Appendix 2

EU Arms Initiatives

Elizabeth Clegg

Published in Towards implementation of the Southern African Regional Action Programme on Light Arms and Illicit trafficking

8-9 September 1999
Pretoria, South Africa

Seminar report

edited by Andrew McLean and Elizabeth Clegg

EU ARMS INITIATIVES


Co-operation on arms amongst the fifteen European Member States has increased significantly in recent years. It is important to note that Article 223 of Treaty of Rome (which established the (then) European Economic Community in 1957) still has a great deal of currency today. This means that issues relating to the production, transfer, control etc. of arms falls within the scope of the Member States alone. Therefore, whilst the European Commission can initiate legislation on a range of issues, anything relating to arms is dealt within the framework of the Council of Ministers –the Member States’ forum.

The EU Programme on illicit trafficking

Recent co-operation on arms issues began in 1997 with the agreement under the Dutch Presidency of the EU Programme for preventing and combating illicit trafficking in conventional arms. Essentially a framework for action, the EU Programme mandates the member states to take action in a three main areas. In short, Member States have agreed to:
  1. strengthen their collective efforts to prevent and combat the illicit trafficking of arms from their territories through co-ordination and co-operation amongst intelligence, customs and law enforcement agencies and the exchange of information on illicit trafficking in arms;

  2. provide assistance to affected countries through building the capacity of national police, customs and immigration authorities, and by promoting regional and national co-operation on the trafficking of arms;

  3. establish measures to reduce the numbers of arms in circulation through weapons collection, buy-back and destruction programmes.
The most important development under the EU Programme to date has been the development of a Southern African Action Programme on Light Arms and Illicit Trafficking at a seminar of EU and SADC officials in May 1998 hosted by the Institute for Security Studies and Saferworld. The Action Programme incorporates a comprehensive and regional approach to the problem of illicit trafficking, mapping out a range of activities which could be undertaken by SADC countries to combat illicit trafficking in arms and highlighting areas where the EU could lend support and assistance. The Action Programme was endorsed by EU and SADC Foreign Ministers at their Ministerial meeting of November 1998. A second consultation –with the aim of identifying practical ways forward for the EU and SADC in implementing the Action Programme –is being planned by ISS and Saferworld in September 1999.

The EU Code of Conduct on arms exports

In June 1998, the EU Member States agreed an EU Code of Conduct on arms exports, marking a new phase in co-operation on arms export policy amongst EU states. The Code of Conduct built upon the eight criteria on conventional arms exports which had been agreed in 1991 and 1992. Thus, the EU Code sets out guidelines of varying detail, setting out those concerns –relating to the human rights record of the recipient and its internal and external situation –which should be factored into export licensing decisions.

The Code also incorporates a mechanism whereby Member States inform each other if they issue an export licence denial. Once a denial has been issued, if a Member State wishes to take up such a licence, they must first consult with the Member State which issued the denial. The Code also incorporates an annual review process whereby Member States must present a report on their arms exports and implementation of the report for discussion at an annual meeting. This will, in turn, result in the production of a ‘Consolidated Report’ on the EU Code. The first Annual Review process is to be undertaken in the second half of 1999, under the Finnish Presidency of the EU.

Finally, the EU Code also contains a commitment by the Member States to “use their best endeavours to encourage other arms exporting states to subscribe to the principles of the Code of Conduct”. The EU Associated Countries of Central and Eastern Europe have already signed up to the principles of the Code. It is likely that, over time, the EU will seek to introduce the idea of the EU Code into other regional and international fora in which it participates.

The EU Joint Action on small arms

In December 1998 the EU Member States agreed a Joint Action on the European Union’s contribution to combating the destabilising accumulation and spread of small arms and light weapons. This Joint Action – an initiative of the German Presidency –provides a comprehensive programme for EU action in three main ways:
  1. preventive measures which seek to limit those actions which could contribute to further destabilising accumulations of small arms e.g. establishing and maintaining national inventories of small arms;

  2. reactive measures which seek to help reduce existing accumulations of small arms e.g. effective removal of surplus small arms including safe storage and quick and effective destruction;

  3. assistance measures which make a “direct and indentifiable contribution” to achieving i) and ii).
The EU have agreed that the UNDP project on Disarmament-for-Development in Albania is one possible starting point for implementation of the Joint Action. This “Gramsh Project” (named after the suburb of Tirana where it is being piloted) has established a programme of development of the social infrastructure of the area (hospitals, schools etc.) alongside a programme of encouraging voluntary weapons surrender by the local community.

The EU Member States are also working to encourage partner countries to “sign up” to the objectives of the Joint Action. Thus far, the Cambodian government have declared their willingness to engage with the EU through the Joint Action, and the EU are currently exploring possibilities for supporting the weapons collection and destruction programmes which have been initiated by the Cambodian government.

The EU Development Council Resolution on small arms

In May 1999, the Development section of the EU Council of Ministers agreed a Resolution on combating the excessive and uncontrolled accumulation and spread of small arms and light weapons as part of the EU’s emergency aid, reconstruction and development programmes. The Resolution builds upon the commitments already made by EU Member States and asserts that “an integrated and comprehensive approach is required by the international community which adequately addresses the complexity of the small arms problem and its political, economic and social causes and takes account of the aspect of security as a prerequisite for development.”

Measures identified as deserving particular attention include efforts: to encourage countries to eliminate surplus weapons; to combat illicit trafficking; to ensure effective demobilisation; and to challenge cultures of violence. The Resolution also points to the SADC and ECOWAS regions as being appropriate for the EU to engage with since significant progress has already been made on frameworks for combating small arms proliferation. It also stresses the importance of continued consultation and co-operation with all relevant agencies at global, regional and national, as well as community levels.

The significance of this Council Resolution is that it constitutes a critical acknowledgement by EU Development Co-operation Ministries that it is appropriate to use development aid for security assistance. Efforts to tackle the proliferation of small arms should now be at the heart of EU development assistance programmes. Indeed, since the national Development Co-operation Ministries are usually the main holders of funds for overseas assistance, agreement on this Resolution may mean that increased funds will now be available for tackling the problems and effects of small arms.

EU Programme for Preventing and Combating Illicit Trafficking in Conventional Arms


The Council of the European Union,

convinced that peace and security are inextricably interlinked with economic development and reconstruction

recognising that the availability and accumulation of massive quantities of conventional arms and especially their illicit trafficking, often associated with destabilising activities, are disturbing and dangerous phenomena, particularly for the internal situation of affected states and for the respect of human rights,

stressing the need for effective national control measures on the transfer of conventional arms,

recognising also the curbing of illicit trafficking of conventional arms as an important contribution to the relaxation of tension and to reconciliation processes,

desirous to take concrete measures to curb the illicit traffic and use of conventional arms, as called for in UNGA resolution 51/45 F, to take practical disarmament measures, as called for in UNGA resolution 51/45 N, and to provide assistance to states for curbing the illicit traffic in small arms and collecting them, as called for in UNGA resolution 51/45 L, all of 10 December 1996,

recalling the EU Member States’ common reply to UNGA resolution 50/70 B of 12 December 1995,

has adopted the following:
  1. EU Member States will strengthen their collective efforts to prevent and combat illicit trafficking of arms1, particularly of small arms, on and through their territories. In particular, they will vigilantly discharge their nstional responsibility to ensure the effective implementation of obligations resulting from Conventions and Joint Actions adopted in this field. Furthermore, consideration could be given to, inter alia:

    – fostering enhanced co-operation and co-ordination, whilst respecting national legislation and policies, amongst intelligence, customs and other law enforcement agencies, both at national and international level, in order to ensure adequate (customs) checks, as well as prompt investigation and effective prosecution in cases of illicit trafficking of arms;

    – improving the exchange of information and data on illicit trafficking of arms, e.g. through the use of international data bases and risk analyses.

  2. The EC and its Member States, each within the limits of its respective competence, will take concerted action to assist other countries in preventing and combating illicit trafficking of arms, particularly of small arms. Specifically, this assistance could aim to:

    – set up or strengthen, as appropriate, an adequate body of laws and administrative measures for regulating and monitoring effectively transfers of arms;

    – adopt strict measures, and provide an adequate number of appropriately trained police and customs officials, for the enforcement of national arms export control legislation;

    – set up (sub) regional points of contact to report illicit trafficking of arms;

    – set up national commissions against illicit trafficking of arms;

    – prevent corruption or bribery in connection with illicit trafficking of arms;

    – promote (sub) regional and national co-operation amongst police, customs authorities and intelligence services in this field;

    – promote the use of relevant existing international data bases.

  3. The EC and its Member States, each within the limits of its respective competence, will take concerted action to assist affected countries, especially in post-conflict situations, and situations where a minimal degree of security and stability exists, in suppressing the illicit circulation and trafficking of arms, particularly of small arms. Specifically, they could aim to:

    – ensure the incorporation of appropriate measures for suppressing the illicit circulation and trafficking of arms in peace-keeping operations and cease fire or peace agreements preceding such operations. To this end, they will co-operate closely, where appropriate, with the United Nations;
    – set up weapons collection, buy back, and destruction programmes;

    – set up educational programmes to promote awareness among the local population of the negative consequences of illicit trafficking of arms;

    – promote the integration of former combatants into civilian life.

  4. EU Member States will ensure adequate co-operation amongst the competent branches of their national authorities in giving concrete form to the objectives of this Programme. The Presidency of the Council will ensure the necessary co-ordination in this field.

  5. The EC, according to its own procedures, and its Member States are prepared, where appropriate, to make funds available in pursuit of the objectives of this Programme.

  6. The Council will annually review the actions taken in the frame work of this programme

European Union Code of Conduct On Arms Exports


The Council of the European Union,

BUILDING on the Common Criteria agreed at the Luxembourg and Lisbon European Councils in 1991 and 1992,

RECOGNIZING the special responsibility of arms exporting states,

DETERMINED to set high common standards which should be regarded as the minimum for the management of, and restraint in, conventional arms transfers by all Member States, and to strengthen the exchange of relevant information with a view to achieving greater transparency,

DETERMINED to prevent the export of equipment which might be used for internal repression or international aggression or contribute to regional instability,

WISHING within the framework of the Common Foreign and Security Policy (CFSP) to reinforce cooperation and to promote convergence in the field of conventional arms exports,

NOTING complementary measures taken against illicit transfers, in the form of the EU Programme for Preventing and Combating Illicit Trafficking in Conventional Arms,
ACKNOWLEDGING the wish of Member States to maintain a defence industry as part of their industrial base as well as their defence effort,

RECOGNIZING that States have a right to transfer the means of self-defence, consistent with the right of self-defence recognized by the UN Charter,

HAS DRAWN UP the following Code of Conduct together with Operative Provisions:

Criterion one

Respect for the international commitments of Member States, in particular the sanctions decreed by the UN Security Council and those decreed by the Community, agreements on non-proliferation and other subjects, as well as other international obligations

An export licence should be refused if approval would be inconsistent with, inter alia:
  1. the international obligations of Member States and their commitments to enforce UN, OSCE and EU arms embargoes;

  2. the international obligations of Member States under the Nuclear Non-Proliferation Treaty, the Biological and Toxin Weapons Convention and the Chemical Weapons Convention;

  3. the commitments of Member States in the framework of the Australia Group, the Missile Technology Control Regime, the Nuclear Suppliers Group and the Wassenaar Arrangement;

  4. the commitment of Member States not to export any form of anti-personnel landmine.
Criterion two

The respect of human rights in the country of final destination
Having assessed the recipient country’s attitude towards relevant principles established by international human rights instruments, Member States will:
  1. not issue an export licence if there is a clear risk that the proposed export might be used for internal repression.

  2. exercise special caution and vigilance in issuing licences, on a case-by-case basis and taking account of the nature of the equipment, to countries where serious violations of human rights have been established by the competent bodies of the UN, the Council of Europe or by the EU;
For these purposes, equipment which might be used for internal repression will include, inter alia, equipment where there is evidence of the use of this or similar equipment for internal repression by the proposed end-user, or where there is reason to believe that the equipment will be diverted from its stated end-use or end-user and used for internal repression. In line with paragraph 1 of the Operative Provisions of this Code, the nature of the equipment will be considered carefully, particularly if it is intended for internal security purposes. Internal repression includes, inter alia, torture and other cruel, inhuman and degrading treatment or punishment, summary or arbitrary executions, disappearances, arbitrary detentions and other major violations of human rights and fundamental freedoms as set out in relevant international human rights instruments, including the Universal Declaration on Human Rights and the International Covenant on Civil and Political Rights.

Criterion three

The internal situation in the country of final destination, as a function of the existence of tensions or armed conflicts

Member States will not allow exports which would provoke or prolong armed conflicts or aggravate existing tensions or conflicts in the country of final destination.

Criterion four

Preservation of regional peace, security and stability

Member States will not issue an export licence if there is a clear risk that the intended recipient would use the proposed export aggressively against another country or to assert by force a territorial claim.

When considering these risks, Member States will take into account inter alia:
  1. the existence or likelihood of armed conflict between the recipient and another country;

  2. a claim against the territory of a neighbouring country which the recipient has in the past tried or threatened to pursue by means of force;

  3. whether the equipment would be likely to be used other than for the legitimate national security and defence of the recipient;

  4. the need not to affect adversely regional stability in any significant way.
Criterion five

The national security of the Member States and of territories whose external relations are the responsibility of a Member State, as well as that of friendly and allied countries

Member States will take into account:
  1. the potential effect of the proposed export on their defence and security interests and those of friends, allies and other Member States, while recognizing that this factor cannot affect consideration of the criteria on respect for human rights and on regional peace, security and stability;

  2. the risk of use of the goods concerned against their forces or those of friends, allies or other Member States;

  3. the risk of reverse engineering or unintended technology transfer.
Criterion six

The behaviour of the buyer country with regard to the international community, as regards in particular its attitude to terrorism, the nature of its alliances and respect for international law

Member States will take into account inter alia the record of the buyer country with regard to:
  1. its support or encouragement of terrorism and international organized crime;

  2. its compliance with its international commitments, in particular on the non-use of force, including under international humanitarian law applicable to international and non-international conflicts;

  3. its commitment to non-proliferation and other areas of arms control and disarmament, in particular the signature, ratification and implementation of relevant arms control and disarmament conventions referred to in point (b) of Criterion One.
Criterion seven

The existence of a risk that the equipment will be diverted within the buyer country or re-exported under undesirable conditions

In assessing the impact of the proposed export on the importing country and the risk that exported goods might be diverted to an undesirable end-user, the following will be considered:
  1. the legitimate defence and domestic security interests of the recipient country, including any involvement in UN or other peace-keeping activity;

  2. the technical capability of the recipient country to use the equipment;

  3. the capability of the recipient country to exert effective export controls;

  4. the risk of the arms being re-exported or diverted to terrorist organizations (anti-terrorist equipment would need particularly careful consideration in this context).
Criterion eight

The compatibility of the arms exports with the technical and economic capacity of the recipient country, taking into account the desirability that states should achieve their legitimate needs of security and defence with the least diversion for armaments of human and economic resources

Member States will take into account, in the light of information from relevant sources such as UNDP, World Bank, IMF and OECD reports, whether the proposed export would seriously hamper the sustainable development of the recipient country. They will consider in this context the recipient country’s relative levels of military and social expenditure, taking into account also any EU or bilateral aid.

Operative provisions
  1. Each Member State will assess export licence applications for military equipment made to it on a case-by-case basis against the provisions of the Code of Conduct.

  2. The Code of Conduct will not infringe on the right of Member States to operate more restrictive national policies.

  3. Member States will circulate through diplomatic channels details of licences refused in accordance with the Code of Conduct for military equipment together with an explanation of why the licence has been refused. The details to be notified are set out in the form of a draft pro-forma set out in the Annex hereto. Before any Member State grants a licence which has been denied by another Member State or States for an essentially identical transaction within the last three years, it will first consult the Member State or States which issued the denial(s). If following consultations, the Member State nevertheless decides to grant a licence, it will notify the Member State or States issuing the denial(s), giving a detailed explanation of its reasoning.

    The decision to transfer or deny the transfer of any item of military equipment will remain at the national discretion of each Member State. A denial of a licence is understood to take place when the Member State has refused to authorize the actual sale or physical export of the item of military equipment concerned, where a sale would otherwise have come about, or the conclusion of the relevant contract. For these purposes, a notifiable denial may, in accordance with national procedures, include denial of permission to start negotiations or a negative response to a formal initial enquiry about a specific order.

  4. Member States will keep such denials and consultations confidential and not use them for commercial advantage.

  5. Member States will work for the early adoption of a common list of military equipment covered by the Code of Conduct, based on similar national and international lists. Until then, the Code of Conduct will operate on the basis of national control lists incorporating where appropriate elements from relevant international lists.

  6. The criteria in the Code of Conduct and the consultation procedure provided for by paragraph 3 of these Operative Provisions will also apply to dual-use goods as specified in Annex 1 to Council Decision 94/942/CFSP2, where there are grounds for believing that the end-user of such goods will be the armed forces or internal security forces or similar entities in the recipient country.

  7. In order to maximize the efficiency of the Code of Conduct, Member States will work within the framework of the CFSP to reinforce their cooperation and to promote their convergence in the field of conventional arms exports.

  8. Each Member State will circulate to other Member States in confidence an annual report on its defence exports and on its implementation of the Code of Conduct. These reports will be discussed at an annual meeting held within the framework of the CFSP. The meeting will also review the operation of the Code of Conduct, identify any improvements which need to be made and submit to the Council a consolidated report, based on contributions from Member States.

  9. Member States will, as appropriate, assess jointly through the CFSP framework the situation of potential or actual recipients of arms exports from Member States, in the light of the principles and criteria of the Code of Conduct.

  10. It is recognized that Member States, where appropriate, may also take into account the effect of proposed exports on their economic, social, commercial and industrial interests, but that these factors will not affect the application of the above criteria.

  11. Member States will use their best endeavours to encourage other arms exporting states to subscribe to the principles of the Code of Conduct.

  12. The Code of Conduct and Operative Provisions will replace any previous elaboration of the 1991 and 1992 Common Criteria.

    Annex
    Details to be notified

    .......... [name of Member State] has the honour to inform partners of the following denial under the EU Code of Conduct:

    Destination country: ...............
    Short description of equipment, including quantity and where appropriate, technical specifications: ..............
    Proposed consignee: ..............
    Proposed end-user (if different): .................
    Reason for refusal: ................
    Date of denial: ..................

Joint Action


adopted by the Council on the basis of Article J.3 of the Treaty on European Union on the European Union’s contribution to combating the destabilising accumulation and spread of small arms and light weapons

THE COUNCIL OF THE EUROPEAN UNION

Having regard to the Treaty on European Union, and in particular Article J.3 thereof,

Having regard to the general guidelines of the European Council held on 26 and 27 June 1992, which identified the areas falling within the security sphere which could, as from the entry into force of the Treaty on European Union, be the subject of joint actions,

Whereas the excessive and uncontrolled accumulation and spread of small arms and light weapons (hereafter referred to as “small arms”) ( ) has become a problem of great concern to the international community and this phenomenon poses a threat to peace and security and reduces the prospects for sustainable development in many regions of the world;

Whereas the European Union welcomes the adoption and declaration of a moratorium on the importation, exportation and manufacture of light weapons in ECOWAS Member States by the Authority of Heads of State and Government of the Economic Community of West African States (ECOWAS) at its Twenty-first session;

Whereas the UN Security Council adopted unanimously on 19 November 1998 Resolution 1209 (1998) on the situation in Africa, illicit arms flows to and in Africa;

Whereas the UN General Assembly addressed, in particular in Resolutions 52/38J on “Small Arms” and 52/38G on “Consolidation of peace through practical disarmament measures”, the problems caused by the destabilising accumulation and spread of small arms;

Whereas the Group of Governmental Experts on Small Arms has been re-established by the Secretary-General in accordance with Resolution 52/38J, to continue the work already accomplished under the Panel of Governmental Experts on Small Arms;

Whereas the UN Economic and Social Council recommended that States work towards the elaboration of an international instrument to combat the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition within the context of a United Nations convention against transnational organised crime;

Whereas the International Criminal Police Organisation (INTERPOL) is actively pursuing its efforts in the fight against the criminal use of firearms;

Whereas in the spirit of the “Brussels Call for Action” and in the interest of upholding State responsibility to protect citizen security within a framework of good governance and integrated approach to security and sustainable development it is required to take comprehensive measures for the elimination of uncontrolled circulation of small arms;

Whereas the present initiative builds on, and is complementary to already existing EU initiatives, in particular the EU Programme for Preventing and Combating Illicit Trafficking in Conventional Arms adopted by the Council on 26 June 1997 and the EU Code of Conduct on Arms Exports adopted by the Council on 8 June 1998;

Whereas the European Community has supported actions of demobilisation and reintegration of former combatants and of weapons collection in the context of its humanitarian aid, reconstruction and development cooperation policy,

HAS ADOPTED THE FOLLOWING JOINT ACTION:

Article 1
  1. The objectives of this Joint Action are:
    – to combat and contribute to ending the destabilising accumulation and spread of small arms,

    – to contribute to the reduction of existing accumulations of these weapons to levels consistent with countries’ legitimate security needs, and

    – to help solve the problems caused by such accumulations.

  2. This Joint Action entails the following elements:

    – building consensus on the principles and measures referred to in Title I,

    – making a multi-faceted contribution as referred to in Title II.

TITLE I


Principles on preventive and reactive aspects

Article 2

The European Union shall enhance efforts to build consensus in the relevant regional and international fora (e.g. the UN and OSCE) and among affected states on the principles and measures set out in Article 3 and on those set out in Articles 4 and 5 as the basis for regional and incremental approaches to the problem and, where appropriate, global international instruments on small arms.

Article 3

In pursuing the objectives set out in Article 1, the European Union shall aim at building consensus in the relevant international fora, and in a regional context as appropriate, for the realisation of the following principles and measures to prevent the further destabilising accumulation of small arms:
  1. A commitment by all countries to import and hold small arms only for their legitimate security needs, to a level commensurate with their legitimate self-defence and security requirements, including their ability to participate in UN peacekeeping operations.

  2. A commitment by exporting countries to supply small arms only to governments (either directly or through duly licensed entities authorised to procure weapons on their behalf) in accordance with appropriate international and regional restrictive arms export criteria, as provided in particular in the EU Code of Conduct, including officially authorised end-use certificates or, when appropriate, other relevant information on end-use.

  3. A commitment by all countries to produce small arms only for holdings as outlined in (a) above or exports as outlined in (b) above.

  4. In order to ensure control, the establishment and maintenance of national inventories of legally-held weapons owned by the country’s authorities and the establishment of restrictive national weapons legislation for small arms including penal sanctions and effective administrative control.

  5. The establishment of confidence building measures, including measures to promote increased transparency and openness, through regional registers on small arms and regular exchanges of available information, on exports, imports, production and holdings of small arms, and on national weapons legislation, and through consultations between the relevant parties on the information exchanged.

  6. The commitment to combat illicit trafficking of small arms through the implementation of effective national controls, such as efficient border and customs mechanisms, regional and international cooperation and enhanced information exchange.

  7. The commitment to challenge and reverse “cultures of violence”, by enhancing public involvement through public education and awareness programmes.
Article 4

In pursuing the objectives set out in Article 1, the efforts of the European Union shall aim at building consensus in the relevant international fora, and in a regional context as appropriate, for the realisation of the following principles and measures to reduce existing accumulations of small arms:
  1. The assistance as appropriate to countries requesting support for controlling or eliminating surplus small arms on their territory, in particular where this may help to prevent armed conflict or in post-conflict situations.

  2. The promotion of confidence-building measures and incentives to encourage the voluntary surrender of surplus or illegally-held small arms, the demobilisation of combatants and their subsequent rehabilitation and reintegration, such measures to include compliance with peace and arms control agreements under combined or third party supervision, respect of human rights and humanitarian law, the protection of the rule of law, in particular as regards the personal safety of former combatants and small arms amnesties, as well as community-based development project and other economic and social incentives.

  3. The effective removal of surplus small arms encompassing safe storage as well as quick and effective destruction of these weapons, preferably under international supervision.

  4. The rendering of assistance through appropriate international organisations, programmes and agencies as well as regional arrangements.
Article 5

The Member States will promote, where appropriate, in the context of resolving armed conflicts,

(a) the inclusion of provisions with regard to demobilisation, elimination of surplus weapons and integration of ex-combatants into peace agreements between the parties to the conflict, into mandates of peace-support operations or other relevant missions in support of the peaceful settlement,

(b) the consideration of the possibility of making necessary provision for measures ensuring the removal of small arms in the context of demobilisation by the UN Security Council in case the country or parties concerned are not in a position to comply with the relevant obligations.

TITLE II


Contribution by the European Union to specific actions

Article 6
  1. The Union will provide financial and technical assistance to programmes and projects which make a direct and identifiable contribution to the principles and measures referred to in Title I, including relevant programmes or projects conducted by the UN, the International Committee of the Red Cross, other international organisations and regional arrangements and NGOs. Such projects might include inter alia weapons collection, security sector reform and demobilisation and reintegration programmes as well as specific victim assistance programmes.

  2. In providing such assistance, the EU shall take into account in particular the recipient’s commitments to comply with the principles mentioned in Article 3; their respect of human rights; their compliance with international humanitarian law and the protection of the rule of law; and their compliance with their international commitments, in particular with regard to existing peace treaties and international arms control agreement.
Article 7
  1. The Council shall decide on:

    – the allocation of the financial and technical contribution referred to in Article 6;

    – the priorities for the use of those funds;

    – the conditions for implementing specific actions of the Union, including the possibility of designating, in certain instances, a person responsible for its implementation.

  2. The Council shall decide on the principle, arrangements and financing of such projects on the basis of concrete and properly-costed project proposals and on a case-by-case basis, without prejudice to Member States’ bilateral contributions and operation of the European Community.

  3. The Presidency shall, under the conditions set out in Article J.5(3) of the Treaty:

    – ensure liaison with the United Nations and any other relevant organisation involved;

    – establish, with regional arrangements and third countries, the contacts needed to implement the Union’s specific actions.
    It shall keep the Council informed.
Article 8

The Council notes that the Commission intends to direct its action towards achieving the objectives and the priorities of this Joint Action, where appropriate by pertinent Community measures.

Article 9
  1. The Council and the Commission shall be responsible for ensuring the consistency of the Union’s activities in the field of small arms, in particular with regard to its development policies. For this purpose, Member States and the Commission shall submit any relevant information to the relevant Council bodies. The Council and the Commission shall ensure implementation of their respective action, each in accordance with its powers.

  2. Member States shall equally seek to increase the effectiveness of their national actions in the field of small arms. As far as possible, actions taken pursuant to Article 6 shall be coordinated with those of Member States and of the European Community.
Article 10

The Council will review annually the actions taken in the framework of this Joint Action.

Article 11

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

Article 12

This Joint Action shall be published in the Official Journal.

Done at Brussels, For the Council, The President

ANNEX


The Joint Action shall apply to the following categories of weapons, while not prejudging any future internationally agreed definition of small arms and light weapons. These categories may be subject to further clarification, and may be reviewed in the light of any such future internationally agreed definition.
  1. Small arms and accessories specially designed for military use
    – machine-guns (including heavy machine-guns)
    – submachine-guns, including machine pistols
    – fully automatic rifles
    – semi-automatic rifles, if developed and/or introduced as a model for an armed force
    – moderators (silencers)

  2. Man or crew-portable light weapons
    – cannon (including automatic cannon), howitzers and mortars of less than 100 mm calibre
    – grenade launchers
    – anti-tank weapons, recoilless guns (shoulder-fired rockets)
    – anti-tank missiles and launchers
    – anti-aircraft missiles/man-portable air defence systems (MANPADS)

Council Resolution on combating the excessive and uncontrolled accumulation and spread of small arms and light weapons as part of the EU’s emergency aid, reconstruction and development programmes

  1. The excessive and uncontrolled accumulation and spread of small arms and light weapons (hereafter referred to as “small arms”) has become a problem of global proportions. Particularly in crisis zones and countries where the security situation is unstable, the excessive supply of small arms and a lack of controls has fuelled internal or interstate conflict and has been an obstacle to peaceful economic and social development. Moreover, the ready availability of cheap small arms facilitates the exploitation of children as soldiers.

  2. Illicit trafficking in small arms has also been identified as a serious problem, contributing to the increase in banditry, smuggling and similar criminal activities.

  3. Recalling the Joint Action of 17 December 1998 on the European Union’s contribution to combating the destabilising accumulation and spread of small arms and light weapons, the Council confirms its sustained interest in fulfilling the commitments contained therein, in order to ensure the coherence of EU activities in the field of small arms. At the same time, the Council draws attention to the EU Code of Conduct on Arms Exports of 8 June 1998 and the EU Programme for Preventing and Combating Illicit Trafficking in Conventional Arms of 26 June 1997. Finally, the Council recalls the Conclusions on the Role of development Co-operation in Strengthening Peace-building, Conflict Prevention and Resolution of 30 November 1998, as well as the Resolution on Coherence of 5 June 1997.

    The Council equally recalls initiatives within the UN, in particular UN General Assembly Resolution 53/L 31 on consolidation of peace through practical disarmament measures, the problems caused by the destabilising accumulation and spread of arms as well as UN General Assembly Resolution 53/E 77 on small arms and light weapons.

    Finally recalling the “Brussels Call for Action” proposing amongst others an International Program of Action for Practical Disarmament and Peace-building; and the “Oslo Platform” addressing the Humanitarian, Developmental and Security concerns provoked by small arms.

  4. The European Union aims at combating the excessive and uncontrolled accumulation and spread of small arms. An integrated and comprehensive approach is required by the international community which adequately addresses the complexity of the small arms problem and its political, economic and social causes and takes account of the aspect of security as a prerequisite for development. In particular, a contribution must be made to ensuring that existing stockpiles are reduced to a level consistent with the country’s legitimate security needs.

  5. The Council recommends that in the field of development co-operation, the Community and the Member States devote particular attention to the following measures:
    - inclusion of the small arms issues in the political dialogue with ACP and other development co-operation partner countries of the EU;

    - development co-operation support for countries seeking assistance in the control or elimination of surplus small arms, as well as other incentives to encourage the voluntary surrender of small arms and their destruction;

    - the combating of illicit trafficking of small arms through the promotion of appropriate measures; including regional and international co-operation and independent monitoring;

    - the effective demobilisation of combatants and their subsequent rehabilitation and reintegration into civil life; this is an area in which development policy can make a great and important contribution;

    - the challenging and reversing of “cultures of violence” by means of public education and awareness programmes, taking into account the important role of local communities;

    - considering support, where necessary, to strengthen appropriate government institutions and legislation to better control small arms.

    The first interventions could be focused on Southern Africa (SADC) and on West Africa (ECOWAS), where significant progress has been made and frameworks for combating small arms proliferation have been developed and agreed. EU, Community and bilateral Member State interventions should build upon the ideas and programmes existing in these regions and be extended to other regions, where similar initiatives have been taken.

  6. In providing assistance to measures recommended in paragraph 5, the EU shall take into particular account the recipient’s commitments to comply with the principles mentioned in article 3 of the Joint Action of 17 December 1998; their respect of human rights; their compliance with international humanitarian law and the protection of the rule of law.

    The Council believes that it is an important prerequisite that recipient countries are also committed to establishing social and political stability and in time, making their own contribution to relevant initiatives.

  7. In order to ensure a co-ordinated and complementary approach, the Council recalls the following guidelines mentioned in the Joint Action of 17 December 1998:

    – At global level: consultation with relevant UN agencies and bodies in particular UNDP, the Department for Disarmament Affairs, which co-ordinates the small arms issues within the UN, and the Secretariat’s Office for the Co-ordination of Humanitarian Affairs, relevant international institutions and, where applicable, the International Financial Institutions.

    – At regional level: consultation and close co-operation with regional organisation involved in the small arms issue.

    – At national level: co-ordinating within the recipient country between the Commission delegation, the missions of the Member States and of other donors actors, the authorities of the host country and all relevant bodies, taking into account the mandates of the international organisations concerned, in particular the UN.

    – At Community level: ensuring coherence of EU activities in the field of small arms, particularly with respect to the Union’s Common Foreign and Security Policy. To this end, the Member States and the Commission will transmit all relevant information to the responsible Council bodies. The Council and the Commission will, in accordance with their mandates, take care of the implementation of their respective activities.

  8. In order to assist the full implementation of this Resolution and to improve proper co-ordination, the Council, with reference to the Conclusions on Peace Building and Conflict Prevention, invites the Commission, together with the relevant experts of the Member States, to define the conditions and guidelines for specific development co-operation activities relevant to the matter.

    The Council will review the progress made in implementing this Resolution on the basis of the Commission’s reporting on the issue of peace-building and conflict prevention, as requested by the November 1998 Council Conclusions, which should also include the aspect of small arms, starting in the year 2000.
Notes
  1. For the purpose of this programme and in conformity with the definition in paragraph 7 of the Guidelines for Internationa Arms Transfers (UN Disarmament Commission, 7 May 1996), "illicit trafficking in arms" is understood to cover that international trade in conventional arms which is contrary to the laws of states and/or international law.

  2. OJ L 367,31.12.1994, p.8. Decision as last amended by Decision 98/232/CFSP (OJ L 92,25.3.1998, p.1).