Annexes to JOIN(2015)17 - Capacity building in support of security and development - Enabling partners to prevent and manage crises

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dossier JOIN(2015)17 - Capacity building in support of security and development - Enabling partners to prevent and manage crises.
document JOIN(2015)17 EN
date April 28, 2015
Agreement. 40  

The APF was set up in 2003 under the EDF and is to date the most far-reaching instrument to address the security-development nexus, also providing support to military activities.

Nonetheless, the APF remains an exceptional and temporary instrument. Member States have repeatedly raised the issue of its financial sustainability and of the need to consider alternative funding options to EDF. 41 In addition, in the APF Multi-annual Action Programme 2014-2016 42 , the financing of "ammunitions, arms and specific military equipment, spare parts, salaries for soldiers and training for soldiers" is excluded. Additional limitations include the legal requirement for the 11th EDF to be reported as ODA "to the greatest extent possible". 43 Finally, the APF has an exclusive regional and geographic focus (the African Union and regional economic communities); it is therefore not possible to finance support at the national level or outside Africa from the APF. However, the EU and partner countries and regions have identified peace and security or security sector reform as a priority sector in several regional and national indicative programmes under the EDF.

While financing security capacity building, including of the military, is possible under the APF, it is subject to a number of other limitations which may prevent the effective use of this Facility in addressing all situations with which the EU is confronted.

Last but not least, resources for EU military operations are also allocated outside the EU budget by Member States, either directly by those participating in CFSP/CSDP operations or through the Athena mechanism. Athena manages the financing of common costs relating to EU military operations under the CSDP. These costs concern, inter alia, headquarters' implementation and running costs, infrastructure, logistics and mission support. Currently, Athena does not cover the costs incurred by a partner country supported through a mission or operation. Recently, the Council adopted a review of the Athena Council Decision which, inter alia, allows the Athena mechanism to implement EU budget funds, in conformity with existing rules and procedures. 44  

Coordination and coherence

Despite the limitations described above, more could be achieved within the existing framework through the application of a more coherent and a more coordinated approach.

EU support to security sector capacity building needs to be underpinned by EU external action principles. These include: (i) ownership by the partner country and alignment to the partner's long-term development strategies; (ii) respect for human rights and adherence to international humanitarian law; and (iii) coherence with other EU actions as part of a broader EU comprehensive approach to external conflict and crises 45 . In addition, it is important to use context analysis to prevent offer-driven capacity building support, develop a risk management methodology and ensure broad support from the international community and coordination with other actors on the ground.

While respecting the existing institutional and legal frameworks, the following practical measures could improve coordination within the EU, including with and among Member States at strategic and operational levels:

i) Enhance information sharing of ongoing and planned capacity building support activities in the broader crisis prevention management areas (including support to justice and security sectors) conducted through the bilateral cooperation of Member States, the EU development and technical cooperation instruments and CSDP activities.

ii) Extend information sharing to the EU's multilateral partners (including the UN, NATO and OSCE) and other third countries and strategic partners with whom the EU shares convergent and complementary priorities.

iii) Draw on the introduction of the Political Framework for Crisis Approach process to intensify the ties between services handling development cooperation and security policy matters. This will foster a comprehensive analysis of the EU's engagement in a given context before deciding upon new CSDP or non-CSDP actions.

iv) CSDP actions should make better use of development cooperation expertise. Equally, development programmes can benefit from CSDP and Member State expertise. This includes ensuring coherence, including between the work of the instrument-specific management committees and the work of the CSDP Council working parties.

v) Organise more regular and systematic interaction between EU delegations and the CSDP mission and/or operations at partner country level. Establish joint reporting to respective management chains in headquarters. Standardise the secondment of CSDP mission and operation liaison officers to EU delegations and include this in the staffing and calls for contributions for the CSDP missions and operations.

To support and implement these commitments, the following initiatives should be further developed through relevant proposals from the European Commission and the High Representative of the Union for Foreign Affairs and Security Policy (High Representative):

i) An EU-wide strategic framework, shared by CSDP and development cooperation policy, for Security Sector Reform. A common Security Sector Reform policy framework should respect the regulatory constraints of existing instruments. This framework might usefully draw on lessons learnt from programmes/missions/operations in Bosnia and Herzegovina, the Democratic Republic of Congo and Afghanistan in terms of the transition from CSDP to other instruments.

ii) A shared evaluation, monitoring and results framework for security capacity building and Security Sector Reform-related activities, irrespective of the policy framework under which they are conducted.

iii) A dedicated risk management methodology on EU support to the security sector of partner countries or organisations. This could draw, for example, on the UN Human Rights Due Diligence Policy 46 developed to guide UN engagement in support of the security sector, and on the risk management framework developed for EU Budget Support operations 47 .

4. Way forward: a new commitment to deliver on peace and stability with our partners

The EU remains committed to its ambition to play a key role in ensuring international peace and stability, preventing conflicts and creating conditions for global sustainable development.

Enabling partner countries and regional organisations to increasingly prevent and manage crises by themselves through efficient EU support to their security capacity building is one of the most important tools in this endeavour.

Building on experience so far, it is time to step up efforts. We expect the European Council of June 2015 to provide further political commitment and guidance on better addressing the security-development nexus.

The European Commission and the High Representative are committed to implementing the measures on coordination and coherence of existing instruments outlined in this Joint Communication. Under the comprehensive approach to external conflicts and crises, this will be fully effective only if matched by corresponding efforts with and among Member States on their own instruments at strategic and operational levels. A "unity of effort" is required so as to ensure the EU's collective ability to engage at the right time and with the appropriate mechanisms and resources for a specific context in a partner country or with a regional organisation.

Given the broad nature of the challenge, existing limitations should not only be addressed through ad hoc arrangements. Instead, the European Commission and the High Representative are of the opinion that the practical feasibility of the three following actions should be considered:

i) A proposal to adapt the African Peace Facility to address its limitations;

ii) The establishment of a facility linking peace, security and development in the framework of one or more existing instruments;

iii) A dedicated instrument to this effect.

Any proposals would have to be subject to prior impact assessments which should analyse, inter alia, potential political, reputational and budgetary consequences, as well as the impact on fundamental rights. The Commission's political commitment to propose to budgetise the EDF needs to be taken into account with regard to this debate.

Member States are also invited to consider extending the Athena mechanism to include capacity building in partner countries.

It is important that the follow-up to this Joint Communication involves a wide range of stakeholders from the fields of foreign policy, defence, development and humanitarian assistance.

The European Commission and the High Representative call on the European Parliament and the Council to support the approach set out in this Joint Communication and to fully engage in the move towards more coherent and effective EU engagement in capacity building in support of security and development.


(1)

World Bank (2011) World Development Report: Conflict, Security and Development, Washington D.C.

(2)

JOIN(2013) 30 final, Joint Communication, "The EU's comprehensive approach to external conflict and crises", 11.12.2013; Council 9644/14, Council conclusions on the EU's comprehensive approach, 12.05.2014; Joint Staff Working Document SWD(2015) 85 final, 10.05.2015

(3)

JOIN (2015)6 final, Joint Consultation Paper, Towards a new European Neighbourhood Policy, 04.03.2015

(4)

EUCO 217/13, European Council conclusions, 19/20 December 2013, 20.12.2013

(5)

Council 8370/14, Annex 1, Fourth EU-Africa Summit Declaration, 2/3 April 2014, 02.04.2014

(6)

Art. 21(2) of the Treaty on European Union (TEU)

(7)

Art. 21(3) TEU; Art. 205 of the Treaty on the Functioning of the European Union (TFEU)

(8)

Art. 208 TFEU

(9)

COM(2011) 637 final, "Increasing the impact of EU Development Policy: an Agenda for Change", 13.10.2011

(10)

Council 9369/12, Council conclusions, "Increasing the impact of EU Development Policy: an Agenda for Change", 14.05.2012

(11)

Art. 42 TEU

(12)

Art. 43 TEU

(13)

Council 15895/03, European Security Strategy, 08.12.2003

(14)

Council 15097/07, Security and Development - Conclusions of the Council and the Representatives of the Governments of the Member States meeting within the Council, 20.11.2007. European Parliament report (A8-0039/2015) on the Annual Report from the High Representative of the European Union for Foreign Affairs and Security Policy to the European Parliament (2014/2219(INI)), 03.03.2015

(15)

Including on prosecution, mutual legal assistance, victims' support and fair trial.

(16)

Including on management and governance.

(17)

Regulation (EU) No 230/2014 of the European Parliament and of the Council of 11 March 2014 establishing an instrument contributing to stability and peace, OJ L 77, 15.03.2014

(18)

Regulation (EC) No 1717/2006 of the European Parliament and of the Council of 15 November 2006 establishing an Instrument for Stability, OJ L 327, 24.11.2006

(19)

Art. 15 of Council Regulation (EU) 2015/322 of 2 March 2015 on the implementation of the 11th European Development Fund, OJ L 58, 03.03.2015

(20)

Art. 11 of the Cotonou Partnership Agreement on "Peace building policies, conflict prevention and resolution" and the relevant Council conclusions provide the legal basis for the APF; Decision No 3/2003 of the ACP-EC Council of Ministers of 11 December 2003 on the use of resources from the long-term development envelope of the 9th EDF for the creation of a Peace Facility for Africa, OJ L 345, 31.12.2003

(21)

Financial support has also been provided for the African-led International Support Mission to Mali (AFISMA) or the African-led International Support Mission in the Central African Republic (MISCA).

(22)

This involves supporting African mediation structures and initiatives; supporting the Panel of the Wise, the Peace and Security Council, the Continental Early Warning System, and the African Standby Force; and reinforcing the capacity of the African Union and African Regional Organisations in the areas of financial management for peace support operations, planning, human resources, information sharing and analysis.

(23)

The gap analysis and risk management frameworks are ongoing and could lead to the development of options for concrete improvements, taking into account the current legal and institutional framework.

(24)

Council Decision 2013/34/CFSP of 17 January 2013 on a European Union military mission to contribute to the training of the Malian Armed Forces (EUTM Mali), OJ L 14, 18.01.2013

(25)

Art. 41 TEU sets the principles for the financing of EU civilian and military crisis management operations. Operations having military or defence implications cannot be financed from the Union budget. The common costs of such operations are currently covered by Council Decision (CFSP) 2015/528 of 27 March 2015 establishing a mechanism to administer the financing of the common costs of European Union operations having military or defence implications (Athena) and repealing Decision 2011/871/CFSP, OJ L 84, 28.03.2015. Currently all Member States except for Denmark contribute to Athena.

(26)

Council Decision 2010/96/CFSP of 15 February 2010 on a European Union military mission to contribute to the training of Somali security forces, OJ L 44, 19.02.2010. In January 2013, the EUTM's mandate was extended for a third time, until March 2015, and expanded to include strategic advice and mentoring. Since 2010, EUTM has trained around 4000 Somali army personnel. Its current strength in personnel (trainers and related personnel) is 125 (provided by 10 Member States and Serbia).

(27)

The mission budget of common costs until August 2011 was EUR 4.8 million; from August 2011 until December 2012 it was EUR 4.8 million; common funding for the period February 2013 until March 2015 will total EUR 11.6 million. The cost increase is largely due to the move to Mogadishu, including set-up and force protection costs.

(28)

Regulation (EU) No 230/2014 of the European Parliament and of the Council of 11 March 2014 establishing an instrument contributing to stability and peace, OJ L 77, 15.03.2014

(29)

Regulation (EU) No 231/2014 of the European Parliament and of the Council of 11 March 2014 establishing an Instrument for Pre-accession Assistance (IPA II), OJ L 77, 15.03.2014

(30)

 Regulation (EU) No 232/2014 of the European Parliament and of the Council of 11 March 2014 establishing a European Neighbourhood Instrument, OJ L 77, 15.03.2014

(31)

Regulation (EU) No 233/2014 of the European Parliament and of the Council of 11 March 2014 establishing a financing instrument for development cooperation for the period 2014-2020, OJ L 77, 15.03.2014

(32)

Regulation (EU) No 235/2014 of the European Parliament and of the Council of 11 March 2014 establishing a financing instrument for democracy and human rights worldwide, OJ L 77, 15.03.2014

(33)

The Organisation for Economic Cooperation and Development's (OECD) Development Assistance Committee (DAC) is a forum for the coordination of aid efforts. It has established an internationally agreed upon definition of ODA. This allows donors to distinguish between official transactions made as ODA and other official flows. Discussions are ongoing on a potential revision of ODA definitions.

(34)

EUCO 37/13, European Council conclusions, 7/8 February 2013, 08.02.2013

(35)

Art. 2(3) and (4) of Regulation (EU) No 233/2014 of the European Parliament and of the Council

(36)

Art. 3(13) of Regulation (EU) No 233/2014 of the European Parliament and of the Council

(37)

Art. 1(3) of Council Regulation (EU) 2015/322 indicates that the programming shall be designed so as to fulfil to the greatest extent possible the criteria for ODA, taking into account the Union's aim to ensure that over the period 2014-2020 at least 90% of its overall external assistance be counted as ODA.

(38)

During the period 2001-2009, over EUR 1 billion was spent supporting justice and security sector reform programmes. In 2013, more than half of the total EU bilateral development aid was disbursed in fragile and conflict-affected countries, a vast majority of which was on the African continent.

(39)

On the basis of Art. 308 of the Treaty establishing the European Community (TEC), which has been replaced by Art. 352 TFEU as a consequence of the entering into force of the Treaty of Lisbon.

(40)

"Partnership Agreement between the members of the African, Caribbean and Pacific Group of States and the European Community and its Member States", signed in Cotonou on 23.06.2000

(41)

Council 10342/11, Council conclusions on the replenishment of the African Peace Facility for the period 2011-2013, 13.05.2011; Council 13935/12, Council conclusions on the replenishment of the African Peace Facility for the period 2012–2013, 24.09.2012; Council Regulation (EU) 2015/322 (Art. 15 states that at the end of the first pluri-annual action programme, the Union and its Member States will review the results and procedures of the African Peace Facility and discuss options on future funding possibilities. In this context, and in order to put the African Peace Facility on a sounder footing, the Union and its Member States will hold discussions addressing both the issue of funds for Peace Support Operations, including those financed from the EDF, and of sustainable EU support to African-led Peace Support Operations beyond 2020).

(42)

Council 8269/14, "Three-year Action Programme for the African Peace Facility 2014-2016", 28.03.2014

(43)

See footnote 37

(44)

See footnote 25

(45)

Taking into consideration the eight areas identified by the Joint Communication on the EU's comprehensive approach to external conflict and crises of December 2013: (i) develop a shared analysis; (ii) define a common strategic vision; (iii) focus on prevention; (iv) mobilise the different strengths and capacities of the EU; (v) commit to the long term; (vi) link policies and internal and external action; (vii) make better use of EU Delegations; (viii) work in partnership.

(46)

United Nations, General Assembly, Security Council, A/67/775–S/2013/110, 5 March 2013

(47)

Budget support guidelines, EuropeAid Development and Cooperation Directorate-General, European Commission, Brussels, September 2012