representative
EU SITCEN: joint Situation Centre
SOFA: status of forces agreement
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ANNEX I
CRISIS MANAGEMENT PROCEDURES
CIVILIAN INSTRUMENTS
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ANNEX I
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Foreword
This annex contains a series of descriptive notes on civilian instruments of crisis
management. Each of them details, for each instrument, the appropriate legal basis,
the financing, the procedures to be followed, as well as additional remarks and
selected precedents. This annex is a living document which, as for the main
document, needs to be studied in detail and evaluated by experts, namely from the
Commission.
The list of instruments is not exhaustive. The work to be undertaken on the document,
besides improving and perfecting it, should also lead to the inclusion of additional
descriptive notes on other instruments which are deemed relevant in civilian crisis
management.
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CONTENTS
1.
Declarations
2.
Demarches
3.
Political dialogue
4.
Fact-finding mission
5.
EU Special representatives
6.
Troika, Presidency or SG/HR missions
(for mediation, arbitration, confidence-building)
7.
Revision of existing arrangements
8.
Revision of assistance programmes
9a. Sanctions - General trade embargo
9b. Sanctions - Arms embargo
9c. Sanctions - Visa/Visits ban, diplomatic staff reduction
9d. Sanctions - Ban on imports of specific products
9e. Sanctions - Flights ban
9f. Sanctions - Freeze of assets/funds
9g. Sanctions - Ban on investment
10. Financial assistance
11. Humanitarian aid
12. Support to electoral process
13. Dispatch human rights observers
14. Dispatch mission to strengthen rule of law
15. Dispatch police forces
(to secure law and order, to train local police, to monitor local police)
16. Demining assistance
(via other International Organisations or by the EU autonomously)
17. Dispatch border control team
18. Control of migration flows, refugees
19. Evacuation operations including search & rescue
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1. DECLARATIONS
Legal basis:
Article 23 TEU
Financing:
None
Procedure:
Declarations are adopted throughout all phases of the crisis
• Council Secretariat or Presidency prepares initial draft
• Draft text is
a.
discussed and finalised at PSC for approval by the Council, (I/A Item Note via
Coreper); in this case the Declaration is issued as "EU Declaration"; or
b.
discussed and finalised via Coreu; in this case the Declaration is issued simultaneously
in Brussels and Presidency capital as "Presidency Declaration on behalf of EU";
exceptionally, it can be agreed by Coreu that the Declaration is issued as "EU
Declaration"; or
c.
prepared by PSC for adoption by forthcoming European Council, which will finalise
the text during session; in this case the Declaration is issued as "Declaration by the
European Council".
Remarks:
-
Association of Associates and EFTA/EEA countries to Declarations adopted under a. and b.
above, is automatically launched by Secretariat in consultation with Presidency.
-
Exceptionally, due to lack of time, Presidency issues its own Declaration as first immediate
response to unforeseen events. In this case, the Presidency speaks on its own behalf.
-
SG/HR issues statements on his own behalf.
Selected precedents:
All declarations in Council website under http://domus/News/PressOffice/CFSPStatements
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2. DEMARCHES
Legal basis:
Article 23 TEU
Financing:
None
Procedure:
• Demarches can be carried out throughout all phases of the crisis
• Presidency prepares initial draft, which can be in the form of "terms of reference"; HOMs' input
may be requested
• Draft text is discussed and finalised via Coreu, including modalities (SG/HR, Presidency and
Commission, Presidency alone, Troika) and level of receiving authority and of EU
representation (HOM, Regional Directors, etc.), or
• Draft text is discussed/finalised by PSC.
Remarks:
- Association of Associates to be decided in negotiation by Coreu or by PSC
Selected precedents:
See current list kept up-to-date by Council Secretariat (General Affairs) in designated directory
j/listes/demarches
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3.
POLITICAL DIALOGUE
Legal Basis:
Bilateral agreement with the country concerned or ad-hoc arrangements.
Financing:
If needed, for travel expenses Council administrative budget (See SG decision
1997)
Procedure:
• Established with like-minded countries but also with countries with which the Union may have
divergence of views on major issues. In the latter cases such meetings can be employed as a
means to defuse potential crises or seek solutions for on-going crises.
• Political dialogue meetings can be organised and take place throughout all phases of a crisis.
• Generally conducted by the Troika. TEU Article 26 provides for the possibility of political
dialogue being conducted by the SG/HR.
• Agreement of counterpart for each meeting always necessary.
• The PSC can agree on an ad hoc basis, in relation to a specific crisis, to hold a meeting, and at
the same time, agree on the level and composition of the EU delegation, as well as on the Terms
of Reference. All this can also be done by Coreu.
Selected precedents:
See political dialogue commitments on the collection of acts applicable to CFSP (j/listes/dialpolit).
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4. FACT-FINDING MISSION
Legal basis: Council request and Commission Decision on financing
Financing: Commission Decision authorising utilisation of Budget line B8-0151 (Preparatory
Actions and Common Strategies, New Actions), including financial statement.
Procedure:
• This measure is normally used during crisis build-up, i.e., when PSC deems, after Coreu
exchanges, that before considering self-initiated or requested EU intervention, more knowledge
of situation on the ground is needed, (i.e.; facts need to be verified, mediation and/or arbitration
tried, confidence built). PSC examines possible composition of the team, in particular the
appointment of its Head and the presence of relevant experts, i.e., from the Commission, the
Member States, military and/or police, involved IOs, etc.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft
Presidency proposal on mission's tasks, composition, financing, reporting modalities, which is
discussed by Foreign Relations Counsellors and agreed by PSC. Commission adopts internal
Decision on the basis of Presidency proposal, authorising utilisation of CFSP budget line on
preparatory actions (B8-0151) and establishing modalities to conclude contracts with missions'
members.
Selected Precedents:
Mission led by General Sir Garry Johnson in Georgia to assess needs for potential EU measures in
support of the authorities of Georgia to ensure the protection of its borders. Commission Decision
of May 2000. Fact-finding mission followed by Joint Action 2000/456/CFSP, L 183/22.7.00.
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5. EU SPECIAL REPRESENTATIVES
Legal basis: Art. 18.5 TEU via Joint Action (art. 14 TEU: unanimity, except if in implementation
of a Common Strategy)
Financing: Administrative expenditure (salaries and travel expenses) charged to Council
administrative budget (line 1113: Special Advisers and other persons authorised by
the Council); Operational expenditure, if any, charged to CFSP budget lines B8-0130
or B8-0131 (Special Representatives, existing and new ones). Financial statements
required from Council Secretariat and Commission.
Procedure:
• The appointment of EUSRs is normally used during Crisis Build-up, i.e., when the Council
agrees on the advisability of appointing an EUSR and may call upon candidates, possibly via
Council conclusions. PSC considers candidates put forward by Member States and EU
Institutions at PSC or via Coreu. PSC also discusses objectives and mandate of EUSR.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Joint
Action which indicates mandate, duration, terms of reference, criteria for constituting EUSR's
team, criteria and modalities for reporting, financing arrangements including co-operation with
the Commission, provisions on immunities and privileges. Foreign Relations Counsellors
discuss draft Joint Action and related financial statements, i.e., one from the Council Secretariat,
also prepared by Council Secretariat, on salaries and travel expenses, and one from the
Commission, if necessary, on operational expenditure. Draft Joint Action is agreed by PSC and
submitted to Coreper/Council for approval.
• Once appointed, EUSR selects his team whose salaries and travel allowances are also charged to
the Council administrative budget, except for secondees. The team is constituted in consultation
with the Presidency, assisted by the SG/HR and in full association with the Commission.
• During all phases of the crisis, EUSRs co-operate with MS' and Commission's missions in the
crisis country. With HOMs, they provide information and assessments to PSC.
Remarks:
-
Title of appointee (envoy, co-ordinator, etc.) has no bearing on nomination. Any person
whose nomination is not based on Art.18(5) will be deemed to be a Presidency
Representative (art. 18.2)
-
Refer to Guidelines on appointing procedure (doc. 7089/00) approved by Council on
30.3.2000
Selected precedents:
African Great Lakes region, Joint Action 2000/347/CFSP, L122/24.05.00.
See also "I/A" Item Note in doc. 8298/00.
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6.
TROIKA, PRESIDENCY OR SG/HR MISSIONS (for mediation, arbitration,
confidence-building)
Legal basis:
Articles 23 (Troika), 18 TEU (Presidency, High Representative).
Financing:
Council administrative budget for Troika travel (see SG Decision 1997)
CFSP budget (B8-0151 budget line - preparatory action). No need for a formal
Council decision, but need for Commission Decision (see fiche on fact-finding
mission) preceded by a Letter of Intent from Commission.
Procedure:
• These missions can be organised and take place throughout all phases of a crisis;
• Consent of the "host" country necessary
• Council Secretariat drafts terms of reference, to be approved by PSC or by Coreu
• When politically advisable, Council conclusions
Remarks:
Difficulty may reside in availability of Ministers.
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7.
REVISION OF EXISTING ARRANGEMENTS
Legal basis:
Agreement(s) concerned, and in particular, suspension clause contained therein.
Otherwise appropriate provision under public international law (Rebus Sic
stantibus etc). Commission proposal always necessary (Unanimity or QMV
depending on the legal basis of the decision of conclusion, or on the suspension
clause)
Financing:
None
• Arrangements in question are usually Community or mixed agreements with the country
concerned. Most of them contain a suspension or a revision clause, allowing for the revision,
suspension of termination of the agreement in its totality or in part if certain conditions are met
and setting forth the procedure to that end (e.g. Articles 1 and 58 of the agreement with Mexico,
Doc. 11618/97). Commission proposal always necessary.
• During crisis build-up: Commission assesses the consequences of such revision and presents to
the Council (PSC) various options.
• During pre-decisional planning/definition of action: Council invites the Commission to present
a proposal (in accordance with the revision clause applicable) for the revision of the
arrangement(s) in question. The proposal could be discussed and adopted, but its actual entry
into force postponed to the moment when the Union decides to act.
• During operational phase: Council adopts the Commission proposal or triggers the measures
envisaged. Throughout the crisis the Commission reports on the effects of the measures taken.
• During transition period: Council adopts Commission proposals for the termination/re-entry
into force/modification of the agreement(s) concerned.
Remarks:
-
The SG/HR and the Commission might - as a means to positively influence the situation -
notify the country concerned that such a revision is under consideration.
-
If revision/suspension requires the same procedure as for conclusion of the agreement, the
European Parliament might have to be consulted or give its assent.
-
For ACP countries, see art. 96 Cotonou agreement procedure.
Precedents:
Niger, July 1999 (doc. 10390/99)
Fiji, Declaration 10578/00, (Presse 272), P 108/00
Ivory Coast, Declaration 14234/1/99 Rev 1, (Presse 422), P 129/99
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8.
REVISION OF ASSISTANCE PROGRAMMES
Legal basis:
Regulations establishing the programmes, and specifically, clauses contained
therein providing for revision or suspension (QMV on a proposal from the
Commission). Comitology procedure for Commission initiatives within the
programme
Financing:
EC budget (funds allocated to the programme(s) in question)
Procedure:
• Programmes usually contained in ad-hoc Council regulations. Implemented by the Commission
through a comitology procedure. May contain revision/suspension clauses, permitting the
adoption of urgent measures by simplified procedure (e.g. Article 16 of Reg. 99/2000 - Tacis).
• During crisis build-up: The Commission informs the PSC of possible measures within the
framework of existing assistance programmes to tackle the crisis, which could either be taken
autonomously, or by the Council upon Commission proposal. The Commission identifies the
measures to be taken autonomously and/or announces the necessary proposals to the Council.
• During pre-decisional planning/definition of action: the Council invites the Commission to take
the measures falling under its responsibilities and/or to present the necessary proposals.
• During Operational phase - formal decision to take action: The Commission adopts the
measures falling under its responsibility. If needed, the Council adopts the Commission
proposals on revision of assistance programmes.
• During Operational phase - implementation: The Commission reports regularly to the Council
on the implementation of the measures adopted and their impact on the on-going crisis.
• During transition period: The Commission, informs the Council of the re-examination of the
measures so far taken, the interruption or resumption of some of them, and announces the
necessary proposals for the resumption of the assistance programmes and/or new measures or
programmes to tackle the transition.
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9a. SANCTIONS - GENERAL TRADE EMBARGO
Legal basis:
Art. 15 TEU (unanimity) for Common Position
Art. 301 TEC for Regulation (QMV) with Commission proposal
Financing:
None
Procedure:
• It is usually decided in implementation of UN Security Council Resolution (UNSCR).
• During Crisis build-up, PSC keeps close track of UNSC development. The Commission starts
preparing implementation modalities.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. To speed up
the possible adoption of the Regulation, the Commission could present informal drafts of the
Regulation for discussion by the Foreign Relations Counsellors.
• During Operational Phase - formal decision to take action, Commission formally adopts the
Regulation proposal. Common Position is approved either by Council via Coreper, or by written
procedure
1 The Community Regulation is adopted simultaneously with the Common Position,
to ensure practical execution of embargo, i.e., avoid that ban is announced but not immediately
implemented.
• During Operational Phase - Implementation, PSC monitors effects of embargo. Commission
informs on compliance and proposes adjustments (i.e. "holes" in the embargo) as appropriate.
• Repealing Common Position and Regulation are adopted by Council when appropriate.
Remarks:
-
Simultaneity of adoption of Common Position and Regulation is essential to ensure
compliance with UNSCR.
-
In case of autonomous EU sanctions, verify compatibility with international law.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected precedents:
Iraq: Council Regulation 2465/96, L 337/27.12.96; Common Position 96/741/CE,
L 337/27.12.96
1 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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9b. SANCTIONS - ARMS EMBARGO
Legal basis: Art. 15 TEU for Common Position (unanimity); art. 301 TEC for embargo on
repressive equipment (QMV), with Commission proposal
Financing: None
Procedure:
• It is decided either in implementation of UNSCR or as EU autonomous measure.
• During Crisis build-up, PSC discusses flow of arms into crisis country as contributing to
destabilisation or monitors UNSC's discussions on possible embargo. It discusses advisability of
including equipment used for repressive purposes or terrorism
1 in possible embargo.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. If
equipment for repression and terrorism is to be included, the Commission could present
informal drafts of the Regulation for discussions by Foreign Relations Counsellors to speed up
the possible adoption of the Regulation.
• During Operational Phase - formal decision to take action, Commission formally adopts the
Regulation proposal. Common Position is adopted either by Council via Coreper or by written
procedure
2. The Regulation is adopted simultaneously with the Common Position.
• During Operational Phase - Implementation, PSC monitors compliance.
• Repealing decisions (Common Position and Regulation) are adopted by Council when
appropriate, unless expiry is provided for in initial acts.
Remarks:
-
This measure can be part of a Common Position encompassing additional sanctions.
-
EU definition of arms is used also in case of transposition of UN embargo.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Association crucial if autonomous EU embargo. Standard Declaration of
alignment applicable.
Selected Precedents:
Indonesia: Common Position 99/624/CFSP, L 245/17.9.99; Regulation 2158/99,
L 265/13.10.99
Libya: Common Position 99/261/CFSP, L 103/20.4.99 amended by Common Position
99/611/CFSP, L 242/14.9.99
1This equipment falls under Community competence.
2 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions.
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9c. SANCTIONS - VISA/VISITS BAN, DIPLOMATIC STAFF REDUCTION1
Legal basis:
Art 15 TEU for Common Position (unanimity, except if in implementation of
a Common Strategy)
Financing:
None
Procedure:
• This measure is decided either in implementation of UNSCR or autonomously by EU.
• During Crisis build-up, PSC discusses possible impact of measures.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. HOMs are
asked to prepare lists of persons, i.e., close to regime in crisis country, whose names and details
(e.g. date of birth, transport No, etc.) may be included in the Common Position as subject to a
visa ban. The list of names can be included in a Decision implementing the Common Position.
This Decision is adopted and can be amended by QMV.
• During Operational Phase - formal decision to take action, Common Position is approved either
by Council via Coreper or by written procedure.2
• During Operational Phase - Implementation. HOMs are asked to monitor effects of measures
and contribute to their assessment.
• Amending Decisions are required frequently to take account up-dates/improvements to lists of
individuals.
• Repealing Common Position is adopted by Council when appropriate.
Remarks:
-
This measure can be part of a wider Common Position including additional sanctions.
-
Take account of technical time needed for compilation/verification of lists, persons' titles,
acquisition of specific info, i.e., dates and places of birth.
-
For reduction of diplomatic personnel, categories of diplomatic staff to be withdrawn are
indicated, i.e., military attaches (see model).
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected precedents:
Burma: Common Position 2000/346/CFSP, L 122/24.5.2000
FRY: Common Position 2000/56/CFSP, L 21/26.1.00; Common Position 2000/176/CFSP, L
56/1.3.00 (repealed by Common Position 2000/454/CFSP,
L 183/22.7.00)
1 Refer to Fiches on "Dispatch Border Control Team" and "Control of Migration Flows Refugees".
2 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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9d. SANCTIONS - BAN ON IMPORTS OF SPECIFIC PRODUCTS
Legal basis:
Art. 15 TEU (unanimity) for Common Position
Art. 301 TEC for Regulation (QMV) with Commission proposal
Financing:
None
Procedure:
• It is usually decided in implementation of UNSCR.
• During Crisis build-up, PSC discusses if ban on imports of products whose revenue contributes
to financing targeted regime could force the latter towards desired solution (end of repression or
aggression). Examples: oil and related products, diamonds. Ban is also considered to "isolate"
crisis country and impede fuelling of repression/aggression machinery. Examples: oil and
related products. The Commission starts assessing the feasibility of the ban. HOMs are alerted.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. To speed up
the possible adoption of the Regulation, the Commission could present informal drafts of the
Regulation for discussion by the Foreign Relations Counsellors.
• During Operational Phase - formal decision to take action, Commission formally adopts the
Regulation proposal. Common Position is adopted either by Council via Coreper, or by written
procedure
1. The Regulation is adopted simultaneously with the Common Position, to ensure
practical execution of ban, i.e., avoid that ban is announced but not immediately implemented.
• During Operational Phase - Implementation, PSC monitors effects of ban. HOMs are closely
associated. Commission informs on compliance and proposes adjustments (i.e. "holes" in the
ban) as appropriate, via comitology if provided for by Regulation.
• Repealing Common Position and Regulation are adopted by Council when appropriate.
Remarks:
-
This measure can be part of a wider Common Position including additional sanctions.
-
Simultaneity of adoption of Common Position and implementing Regulation is essential to
ensure credibility of measures and/or compliance with UNSCR's deadline.
-
For autonomous EU sanctions, verify compatibility with international law.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected Precedents:
Sierra Leone: 2000/455/CFSP, L 183/22.7.00 (diamonds)
FRY: 99/273/CFSP, L 108/27.4.99 + Regulation 900/99, L 114/1.5.99 repealed by 2111/99, L
258/5.10.99 (oil + oil products)
1 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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9e. SANCTIONS - FLIGHTS BAN
Legal basis:
Art. 15 TEU (unanimity) for Common Position
Art. 301 TEC for Regulation (QMV) with Commission proposal
Financing:
None
Procedure:
• It is decided either in implementation of UNSCR or as EU autonomous measure.
• During Crisis build-up, PSC discusses if flights ban could force targeted regime towards the
desired solution (end of repression or aggression). The Commission starts assessing the
feasibility of the ban, including an assessment of airlines' bilateral agreements if ban is not in
implementation of UNSCR.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. To speed up
the possible adoption of the Regulation, the Commission could present informal drafts of the
Regulation for discussion by the Foreign Relations Counsellors.
• During Operational Phase - formal decision to take action, Commission has formally adopted
the Regulation proposal. Common Position is approved either by Council via Coreper, or by
written procedure
1. The implementing Regulation is adopted simultaneously with the Common
Position, to ensure practical execution of ban, i.e., avoid that ban is announced but not
immediately implemented, with the same modalities as for the Common Position.
• During Operational Phase - Implementation, PSC monitors effects of ban. Commission informs
on compliance and difficulties in implementation on the ground. It proposes adjustments (i.e.
"holes" in the ban) as appropriate.
• Repealing Common Position and Regulation are adopted by Council when appropriate.
Remarks:
-
This measure can be part of a wider Common Position including additional sanctions.
-
Simultaneity of adoption of Common Position and implementing Regulation is essential to
ensure credibility of measures.
-
Compliance could be monitored by military means.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected precedents
Afghanistan: Common Position 1999/727/CFSP, L 294/16.11.99 and Regulation 337/00, L
43/16.2.00
FRY: Common Position 99/318/CFSP, L 123/13.5.99, Regulation 2151/99,
L 264/12.10.99 suspended by Regulation 607/00, L 73/22.3.00
1 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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9f. SANCTIONS - FREEZE OF ASSETS/FUNDS
Legal basis:
Art. 15 TEU (unanimity) for Common Position
Art. 301 and, if required for capital movements, art. 60 TEC for Regulation
(QMV) with Commission proposal
Financing:
None
Procedure:
• It is decided either in implementation of UNSCR or as EU autonomous measure.
• During Crisis build-up, PSC discusses if freezing assets and/or funds of State or State-related
enterprises as well as of individuals close to targeted regime could force the latter towards the
desired solution (end of repression or aggression) The Commission starts assessing the
feasibility of the freeze. HOMs are alerted since their input on targeted firms and individuals
will be crucial to ensure "fairness" of freeze.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. To speed up
the possible adoption of the Regulation, the Commission could present informal drafts of the
Regulation for discussion by Foreign Relations Counsellors.
• During Operational Phase - formal decision to take action, Commission formally adopts the
Regulation proposal. Common Position is approved either by Council via Coreper, or by written
procedure
1. The Regulation is adopted simultaneously with the Common Position, to ensure
execution of freeze by public and private operators.
• During Operational Phase - Implementation, PSC monitors effects of freeze. HOMs participate
closely. Commission informs on compliance and proposes adjustments (i.e. "holes" in the
freeze) via comitology procedure if provided for in the Regulation.
• Repealing Common Position and Regulation are adopted by Council when appropriate.
Remarks:
-
This measure can be part of a wider Common Position including additional sanctions.
-
Simultaneity of adoption of Common Position and implementing Regulation is essential to
ensure credibility of measures and/or compliance with UNSCR's deadline.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected precedents:
Afghanistan: C.P. 1999/727/CFSP, L 294/16.11.99 and Reg. 337/00, L 43/16.2.00
FRY: C.P. 99/318/CFSP, L 123/13.5.99, Reg. 1294/99, L 153/19.6.99
Burma: C.P. 2000/346/CFSP, L 122/24.5.00 and Reg. 1081/L 122/24.5.00
1 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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9g. SANCTIONS: - BAN ON INVESTMENT
Legal basis:
Art. 15 TEU (unanimity) for Common Position
Art. 301 and, if required for capital movements, art. 60 TEC, for Regulation
(QMV) with Commission proposal
Financing:
None
Procedure:
• It is decided either in implementation of UNSCR or as EU autonomous measure.
• During Crisis build-up, PSC discusses if ban on investments (existing and/or new) of State or
State-related enterprises as well as of firms and individuals close to targeted regime could force
the latter towards the desired solution (end of repression or aggression). The Commission starts
assessing the feasibility of the ban. HOMs are alerted since their input on targeted firms and
individuals will be crucial.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Common
Position that is finalised by Foreign Relations Counsellors and agreed at PSC level. To speed up
the possible adoption of the Regulation, the Commission could present informal drafts of the
Regulation for discussion by Foreign Relations Counsellors.
• During Operational Phase - formal decision to take action, Commission has formally adopted
the Regulation proposal. Common Position is approved either by Council via Coreper, or by
written procedure
1. The Regulation is adopted simultaneously with the Common Position to
ensure execution of ban by public and private operators, with the same modalities as for the
Common Position.
• During Operational Phase - Implementation, PSC monitors effects of ban. HOMs participate
closely. Commission informs on compliance and proposes adjustments (i.e. "holes" in the ban)
via comitology procedure if provided for in the Regulation.
• Repealing Common Position and Regulation are adopted by Council when appropriate.
Remarks:
-
This measure can be part of a wider Common Position including additional sanctions.
-
Simultaneity of adoption of Common Position and implementing Regulation is essential to
ensure credibility of measures and/or compliance with UNSCR's deadline.
-
Specific article on association of Associates and EFTA/EEA countries may be inserted in
Common Position. Standard Declaration of alignment applicable.
Selected precedents:
FRY: Common Position 98/374/CFSP, L 165/10.6.98, Regulation 1294/99,
L 153/19.6.99
1 If it is necessary to ensure entry into force by date either prescribed in UNSCR or by expiry of
deadline given to crisis country for compliance with EU conditions
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10. FINANCIAL ASSISTANCE
Legal basis:
CFSP emergency measures - Joint Action
Macro-financial assistance - Art. 308 (unanimity) - Council Decision
Use of existing programmes - Regulation establishing the programme
Financing:
Emergency measures - B8-014
Macro-financial assistance B0-20 or B7
Existing programmes (several)
Procedure:
Emergency measures
• The decision to provide financial assistance can be adopted throughout all phases of the crisis.
• Used for immediate and limited assistance.
• PSC examines the advisability of the measures.
• Council Secretariat prepares draft Joint Action, which is finalised by Foreign Relations
Counsellors and agreed by COREPER/Council.
Macro-financial assistance
• Suitable during the Routine phase or during the Transition period.
• PSC examines the advisability of the measures.
• The Commission consults the Economic and Financial Committee before submitting its
proposal to the Council.
• The Commission proposal is finalised by the Financial Counsellors and agreed by
COREPER/Council (ECOFIN) after the consultation of European Parliament
1
• The assistance can be in the form of loans or grants.
• The Commission manages the assistance in close consultation with the Economic and Financial
Committee.
Use of existing programmes
• The Commission informs the PSC on the measures taken and under consideration.
• Comitology procedure.
Remarks:
• In case of macro-financial assistance, the Council generally requires that the recipient has
agreed with the IMF on a macroeconomic programme.
• Co-ordination with the Member States financial aid measures essential.
Selected precedents
Montenegro: Joint Action 98/301/CFSP, L 138/9.5.98
Montenegro: Council Decision 2000/355/EC of 22.5.00/L 127/27.5.00
Kosovo: Council Decision 2000/140/EC of 14.2.00/L 47/19.2.00
1
In relation to the consultation of the European Parliament it should be noted that unless an urgency procedure is used, the
Council might have to wait for the EP opinion for several months.
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11. HUMANITARIAN AID
Legal basis:
Reg. 1257/96. Implementation by Commission (in particular ECHO) via
comitology procedure, or
Cotonou Agreement for ACP countries, or
CFSP legal instruments to support convoying of humanitarian aid
Financing:
EC budget lines provided for Reg. 1257/96
European Development Fund (EDF) in case of ACP countries
CFSP budget lines to support convoying of humanitarian aid
Procedure:
• The need for supplying humanitarian aid can intervene in all phases of the crisis.
• During crisis build-up, especially at early-warning phase, PSC asks Commission for information
on humanitarian aid operations either planned, decided or in the course of implementation in
crisis country. Special attention is given to co-ordination of international efforts, i.e., with UN.
• Commission keeps PSC informed throughout crisis, giving particular consideration to possible
support needed for distribution and protection of convoys. This may require Council Decisions,
i.e., Joint Actions, at later phases of crisis.
• During Pre-decisional planning/definition of action, if so required, Council Secretariat prepares
draft Joint Action, in close association with Commission services, on supporting the convoying
of EU/international aid (for example, for the identification, restoration and preservation of
priority routes). The draft Joint Action is finalised by Foreign Relations Counsellors and agreed
by PSC. The Joint Action can be financed either from CFSP budget lines (chapter B8) or by
MS' contributions or by a combination of both. Financing modalities will be specified in the
financial statement, to be provided by the Commission and attached to the draft Joint Action.
• During Operational Phase - formal decision to take action, Joint Action or Decision
implementing Common Position is approved either by Council via Coreper or by written
procedure, depending on urgency.
• During Operational Phase - Implementation, PSC monitors implementation with close
involvement by Commission. HOMs are closely associated.
• After end of military operation and during transitional phase, measures are likely to continue.
PSC continues to monitor and HOMs continue to be closely associated.
Remarks:
-
Urgency procedure at art. 17.3 of Reg. 1257/96.
Selected precedents:
Convoying of humanitarian aid in Bosnia Herzegovina
Council Decision 93/603/CFSP, L 286/20.11.93 as amended.
N.B.: Decision should be "Joint Action".
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12. SUPPORT TO ELECTORAL PROCESS
Legal basis:
Regulations 975/99 and 976/99 on laying down the requirements for the
implementation of Community operations in relation to developing and
consolidating democracy and the rule of law and to that of respecting human
rights and fundamental freedoms
-
Comitology
Joint Action if Community has not acted (Article 14)
Financing:
Community financing based on Regulations 975/99 and 976/99
Procedure:
The decision to provide support for the supervision of an electoral process is likely to be taken as
part of EU's contribution to stability and conflict prevention and hence used during the Routine
phase or during the Transition period after the operation has been terminated.
• EU can act out of its own initiative or at the request of an outside body (e.g. UN, OSCE).
• The Commission gives concrete indications to the PSC on the action it intends to pursue and
keeps the PSC regularly informed.
• The Commission shall adopt the measures under the comitology procedure.
1
• If CFSP measures are envisaged, Council Secretariat prepares draft Joint Action, in close
association with Commission services. The draft Joint Action is finalised by Foreign Relations
Counsellors and agreed by PSC. The Joint Action can be financed either from CFSP budget
lines (chapter B8) or by MS' contributions or by a combination of both. Financing modalities
will be specified in the financial statement, to be provided by the Commission and attached to
the draft Joint Action.
Remarks:
− The comitology procedure is used for decisions on operations for which financing exceeds EUR
1 mio or any modification so such operations leading to an increase of more than 20 % in the
sum initially agreed as well as for programme
s intended to provide a coherent framework for
action where the scale and complexity of the needs identified are such that they seem likely to
continue.
− The Commission may finance emergency measures up to a maximum of EUR 2 mio. In these
cases the Commission shall act after consulting the Member States.
− Co-ordination with the NGOs of the MSs, the EP and national parliaments essential.
− Gradual decline in use of CFSP legal instruments after entry into force of Regulations 975/99
and 976/99.
P.M. 'Co-ordinating mechanism' database.
1
If the measures are not in accordance with the opinion of the committee the Commission shall submit to the Council a
proposal relating to the measures to be taken. The Council must act by a qualified majority before three months from the
date of referral to the Council or the measures shall be adopted by the Commission.
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13. DISPATCH HUMAN RIGHTS OBSERVERS
Legal basis:
Based on regulations 975/99 and 976/99 on laying down the requirements for
the implementation of Community operations in relation to developing and
consolidating democracy and the rule of law and to that of respecting human
rights and fundamental freedoms
-
Comitology
Joint Action if Community has not acted.
Financing:
Community financing based on Regulations 975/99 and 976/99
Procedure:
• The decision to dispatch Human Rights Observers can be taken throughout all phases of the
crisis.
• EU can act out of its own initiative or at the request of an outside body (e.g. UN, OSCE).
• The Commission gives concrete indications to the PSC on the action it intends to pursue and
keeps the PSC regularly informed.
• The Commission shall adopt the measures under the comitology procedure.
1
• If CFSP measures are envisaged, Council Secretariat prepares draft Joint Action, in close
association with Commission services. The draft Joint Action is finalised by Foreign Relations
Counsellors and agreed by PSC. The Joint Action can be financed either from CFSP budget
lines (chapter B8) or by MS' contributions or by a combination of both. Financing modalities
will be specified in the financial statement, to be provided by the Commission and attached to
the draft Joint Action.
Remarks:
− The comitology procedure is used for decisions on operations for which financing exceeds EUR
1 mio or any modification so such operations leading to an increase of more than 20 % in the
sum initially agreed as well as for programmes intended to provide a coherent framework for
action where the scale and complexity of the needs identified are such that they seem likely to
continue.
− The Commission may finance emergency measures up to a maximum of EUR 2 mio. In these
cases the Commission shall act after consulting the Member States.
− Co-ordination with the NGOs of the MSs, the EP and national parliaments essential.
− Gradual decline in use of CFSP legal instruments after entry into force of Regulations 975/99
and 976/99.
P.M. 'Co-ordinating mechanism' database
1
If the measures are not in accordance with the opinion of the committee the Commission shall submit to the Council a
proposal relating to the measures to be taken. The Council must act by a qualified majority before three months from the
date of referral to the Council or the measures shall be adopted by the Commission.
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14. DISPATCH MISSION TO STRENGTHEN RULE OF LAW
Legal basis:
Based on regulations 975/99 and 976/99 on laying down the requirements for
the implementation of Community operations in relation to developing and
consolidating democracy and the rule of law and to that of respecting human
rights and fundamental freedoms
-
Comitology
Joint Action if Community has not acted.
Financing:
Community financing based on Regulations 975/99 and 976/99
Procedure:
• The decision to dispatch mission to strengthen rule of law can be taken throughout all phases of
the crisis.
• EU can act out of its own initiative or at the request of an outside body (e.g. UN, OSCE).
• The Commission gives concrete indications to the PSC on the action it intends to pursue and
keeps the PSC regularly informed.
• The Commission shall adopt the measures under the comitology procedure.
1
Remarks:
− The comitology procedure is used for decisions on operations for which financing exceeds EUR
1 mio or any modification so such operations leading to an increase of more than 20 % in the
sum initially agreed as well as for programmes intended to provide a coherent framework for
action where the scale and complexity of the needs identified are such that they seem likely to
continue.
− The Commission may finance emergency measures up to a maximum of EUR 2 mio. In these
cases the Commission shall act after consulting the Member States.
− Co-ordination with the NGOs of the MSs, the EP and national parliaments essential.
− Gradual decline in use of CFSP legal instruments after entry into force of Regulations 975/99
and 976/99.
1
If the measures are not in accordance with the opinion of the committee the Commission shall submit to the Council a
proposal relating to the measures to be taken. The Council must act by a qualified majority before three months from the
date of referral to the Council or the measures shall be adopted by the Commission.
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15. DISPATCH POLICE FORCES (to secure law and order, to train local police, to
monitor local police)
Legal basis:
Joint Action based on Article 14 TEU (Unanimity, except if adopted in
implementation of a Common Strategy)
Regulations 975/99 and 976/99 for training operations (Commission in the lead
with a comitology procedure)
Financing:
CFSP budget lines for operations of limited importance (financial statement
required from Commission), otherwise MS direct contribution. EC budget for
operations undertaken under Commission responsibility (budget line
corresponding to the legal instrument selected).
Procedure:
• During Crisis-build-up: PSC, with input from the "Co-ordinating Mechanism", JHA Working
Groups (e.g. Police Co-operation, or Article 36 Committee) and the Committee for Civilian
aspects of Crisis management discusses implications of such dispatch in the light of the police
available; the Commission is fully associated to the exercise and provides information on
possible actions it can take autonomously.
• During Pre-decisional planning/definition of action: Member States (in all likelihood within the
Article 36 Committee) make commitments on the number of police they can provide. Council
Secretariat prepares draft Joint Action which is finalised by Foreign Relations Counsellors and
agreed at PSC level. Commission prepares financial statement if funding in through CFSP
budget. The Commission informs the PSC on the measures it envisages to take under its
responsibility.
• During Operational Phase-formal decision to take action: Council, via Coreper or by written
procedure) adopts Joint Action. It appoints, if needed, a "Head of the Operation".
• During Operational Phase - implementation: Council (PSC) monitors the situation by receiving
reports by the Head of Operation, HOMs, Commission, Joint Sitcen.
• During the Transition period: Need to amend or revise Joint Action in the light of evolution of
the situation.
Remarks:
- Joint Action must contain detailed reporting and supervisory provisions.
- Need to define a precise mandate for operation.
- Need to agree with receiving country on status of operation and of personnel to be sent.
- Need for detailed information from the crisis theatre, in particular on the conditions of local
police, and on the possible effect on the local population of the dispatch of foreign police is
paramount.
- Strong co-ordination with the military element of the operation (when there is one) to secure law
and order.
- Contacts with lead-agency (if EU operation is not autonomous) or in any case with organisations
active on the ground paramount throughout the crisis.
- PM: Co-ordinating Mechanism Data base.
Selected precedents
Albania (MAPE): Joint Action 99/189/CFSP, L 63/12.3.99 and Council Decision 99/190/CFSP, L
63/12.3.99 as amended.
N.B.: ex art. J.4.2. no longer suitable (e.g. for Council Decision above)
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16. DEMINING ASSISTANCE (via other International Organisations or by the EU
autonomously)
Legal basis:
Regulations 975/99 and 976/99 or technical assistance regulations (MEDA,
TACIS etc.) (Commission in the lead with a comitology procedure), pending the
adoption of a general demining EC Regulation.
Article 14 TEU for "military" demining (unanimity).
Financing:
EC budget (funds allocated to the programme(s) in question)
CFSP budget line for operations based on Article 14 TEU.
Procedure:
• Although demining assistance may be provided throughout all phases of the crisis, it is most
likely to occur during the transition period.
• The Commission informs the PSC on the measures it envisages to take under its responsibility
and, once the measures have been taken, provides regular reports to PSC and Council.
• Council Secretariat prepares draft Joint Action which is finalised by Foreign Relations
Counsellors and agreed at PSC level.
Remarks:
-
Member States should co-ordinate in the appropriate Working Group and the CivCom
exchange information about their bilateral assistance programmes.
-
Co-ordination with other International organisations involved is paramount.
-
PM. "Co-ordinating Mechanism" co-ordinates with other international agencies, and receives
information from databases on mine action programmes (i.e. UN Mine action service).
-
Gradual decline in use of CFSP legal instruments after entry into force of Regulations 975/99
and 976/99.
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17.
DISPATCH BORDER CONTROL TEAM1
Legal basis: -Art. 14 TEU for Joint Action, art. 15 TEU for Common Position: unanimity; if in
implementation of Common Strategies or in case of Decision implementing
Common Position or Joint Action: QMV; or
- Regs 975/99 & 976/99, TACIS, PHARE, Obnova, MEDA, etc.: Implementation by
Commission via comitology
Financing: From CFSP budget lines (chapter B8) (financial statement required from
Commission), or under budget lines designated for above Regulations
Procedure:
• This measure aims at preventing illegal activities at borders where such activities contribute to
escalation of potential conflict. It is likely to be used during crisis build-up, i.e., if EU considers
that escalation of potential conflict can be avoided through appropriate border-monitoring, or
after ending military operation and during transitional phase, if EU considers border-monitoring
as contributing to stabilisation. PSC examines merit of proposed measure in close association
with Commission, which keeps PSC informed of its analysis, plans and actions under
Community programmes (Regs 975 &976/99, TACIS, PHARE, etc.). PSC examines suitable
composition of team, in particular the appointment of its Head and the presence of relevant
experts, i.e., from the Commission, the Member States, military and/or police, involved IOs, etc.
HOMs are closely associated and provide input on needs.
• Council Secretariat prepares draft CFSP instrument (Joint Action or Decision implementing
Common Position) on team's tasks, composition, financing, reporting modalities. Draft,
including related financial statement on financing of team, is discussed by Foreign Relations
Counsellors. SCIFA (Strategic Committee on Immigration Frontiers and Asylum), the Frontiers
and CIREFI Working Parties are kept informed and are asked to provide technical expertise in
identifying needs and human resources, i.e., experts from Member States. The draft CFSP
instrument is agreed by PSC. If there is orientation towards using 1st pillar instruments,
Commission informs PSC of proceedings.
• Joint Action or Decision implementing Common Position is submitted to Coreper/Council for
approval, if urgent, by written procedure. In case of EC instruments, Commission ensures
timeliness of relevant decisions via comitology, if necessary via urgency procedures provided
for in specific Regulations.
• PSC receives assessments from team. HOMs continue to be closely associated.
Remarks:
-
EU may act autonomously or contribute to lead IO organising monitoring activity, e.g., UN,
OSCE
-
Strong need to co-ordinate EC and CFSP instruments at all phases
-
Controversial financing under EC instruments other than Regs 975/99-976/99
-
This measure may be in implementation of an all-encompassing Common Position
Selected precedents:
Georgia: Joint Action 2000/456/CFSP, L 183/22.7.00
1 Refer to Fiches on "Control of Migration Flows Refugees" and "Sanctions - Visa/Visits Ban,
Diplomatic Staff Reduction"
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18.
CONTROL OF MIGRATION FLOWS, REFUGEES1
Legal basis: EC (ex JHA): Art. 62 and 63 TEC for new Community measures (unanimity,
Member States share the right of initiative with the Community for 5 years after
entry into force of the Amsterdam Treaty) as well as for developing existing
Schengen acquis.
Art. 64.2 TEC for emergency measures (QMV with Commission proposal). N.B.:
crucial instrument in case of urgent situation.
CFSP: On items where there is no Community Competence, art. 14 for Joint Action
art. 15 for Common Position: unanimity; if in implementation of Common Strategies
or in case of Decision implementing Common Position or Joint Action: QMV
Financing : In case of CFSP instruments, financial statement required from Commission.
Procedure:
• This measure may be needed at all phases of crisis.
• PSC examines feasibility of proposed measures in close association with the Commission. It
seeks the advice of SCIFA (Strategic Committee on Immigration, Frontiers and Asylum) and
High level working party on Asylum and Migration, as well as subordinate bodies, such as
Working Party on Migration and Expulsion, Frontiers Group and CIREFI (early warning
mechanism). HOMs are closely associated and provide input on needs. Co-ordination with
involved IOs is crucial.
• If financing of measures is required, on the CFSP budget line Council Secretariat prepares draft
CFSP instrument (Joint Action or Decision implementing Common Position), including related
financial statement, which are discussed by Foreign Relations Counsellors. SCIFA and other
involved JHA instances are kept informed. Joint Action or Decision implementing Common
Position is agreed by PSC. Otherwise standard Community procedures apply.
• Joint Action or Decision implementing Common Position is submitted to Coreper/Council for
approval, if urgent, by written procedure.
• PSC/Commission monitor implementation and examine possible modifications of EU/EC
action. HOMs continue to be closely associated.
Remarks:
-
EU may act autonomously or contribute to lead IO organising control activity, e.g., UN,
OSCE
1 Refer to Fiches on "Dispatch Border Control team" and "Sanctions - Visa/Visits Ban, Diplomatic
Staff Reduction"
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-
N.B.: EC instruments (ex JHA) which may be used: Reg.574/19991 determining third
countries whose nationals must be in possession of visas when crossing EU external borders
(QMV and Commission proposal); Schengen Convention, art.2 (and its application
procedure for art. 2.2 of 20.12.1995) (possibility for individual Member States to reinstate
checks at internal borders, e.g. for German/Austrian border in case of influx from Balkans);
Council Resolution 11.5.1999 on early warning system for transmission of information on
illegal immigration and facilitation networks (doc. 7965/99) (via CIREFI and in pre-crisis
stage); Council Recommendations of 28.5.1998 and 29.4.1999 and Decision of 27.3.20002
on detection of false/falsified documents (during crisis build-up); Odysseus programme3 for
training/exchange in fields of asylum, immigration and crossing of external borders (crisis
build-up).
-
Need for reliable assessment from crisis theatre is crucial. Possibly, need for satellite images
(acquisition via CFSP instrument and financing).
PM. Refugee Fund to be adopted shortly.
1
OJ L72 of 18.3.99
2 OJs C 189 of 17.6.98 and C 140 of 20.5.99 and L 81 of 1.4.2000
3
98/244/JHA, OJ L 99,of 31.3.98
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19. EVACUATION OPERATIONS INCLUDING SEARCH & RESCUE
Legal basis: art. 14 TEU for Joint Action (unanimity)
1985-1991 Guidelines on protection of Member States nationals in case of political
crisis or natural catastrophe
Voluntary co-operation by Member States via lead nation
N.B. Art 20 TEU and art. 20 TEC
Financing: CFSP budget lines for Joint Action (except for expenditure arising from operations
having military or defence implications) (financial statement required from
Commission, or
Member States (see Art. 28.3 TEU). Financial statement required for Joint Action
Procedure
• During Crisis build-up, PSC monitors developments in crisis spot. Continuous HOMs' reporting
essential.
• During Pre-decisional planning/definition of action, Council Secretariat prepares draft Joint
Action which is finalised by Foreign Relations Counsellors and agreed at PSC level. Text
includes financial provisions, i.e., which parts of the evacuation operation, if any, are financed
from CFSP budget lines and which ones are charged to Member States budgets (GNP scale
unless Council unanimoulsy decides otherwise). Draft Joint Action includes mandate to "lead
nation(s)", specifies evacuation criteria (i.e., humanitarian basis including non EU-nationals),
indicates contribution(s) by military means and from civil protection resources for possible
search and rescue operations. The "Civil Protection" Working Group may be called to
contribute its expertise. Co-operation with Commission essential for civil protection part,
including possibility of Community financing for parts of the operation. Commission provides
Financial Statement related to Joint Action. HOMs' role essential.
• During Operational Phase - formal decision to take action, Joint Action is adopted either by
Council via Coreper or by written procedure.
• During Operational Phase - Implementation, PSC monitors implementation via HOMs who are
directly involved with the operation.
Remarks:
-
Association of Associates and EFTA/EEA countries to be assessed on a case-by-case basis
for possible participation
-
Routine consular protection available to EU citizens on basis of Decision 95/553/EC (OJ L
314 of 28.12.95, P.73) in particular under "relief and repatriation of distressed citizens of the
Union"
-
Draft Guidelines on "consular protection of EU citizens in emergency situations in third
countries" under discussion at COCON (see Coreu PAR/0267/00 on "Dispositif mis en place
pour sécurité des ressortissants à l'étranger".
Selected Precedents
N.B.: ex art. J.4.2 no longer suitable (e.g. as in Council Decision of 27.6.96, doc. 8386/96)
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ANNEX II
CRISIS MANAGEMENT PROCEDURES
THE FINANCING OF MILITARY OPERATIONS
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OBJECTIVES
1.
The aim is to enhance the ability of the EU to act on the international stage by equipping it
with a military crisis management capability. The EU may use the Berlin Plus arrangements,
drawing on NATO assets to carry out operations, or act independently of NATO. Both
possibilities are described below.
2.
EU financing arrangements should meet the following objectives:
-
provide quick, automatic, flexible, and adequate financing in a transparent way for the
preparation and deployment of a possibly substantial European military force;
-
ensure costs are spread fairly among Member States;
-
ensure spending is accountable and provides value for money.
ARRANGEMENTS FOR CFSP EXPENDITURE
Expenditure on military operations
3.
Under the present terms of Article 28 of the TEU, the funding of operations having military or
defence implications on the Community budget is specifically excluded. Expenditure arising
from operations having military or defence implications is funded by Member States on a
GNP scale, or under other arrangements the Council may agree by unanimity. Those who
constructively abstain from specific operations with military implications are not obliged to
contribute to the funding of those operations.
4.
Under current treaty provisions :
-
Military operations (hitherto assumed to be conducted through the WEU) would
normally be funded by Member States – less constructive abstainers (potentially a larger
number of member States than those participating in the operation) - on a GNP scale.
There is no indication in the Treaty of how this scale could be applied. Crucially, it
makes no distinction between common costs arising out of common or joint activity
(e.g. HQ costs) and costs of national military activity (e.g. ammunition expended by
national forces). The latter are notoriously difficult to define and compare (not least
because of divergent national accounting practice).
-
The Council could decide unanimously on another means of funding (but not
Community budget funding which is excluded).
- Costs of the permanent Military staff, and perhaps of exercises could be argued to be
administrative costs for the Council Secretariat and would therefore come from the
Council's administrative budget.
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FUTURE ARRANGEMENTS
5.
The Council wants the permanent ESDP arrangements in place by early 2001 with some
operational capability in place by then and the full headline goal capability in place by 2003.
Treaty amendment to cover changes in funding arrangements, even if desirable, would not be
possible in that timeframe. So initially the existing provisions will apply.
Military Operational Expenditure
6.
The existing provisions for the funding of operations with military or defence implications are
untested. Operational costs of new military operations are unforeseeable, and likely to be of a
different order of magnitude to the current CFSP budgetary allocation. The TEU provides
that, unless the Council decides otherwise by unanimity, the cost of operations with military
or defence implications would normally be shared amongst the Member States – less
constructive abstainers - on a GNP scale.
7.
Applying this arrangement in the EU would be simple once it has been established how to
define military costs and whether to distinguish between total costs or simply common costs
(though the Treaty makes no distinction). NATO and WEU practice is to distinguish between
common costs and costs of national military contributions, with the former being divided
between member States and the latter being met directly by the Member State concerned. It is
likely that the Council would wish to follow this approach and not to seek to apportion the
total cost of an operation.
8.
To proceed on this basis would require a definition of common costs. These might include
the extra costs deriving from an operation for the operational headquarters, the EMS and the
General Secretariat. These categories of costs might include costs for premises, supplies,
additional equipment, additional personnel costs, extra communications provision and
transport (of HQ staff, Brussels staff, possibly charter of civilian air transports assets).
Proposals
9.
There will be first of all a requirement to establish a small contingency fund so that
operational start-up costs (e.g. costs of reconnaissance missions) could be met immediately
without lengthy negotiation. This need may be best served by the constitution of an ad hoc
fund through contributions from all Member States and managed by the Council Secretariat.
The fund, having a revolving character, would need to ensure the immediate availability of
financial resources. Flexibility in the review and adjustment of the budget and compliance
with appropriate standards of audit and financial control must also be ensured.
10. For each individual military operation, the common costs, once defined, could also be covered
by an ad hoc fund constituted by Member States on the basis of a repartition key (GNP scale
or otherwise) less the constructive abstainers. The same ad hoc rules for the management of
such costs would apply, as well as compliance with the same standards of audit and financial
control as for the contingency fund.
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11. These funds could be established by a Joint Action, which would provide for their
constitution, the repartition key among Member States (GNP scale or otherwise), as well as
the rules and mechanisms for their management.
12. Given the nature of the expenses to be covered, it is essential that Member States can ensure
the actual and rapid disbursement of their contributions to these funds. An assessment of the
difficulties and duration in time of national procedures should be made by each delegation.
A possible solution which one could resort to in case of difficulties would consist in
"transferring" to the EU the financial resources made available by Member States in their
national budgets for equivalent funds existing in WEU.
Procedures
13. Irrespective of the method chosen to apportion costs it will be necessary to have within the
EMS/General Secretariat the capacity, together with Member States, to estimate in advance
the likely common costs of an operation, or at least its early phases. These estimates would
accompany the material put to the PSC and the Council setting our political and military
options for crisis response. This task is likely to require a small number of dedicated staff,
who would prepare estimates. Arrangements for the speedy disbursement of funds will also
be necessary and may create a need to deploy administrators with the operational
headquarters. Finally, it will also be necessary to have the capacity to generate final accounts
and have mechanisms in place to settle these and to top-up as necessary the operational start-
up fund envisaged in para 10.
EU Led operations using NATO assets.
14. As part of the Berlin plus arrangements with NATO (dealing with the use by the EU of
NATO assets) it will be necessary to reach agreement on how to pay for NATO assets used by
the EU. This aspect will need to be reflected in the estimating phase as well as in the
preparation of the final account.
Financing of logistical support to humanitarian assistance.
15. It is recalled that funding provided for under Council Regulation no. 1257/96 concerning
humanitarian aid can be used to help finance the transport of aid and efforts to ensure that
such aid is accessible to those for whom it is intended, by all logistical means available, and
by protecting humanitarian goods and personnel.
______________________
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ANNEX III
CRISIS MANAGEMENT PROCEDURES
SUGGESTION FOR A POSSIBLE AMENDMENT TO THE
COUNCIL'S RULES OF PROCEDURE
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In case of a crisis, very urgent action and rapid decision taking by the Council might be required.
Article 3 of the Council's Rules of Procedure provides for a number of deadlines
1 which might be
difficult or impossible to respect in case of urgency.
However, Article 22(2) of the TEU (CFSP) provides that: "
In cases requiring a rapid decision, the
Presidency, of its own motion, or at the request of the Commission or a Member State, shall
convene an extraordinary Council meeting within forty-eight hours or, in an emergency, within a
shorter period.".
This provision allows not only to convene a Council meeting within very short deadlines, but also
allows Council decisions to be taken at this meeting ("
In cases requiring a rapid decision (…)").
Being a Treaty provision, Article 22(2) permits to derogate from the deadlines provided for in
Article 3 of the Council's Rules of procedure.
Article 3 of the Council's Rules of Procedure does not mention Article 22(2) TEU. However, a
declaration (c) relating to Articles 1 and 3 of the Council's Rules of Procedure refers to Article
22(2) TEU. It reads: "
Without prejudice to Article 22(2) of the Treaty on European Union, which
specifies that an extraordinary Council meeting may be convened at very short notice in cases
requiring a rapid decision, the Council is aware of the need for matters relating to the common
foreign and security policy to be dealt with swiftly and efficiently. The arrangements in Article 3
shall not prevent this need from being met."
1
Provisional Council agenda to be sent 14 days in advance of meeting to Council members and
Commission (paragraph 1); request for inclusion on agenda and documents should be received by General
Secretariat 16 days before meeting (paragraph 2); legislative items (EC or JHA) cannot be placed on agenda
if 6 weeks between sending of document and meeting have not elapsed (paragraph 3); only those items for
which documents have been sent to Council members and Commission 14 days in advance may be placed on
agenda (paragraph 4); withdrawal from agenda of legislative items for which Coreper has not completed its
examination by the end of the week preceding the week prior to a Council meeting (paragraph 6, second
subparagraph).
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This declaration means that in general, and apart from cases where an extraordinary meeting is
convened, CSFP matters need to be dealt with "
swiftly and efficiently" and that Article 3 deadlines
shall not prevent that general need from being met. It also implies that when Article 22(2) TEU is
applied, Article 3 deadlines will automatically be derogated from.
If considered useful, this could be spelled out clearly in Article 3 by adding a new paragraph 10
which would read:
Where a crisis requires the rapid adoption of an urgent decision, the Presidency,
of its own motion, or at the request of the Commission or a Member State, shall convene an
extraordinary Council meeting within 48 hours or, in an emergency, within a shorter period. In
such a case, the deadlines provided for in the present Article shall not apply."
PM. Possible amendment of the Council's Rules of Procedure in relation to the PSC chairmanship
by the SG/HR.
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ANNEX IV
CRISIS MANAGEMENT PROCEDURES
____________
SECRETARY GENERAL / HIGH REPRESENTATIVE'S
PAPER ON
THE EU SITUATION CENTRE
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The EU Situation Centre (SITCEN)
1. A single Situation Centre gathers, assesses and provides information and evaluations of a
civilian and military nature covering all aspects of EU crisis management.
2. The SITCEN has 5 main functions: situation monitoring, early warning, situation assessment,
provision of facilities for any Crisis Task Force and acting as a point of operational contact
for the SG/HR, as well as for similar Situation Centres/Crisis Cells.
3. The SITCEN is in the Council Secretariat and under the authority of the SG/HR. It is a joint
facility manned and run by the Policy Unit and the Military Staff, with a joint Policy
Unit/Military Staff leadership responsible for the efficient running of the SITCEN. Its product
is for the SG/HR, the relevant services of the Council Secretariat and the competent Council
bodies for crisis management (in particular the PSC and the EUMC), as well as any Crisis
Task Force which might be set up.
4. The protection of classified information will be assured. Military intelligence intended for the
SITCEN will go through the Intelligence Division of the Military Staff, as will civil
intelligence through the points of contact in the Policy Unit. The SITCEN should also have a
direct link with the Satellite Centre in Torrejon.
5. The SITCEN will be the focal point in the EU for EU Member States’ similar Situation
Centres/Crisis Cells, the Commission’s Crisis Co-ordination Unit, SITCENs of relevant
international organisations (UN, OSCE, NATO etc.) as well as for SITCENs in relevant third
countries.
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6. In time of routine the SITCEN, operating on a permanent basis, will continuously monitor
international developments, provide early warning, receive and evaluate information and
disseminate information and evaluations to concerned users, as well as act as a point of
operational contact for the SG/HR.
7. In time of crisis the Centre will continue the above-mentioned functions and step up the
collection, processing and reporting of situation information. In particular, the SITCEN will
produce comprehensive and timely situation reports and assessments, especially to the SG/HR
and the competent bodies for crisis management (in particular the PSC and the EUMC). The
SG/HR may decide to reinforce the Centre to enable it to meet specific requirements
according to the situation. In addition, the SITCEN will provide facilities, information and
evaluations to one or more Crisis Task Forces at a time.
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