6.2.2020 EN Official Journal of the European Union L 34/5 AGREEMENT between the European Union and the Federal Republic of Somalia on the status of the European Union capacity building mission in Somalia (EUCAP Somalia) THE EUROPEAN UNION, hereinafter referred to as the ‘EU’, of the one part, and THE FEDERAL REPUBLIC OF SOMALIA, hereinafter referred to as the ‘Host State’, of the other part, together hereinafter referred to as the ‘Parties’, TAKING INTO ACCOUNT: — the letter of 11 January 2013 from the Prime Minister of the Federal Government of the Somali Republic to the High Representative of the Union for Foreign Affairs and Security Policy, — Council Decision 2012/389/CFSP of 16 July 2012 on the European Union Capacity Building Mission in Somalia (EUCAP Somalia) (1), — that this Agreement will not affect the Parties’ rights and obligations under international agreements and other instruments establishing international courts and tribunals, including the Statute of the International Criminal Court, HAVE AGREED AS FOLLOWS: Article 1 Scope and definitions 1. This Agreement shall apply to the European Union capacity building mission in Somalia (EUCAP Somalia) and its personnel. 2. This Agreement shall apply only within the territory of the Host State. 3. For the purposes of this Agreement: (a) ‘EUCAP Somalia’ or the ‘Mission’ shall mean the EU Capacity Building Mission in Somalia (EUCAP Somalia), established by the Council of the European Union in Decision 2012/389/CFSP, including its components, units, headquarters and personnel deployed in the territory of the Host State and assigned to EUCAP Somalia; (b) ‘Head of Mission’ shall mean the Head of Mission of EUCAP Somalia, appointed by the Council of the European Union; (c) ‘European Union’ or ‘EU’ shall mean the permanent bodies of the EU and their staff; (d) ‘Sending State’ shall mean any EU Member State or non-EU State that has seconded personnel to the Mission; (e) ‘EUCAP Somalia personnel’ shall mean the Head of Mission, personnel seconded by EU Member States, by the European External Action Service (EEAS), by EU institutions and by non-EU States invited by the EU to participate in EUCAP Somalia, international staff recruited on a contractual basis by EUCAP Somalia deployed for the preparation, support and implementation of the Mission, and personnel travelling at the request of a Sending State, an EU institution or the EEAS in the framework of the Mission. It shall not include commercial contractors or personnel employed locally; (f) ‘headquarters’ shall mean the headquarters of EUCAP Somalia in Mogadishu; (g) ‘facilities’ shall mean all buildings, premises, installations and land required for the conduct of the activities of the Mission, as well as for the accommodation of EUCAP Somalia personnel; (h) ‘personnel employed locally’ shall mean personnel who are nationals of, or permanently resident in, the Host State; (i) ‘official correspondence’ shall mean all correspondence relating to EUCAP Somalia and its functions; (j) ‘contractor’ shall mean any person supplying to EUCAP Somalia goods or services related to the Mission’s activities; (k) ‘EUCAP Somalia assets’ shall mean equipment, including means of transport, and consumer goods necessary for EUCAP Somalia. Article 2 General provisions 1. EUCAP Somalia and EUCAP Somalia personnel shall respect the laws and regulations of the Host State and shall refrain from any action or activity incompatible with the objectives of EUCAP Somalia. 2. EUCAP Somalia shall be autonomous with regard to the execution of its functions under this Agreement. The Host State shall respect the unitary and international nature of EUCAP Somalia. 3. The Head of Mission shall regularly inform the Government of the Host State of the number of EUCAP Somalia personnel stationed within the Host State’s territory. Article 3 Identification 1. EUCAP Somalia personnel shall be provided with, and identified by, a Mission identification card, which they shall be obliged to carry with them at all times. The relevant authorities of the Host State shall be provided with a specimen of the Mission identification card. 2. EUCAP Somalia vehicles and any other means of transport shall bear distinctive EUCAP Somalia identification markings or registration plates or both, if security conditions allow. Specimens of those markings and plates shall be provided to the relevant authorities of the Host State. 3. EUCAP Somalia shall have the right to display the flag of the EU at its headquarters and elsewhere, alone or together with the flag of the Host State, as decided by the Head of Mission. National flags or insignia of the constituent national contingents of EUCAP Somalia may be displayed on EUCAP Somalia facilities, vehicles and any other means of transport, and uniforms, as decided by the Head of Mission. Article 4 Border crossing and movement within the Host State’s territory 1. EUCAP Somalia personnel, assets, vehicles and any other means of transport shall cross the border of the Host Party at official border crossings, sea ports and via the international air corridors. 2. The Host State shall facilitate the entry into and the exit from the territory of the Host State for EUCAP Somalia personnel and EUCAP Somalia assets, vehicles and any other means of transport. Except for passport control on entry into and departure from the territory of the Host State, EUCAP Somalia personnel holding a Mission identification card or provisional proof of participation in EUCAP Somalia shall be exempt from regulations on customs controls and procedures, visa and immigration regulations, and any form of immigration inspection within the territory of the Host State. 3. EUCAP Somalia personnel shall be exempt from the regulations of the Host State governing the registration and control of aliens, but shall not acquire any right to permanent residence or domicile within the Host State’s territory. 4. EUCAP Somalia assets, vehicles and any other means of transport entering, transiting or exiting the Host State’s territory in support of EUCAP Somalia shall be exempt from any requirement to produce inventories or other customs documentation and from any inspection. 5. Vehicles and any other means of transport used in support of EUCAP Somalia shall not be subject to local licensing or registration requirements. Relevant international standards and regulations shall continue to apply. If required, supplementary arrangements as referred to in Article 19 shall be concluded. 6. EUCAP Somalia personnel may drive vehicles, navigate vessels and operate aircraft and any other means of transport within the territory of the Host State provided they have valid national or international driving licences, ship masters certificates or pilot licences, as appropriate. The Host State shall accept as valid, without tax or fee, driving licences or permits carried by EUCAP Somalia personnel. 7. EUCAP Somalia and EUCAP Somalia personnel together with their vehicles and any other means of transport, equipment and supplies shall enjoy free and unrestricted movement throughout the territory of the Host State, including its territorial sea and airspace. If required, supplementary arrangements may be concluded in accordance with Article 19. 8. For the purpose of travel on official duties, EUCAP Somalia personnel and personnel employed locally shall be entitled to use public roads, bridges, ferries, airports and ports without the payment of duties, fees, tolls, taxes or other charges. EUCAP Somalia shall not be exempt from reasonable charges for services requested and received under the conditions that apply to those provided to the Host State’s nationals. Article 5 Privileges and immunities of EUCAP Somalia granted by the Host State 1. EUCAP Somalia facilities shall be inviolable. The Host State’s agents shall not enter them without the consent of the Head of Mission. 2. EUCAP Somalia facilities, their furnishings and other assets therein as well as their means of transport shall be immune from search, requisition, attachment or execution. 3. EUCAP Somalia, its property and assets, wherever located and by whomsoever held, shall enjoy immunity from every form of legal process. 4. EUCAP Somalia archives and documents shall be inviolable at any time, wherever they may be. 5. EUCAP Somalia official correspondence shall be inviolable. 6. EUCAP Somalia, as well as its providers or contractors, shall be exempt from all national, regional and communal dues, taxes and charges of a similar nature in respect of purchased and imported goods, services provided and facilities used by EUCAP Somalia for the purposes of EUCAP Somalia. EUCAP Somalia shall not be exempt from dues, taxes or charges that represent payment for services rendered. 7. The Host State shall permit the entry of items required for the purpose of EUCAP Somalia and shall grant those items exemption from all customs duties, fees, tolls, taxes and similar charges other than charges for storage, transport and other services rendered. Article 6 Privileges and immunities of EUCAP Somalia personnel granted by the Host State 1. EUCAP Somalia personnel shall not be subject to any form of arrest or detention. 2. Papers, correspondence and assets of EUCAP Somalia personnel shall be inviolable, except in case of measures of execution which are permitted pursuant to paragraph 7. 3. The Host State shall provide, in accordance with its applicable laws and regulations, EUCAP Somalia personnel with a diplomatic identity card. 4. EUCAP Somalia personnel shall enjoy immunity from the criminal jurisdiction of the Host State under all circumstances. The immunity from criminal jurisdiction of EUCAP Somalia personnel may be waived by the Sending State or EU institution concerned, as the case may be. Such waiver must always be an express waiver. 5. EUCAP Somalia personnel shall enjoy immunity from the civil and administrative jurisdiction of the Host State in respect of words spoken or written and all acts performed by them in the exercise of their official functions. If any civil proceeding is instituted against EUCAP Somalia personnel before any Host State court, the Head of Mission and the competent authority of the Sending State or EU institution shall be notified immediately. Prior to initiation of the proceeding before the court, the Head of Mission and the competent authority of the Sending State or EU institution shall certify to the court whether the act in question was performed by EUCAP Somalia personnel in the exercise of their official functions. If the act was performed in the exercise of official functions, the proceeding shall not be initiated and Article 16 shall apply. If the act was not performed in the exercise of official functions, the proceeding may continue. The certification by the Head of Mission and the competent authority of the Sending State or EU institution shall be binding upon the jurisdiction of the Host State which may not contest it. The initiation of proceedings by EUCAP Somalia personnel shall preclude them from invoking immunity from jurisdiction in respect of any counter-claim directly connected with the principal claim. 6. EUCAP Somalia personnel shall not be obliged to give evidence as witnesses. 7. No measures of execution may be taken in respect of EUCAP Somalia personnel, except in the case where a civil proceeding not related to their official functions is instituted against them. Property of EUCAP Somalia personnel, which is certified by the Head of Mission to be necessary for the fulfilment of their official functions, shall be free from seizure for the satisfaction of a judgment, decision or order. In civil proceedings, EUCAP Somalia personnel shall not be subject to any restrictions on their personal liberty or to any other measures of constraint. 8. The immunity of EUCAP Somalia personnel from the jurisdiction of the Host State shall not exempt them from the jurisdictions of the respective Sending States. 9. EUCAP Somalia personnel shall, with respect to services rendered for EUCAP Somalia, be exempt from social security provisions which may be in force in the Host State. 10. EUCAP Somalia personnel shall be exempt from any form of taxation in the Host State on the salary and emoluments paid to them by EUCAP Somalia or the Sending States, as well as on any income received from outside the Host State. 11. The Host State shall, in accordance with such laws and regulations as it may adopt, permit the entry of articles for the personal use of EUCAP Somalia personnel, and shall grant exemption from all customs duties, taxes, and related charges other than charges for storage, transport and similar services, in respect of such articles. The Host State shall also allow the export of such articles. The purchase of goods and services on the domestic market by EUCAP Somalia personnel shall be exempt from VAT and taxes in accordance with the laws of the Host State. 12. The personal baggage of EUCAP Somalia personnel shall be exempt from inspection, unless there are serious grounds for considering that it contains articles that are not for the personal use of EUCAP Somalia personnel, or articles whose import or export is prohibited by the law or subject to quarantine regulations of the Host State. Inspection of such personal baggage shall be conducted only in the presence of EUCAP Somalia personnel concerned or of an authorised representative of EUCAP Somalia. Article 7 Personnel employed locally Personnel employed locally shall enjoy privileges and immunities only to the extent allowed by the Host State. However, the Host State shall exercise its jurisdiction over such personnel in such a manner as not to interfere unduly with the performance of the functions of EUCAP Somalia. Article 8 Criminal jurisdiction The competent authorities of a Sending State shall have the right to exercise on the territory of the Host State all the criminal jurisdiction and disciplinary powers conferred on them by the law of the Sending State with regard to EUCAP Somalia personnel. Article 9 Security 1. The Host State, by its own means, shall assume full responsibility for the security of EUCAP Somalia personnel. 2. For the purposes of paragraph 1, the Host State shall take all necessary measures for the protection, safety and security of EUCAP Somalia and EUCAP Somalia personnel. Any specific provisions proposed by the Host State shall be agreed with the Head of Mission before their implementation. The Host State shall permit, and support free of any charge, activities relating to the medical evacuation of EUCAP Somalia personnel. If required, supplementary arrangements as referred to in Article 19 shall be concluded. 3. EUCAP Somalia personnel shall have the right to carry small arms and ammunition, subject to an authorisation by the Head of Mission. 4. EUCAP Somalia shall be authorised to take the necessary measures within the territory of the Host State in this context, including the use of the necessary and proportionate force to protect EUCAP Somalia personnel, to protect its premises, vehicles and assets against acts which might endanger the life of EUCAP Somalia personnel or might cause them bodily harm, and, where necessary, to protect simultaneously other persons facing the same threat in close proximity to the Mission against acts which would endanger the life of those persons or which are likely to cause them serious bodily harm. 5. The list of EUCAP Somalia personnel designated and authorised by the Head of Mission to carry firearms and ammunition, including the transport of those, shall be communicated to the competent Host State authorities. The competent Host State authorities shall provide a transport and carrying license for those specifically designated and authorised EUCAP Somalia personnel. Article 10 Uniform 1. EUCAP Somalia personnel shall wear national uniform or civilian dress with distinctive EUCAP Somalia identification. 2. The wearing of uniform shall be subject to rules issued by the Head of Mission. Article 11 Cooperation and access to information 1. The Host State shall provide full cooperation and support to EUCAP Somalia and EUCAP Somalia personnel. 2. If requested and necessary for the accomplishment of EUCAP Somalia, the Host State shall provide EUCAP Somalia personnel with effective access to: (a) facilities, locations and official vehicles within the control of the Host State which are relevant for the fulfilment of EUCAP Somalia’s mandate; (b) documents, materials and information within the control of the Host State, in so far as necessary for the fulfilment of EUCAP Somalia’s mandate. If required for the purposes of the first subparagraph, supplementary arrangements as referred to in Article 19 shall be concluded. 3. The Head of Mission and the Host State shall consult regularly and take appropriate measures to ensure close and reciprocal liaison at every appropriate level. The Host State may appoint a liaison officer to EUCAP Somalia. Article 12 Host State support and contracting 1. The Host State shall assist, if requested, EUCAP Somalia in finding suitable facilities. 2. The Host State shall provide free of charge, if required and available, facilities which it owns, as well as facilities owned by private entities, in so far as such facilities are requested for the conduct of EUCAP Somalia’s administrative and operational activities. 3. Within its means and capabilities, the Host State shall assist in the preparation, establishment and execution of and support for EUCAP Somalia, including co-location facilities and equipment for EUCAP Somalia experts. 4. The Host State’s assistance and support to EUCAP Somalia shall be provided under at least the same conditions as the assistance and support that it gives to its own nationals. 5. EUCAP Somalia shall have the necessary legal capacity under the laws and regulations of the Host State in order to fulfil its mission, and in particular for the purposes of opening bank accounts, acquiring or disposing of assets and being party to legal proceedings. 6. The law applicable to contracts concluded by EUCAP Somalia in the Host State shall be determined by the relevant provisions in those contracts. 7. The contracts concluded by EUCAP Somalia may stipulate that the dispute settlement procedure referred to in Article 16(3) and (4) shall be applicable to disputes arising from the implementation of that contract. 8. The Host State shall facilitate the implementation of contracts concluded by EUCAP Somalia with commercial entities for the purpose of the Mission. Article 13 Change to facilities 1. EUCAP Somalia shall be authorised to construct, alter or otherwise modify facilities as required for its operational requirements. 2. The Host State shall not claim any compensation from EUCAP Somalia in respect of constructions, alterations or modifications to facilities. Article 14 Deceased EUCAP Somalia personnel 1. The Head of Mission shall have the right to take charge of and make suitable arrangements for the repatriation of any deceased EUCAP Somalia personnel, as well as of their personal property. 2. No autopsy shall be performed on any deceased EUCAP Somalia personnel without the agreement of the Sending State concerned, and the presence of a representative of EUCAP Somalia or a representative of the Sending State concerned or both. 3. The Host State and EUCAP Somalia shall cooperate to the fullest extent possible with a view to the early repatriation of deceased EUCAP Somalia personnel. Article 15 Communications 1. EUCAP Somalia may install and operate radio sending and receiving stations, as well as satellite systems. It shall cooperate with the Host State’s competent authorities with a view to avoiding conflicts in the use of appropriate frequencies. The Host State shall grant access to the frequency spectrum free of charge. 2. EUCAP Somalia shall enjoy the right to unrestricted communication by radio (including satellite, mobile and hand-held radio), telephone, telegraph, facsimile and other means, as well as the right to install the equipment necessary for the maintenance of such communications within and between EUCAP Somalia facilities, including the laying of cables and land lines, for the purpose of EUCAP Somalia. 3. Within its facilities EUCAP Somalia may make the necessary arrangements for the conveyance of mail addressed to and from EUCAP Somalia or EUCAP Somalia personnel. Article 16 Claims for death, injury, damage and loss 1. EUCAP Somalia and EUCAP Somalia personnel shall not be liable for any damage to or loss of civilian or government property which is related to operational necessities or caused by activities in connection with civil disturbances or the protection of EUCAP Somalia. 2. With a view to reaching an amicable settlement, claims for damage to, or loss of, civilian or government property not covered by paragraph 1, as well as claims for death of, or injury to, persons and claims for damage to, or loss of, EUCAP Somalia property, shall be forwarded to EUCAP Somalia via the competent authorities of the Host State, with regard to claims brought by a legal or natural person from the Host State, and to the competent authorities of the Host State, with regard to claims brought by EUCAP Somalia. 3. Where no amicable settlement can be found, the claim shall be submitted to a claims commission composed on an equal basis of representatives of EUCAP Somalia and representatives of the Host State. Settlement of claims shall be reached by common agreement. 4. Where no settlement can be reached within the claims commission, the dispute shall be settled by diplomatic means between the Host State and EU representatives for claims up to and including EUR 40 000. For claims exceeding that amount, the dispute shall be submitted to an arbitration tribunal, whose decisions shall be binding. 5. The arbitration tribunal referred to in paragraph 4 shall be composed of three arbitrators, one being appointed by the Host State, one being appointed by EUCAP Somalia and the third being appointed jointly by the Host State and EUCAP Somalia. Where one of the parties does not appoint an arbitrator within two months or where no agreement can be found between the Host State and EUCAP Somalia on the appointment of the third arbitrator, the arbitrator in question shall be appointed by the President of the Court of Justice of the European Union. 6. An administrative arrangement shall be concluded between EUCAP Somalia and the administrative authorities of the Host State in order to determine the terms of reference of the claims commission and the arbitration tribunal, the procedure applicable within these bodies and the conditions under which claims are to be lodged. Article 17 Liaison and disputes 1. All issues arising in connection with the application of this Agreement shall be examined jointly by representatives of EUCAP Somalia and the Host State’s competent authorities. 2. Failing any prior settlement, disputes concerning the interpretation or application of this Agreement shall be settled exclusively by diplomatic means between the Host State and EU representatives. Article 18 Other provisions 1. The Government of the Host State shall be responsible for the implementation and for the observance by the appropriate local authorities of the Host State of the privileges, immunities and rights of EUCAP Somalia and of EUCAP Somalia personnel as provided for in this Agreement. 2. Nothing in this Agreement is intended or may be construed so as to derogate from any rights that may attach to an EU Member State or to any other State contributing to EUCAP Somalia under other agreements. Article 19 Implementing arrangements For the purpose of the application of this Agreement, operational, administrative and technical matters may be the subject of separate arrangements to be concluded between the Head of Mission and the Host State’s administrative authorities. Article 20 Entry into force and termination 1. This Agreement shall enter into force on the day on which it is signed and shall remain in force until the date of departure of the last EUCAP Somalia personnel, as notified by EUCAP Somalia. 2. Notwithstanding paragraph 1, the provisions contained in Article 4(8), Article 5(1) to (3), (6) and (7), Article 6(1), (3), (4), (6) and (8) to (10) and Articles 13 and Article 16 shall be deemed to have applied from the date on which the first EUCAP Somalia personnel were deployed if that date was earlier than the date of entry into force of this Agreement. 3. This Agreement may be amended or terminated by written agreement between the Parties. 4. Termination of this Agreement shall not affect any rights or obligations arising out of the execution of this Agreement before such termination. Done at Mogadishu, on 11 January 2020, in duplicate, in the English language. For the European Union For the Federal Republic of Somalia (1) OJ L 187, 17.7.2012, p. 40.

Summary: Agreement between the EU and Somalia on the EU mission in Somalia (EUCAP Somalia) Agreement between the EU and Somalia on the EU mission in Somalia (EUCAP Somalia) SUMMARY OF: Agreement between the EU and Somalia on the status of the EU capacity-building mission in Somalia (EUCAP Somalia) Decision (CFSP) 2020/155 on the signing and conclusion, on behalf of the EU, of the agreement between the EU and Somalia on the status of the EU capacity building mission in Somalia (EUCAP Somalia) WHAT IS THE AIM OF THE AGREEMENT AND THE DECISION? The agreement sets out the status and operating conditions of the EU’s capacity-building mission and staff, strengthening Somalia’s ability to enforce maritime civilian law. The decision gives the EU’s formal approval to the agreement. KEY POINTS The agreement states the following. The mission and its personnel: respect Somalia’s laws and regulations;are identifiable by ID cards, distinctive vehicle markings or registration plates and the EU flag;enter or leave the country at official border crossings without hindrance;have free and unrestricted movement within the country;enjoy various privileges and immunities, such as exemption from taxation and personal baggage inspections and immunity from the country’s jurisdiction when performing their official functions;remain subject to the criminal jurisdiction and disciplinary powers of their home country;have the right, with the head of mission’s authorisation, to carry small arms and ammunition;may take all necessary and proportionate force to protect themselves, premises, vehicles and assets against danger;wear national uniforms or civilian clothes with distinctive EUCAP Somalia identification;are not liable for any damage to, or loss of, civilian or government property in the course of their duties or caused by civil disturbance. Somalia: assumes full responsibility for the security of EUCAP personnel;provides full cooperation and support, including access to facilities, vehicles and information, to the mission and to its members;assists the mission, if requested, to find suitable premises free of charge;grants the mission free access to its radio frequency;helps the mission to implement any commercial contracts it enters into;is responsible for local authorities implementing and observing the privileges, immunities and rights of the mission and its personnel. EUCAP Somalia may: construct or alter facilities it requires, without paying compensation;install and operate radio stations and satellite systems with unrestricted communication rights. Claims for death, injury, damage or loss of civilian or government property are referred to a claims commission and ultimately to an arbitration tribunal if they cannot first be settled amicably. The head of mission is responsible for the repatriation of any deceased EUCAP Somalia personnel and their property. Any disputes that arise in applying the agreement are initially handled by the mission and the relevant national authorities and, if necessary, settled diplomatically at a higher level. DATE OF ENTRY INTO FORCE The agreement entered into force on 11 January 2020. BACKGROUND EUCAP Somalia replaced EUCAP Nestor (launched in July 2012 to develop regional maritime capacity building in the Horn of Africa) in December 2016. Its specific remit is to help the country enforce maritime law more effectively and tackle piracy. The mission’s mandate runs until 31 December 2021. It has a budget of €66.1 million for the period 1 January 2019 to 31 December 2020. EUCAP Somalia is part of a comprehensive EU strategy for the country. This ranges from diplomatic and development support to humanitarian aid and law enforcement. The strategy includes 2 military missions: Eunavfor Operation Atalanta to combat coastal piracy; andEUTM Somalia to provide political and strategic military advice and training. For more information, see: EUCAP Somalia (European External Action Service). MAIN DOCUMENTS Agreement between the European Union and the Federal Republic of Somalia on the status of the European Union capacity-building mission in Somalia (EUCAP Somalia) (OJ L 34, 6.2.2020, pp. 5-12) Council Decision (CFSP) 2020/155 of 24 October 2019 on the signing and conclusion, on behalf of the Union, of the Agreement between the European Union and the Federal Republic of Somalia on the status of the European Union capacity-building mission in Somalia (EUCAP Somalia) (OJ L 34, 6.2.2020, pp. 3-4) RELATED DOCUMENTS Council Decision 2012/389/CFSP of 16 July 2012 on the European Union mission on regional maritime capacity building in the Horn of Africa (EUCAP Nestor) (OJ L 187, 17.7.2012, pp. 40-43) Successive amendments to Decision 2012/389/CFSP have been incorporated into the original text. This consolidated version is of documentary value only. last update 12.10.2020


19.11.2020 EN Official Journal of the European Union L 389/2 FRAMEWORK AGREEMENT between the European Union and the United Nations for the Provision of Mutual Support in the context of their respective missions and operations in the field WHEREAS, in the Joint Statement on UN-EU Cooperation in Crisis Management signed on 7 June 2007, the Secretary-General of the United Nations and the Presidency of the Council of the European Union reaffirmed their determination to enhance mutual cooperation and coordination in the area of crisis management, including through the establishment of specific coordination and cooperation mechanisms for crisis and post-conflict situations where the United Nations and the European Union are engaged; WHEREAS, to enhance such mutual cooperation and coordination, the United Nations and the European Union have agreed to establish a framework agreement for the mutual provision of logistic, administrative and security support by United Nations peace operations and political missions (hereafter ‘UN Missions’) and European Union Common Security and Defence Policy military and civilian crisis management operations (hereafter ‘EU Operations’) engaged in crisis and post-conflict situations in the field; WHEREAS, expenditure arising from European Union civilian operations are borne by the budget of the European Union and implemented by the European Commission; WHEREAS, pursuant to Article 41(2) of the Treaty on European Union, expenditure arising from EU Operations having military or defence implications are borne by the Member States of the European Union; WHEREAS, pursuant to European Union Council decision (CFSP) 2015/528 of 27 March 2015, ATHENA is the mechanism entrusted with the administration of the common and nation borne costs of EU Operations having military or defence implications; WHEREAS the United Nations and the European Union each confirm that they are authorized to enter into this framework agreement, and to undertake the responsibilities herein contained; NOW, THEREFORE, the United Nations and the European Union (individually a ‘Party’ and collectively the ‘Parties’) agree as follows: Article 1 Purpose and scope 1.1 This agreement (‘Agreement’) sets out the framework for the provision of mutual logistic, administrative and security support by UN Missions and EU Operations engaged in crisis and post-conflict situations in the field. 1.2 This Agreement shall not apply to: (i) Logistics or other support provided to UN Missions or EU Operations by their respective Member States on a bilateral basis; (ii) UN Mission-EU Operation cooperation or assistance arrangements, other than for the provision of logistic, administrative and security support; or (iii) UN Mission-EU Operation cooperation or assistance arrangements concluded prior to the date of this Agreement. Article 2 General principles 2.1 The competent authorities of the Parties may enter into arrangements for the provision of mutual logistic, administrative and security support (hereafter ‘Support’) by UN Missions and EU Operations engaged in crisis and post-conflict situations in the field. 2.2 The provision of Support shall be subject to the UN Missions’ and EU Operations’ respective capabilities and areas of deployment and without prejudice to their ability to carry out their respective mandates. 2.3 The provision of Support shall be subject to the Parties respective regulations, rules, established practices and procedures (hereafter ‘Regulations and Rules’). Article 3 Technical implementation arrangements 3.1 The detailed modalities and financial arrangements applicable to the provision of Support shall be agreed on a case-by-case basis and set out in mission-specific technical implementation arrangements concluded pursuant to Article 2 of this Agreement (hereafter ‘Technical Implementation Arrangements’). Where applicable the European Union shall furthermore ensure that Technical Implementation Arrangements shall be concluded by the competent authorities acting on behalf of ATHENA. 3.2 Neither Party shall be: (i) obliged to provide Support to the other, save as expressly set out in a Technical Implementation Arrangement; or (ii) liable to the other for its inability, in whole or in part, to provide such Support. 3.3 In case of conflict between this Agreement and any Technical Implementation Arrangement, the terms of this Agreement shall prevail. Article 4 Planning and coordination 4.1 The Parties shall each designate an official (hereafter the ‘UN Coordinator’ and the ‘EU Coordinator’, respectively) to coordinate the provision of Support pursuant to this Agreement. 4.2 Save as otherwise agreed between the Parties, the UN Coordinator and the EU Coordinator shall be the point of contact for all matters arising in respect of this Agreement. 4.3 The UN Coordinator and the EU Coordinator shall consult on a regular basis to review and coordinate the timely provision to the other of all relevant information as may be required for the purposes of planning, identifying, prioritizing and coordinating UN Mission and EU Operation Support requirements. Article 5 Categories of support 5.1 Technical Implementation Arrangements concluded pursuant to this Agreement may include the following categories of Support (i) the provision of logistic goods, supplies or services; (ii) the transfer (sale) of equipment; (iii) the construction, refurbishment and/or handover of infrastructure; (iv) the provision of security or protection services to personnel and/or property and/or (v) the exchange of classified information. 5.2 The above-mentioned categories of Support are for illustrative purposes only and shall not be interpreted as exclusive, or as a commitment to provide such Support. Article 6 Provisions on support 6.1 The provision of logistic goods, supplies or services pursuant to a Technical Implementation Arrangement may include, but shall not be limited to the categories of logistic goods, supplies and services set out in Annex 1 of this Agreement. (i) Unless otherwise agreed in writing in the applicable Technical Implementation Arrangement, the quality of logistic goods, supplies or services provided by the UN Mission or the EU Operation to the other shall be of equal quality and calibre to that enjoyed by the provider’s own personnel; (ii) For purposes of providing the logistic goods, supplies or services, the UN Mission and the EU Operation may draw on existing contracts or arrangements entered into by or on behalf of the provider; the Parties shall ensure that all services, equipment, supplies purchased by or on behalf of the provider shall be procured in accordance with the Regulations and Rules of the provider. 6.2 The transfer of equipment pursuant to a Technical Implementation Arrangement may include, but shall not be limited to, the categories of equipment set out in Annex 2 of this Agreement. (i) To the extent that the Technical Implementation Arrangement provides for the transfer (sale) of equipment, the UN Mission and the EU Operation, while at all times acting in conformity with their respective Regulations and Rules, may transfer, sell or dispose of equipment to the other on the basis set out below: (a) The provider represents and warrants that it is the sole owner of the equipment, that the equipment is fully paid and free of any third party rights, liens and encumbrances; (b) The recipient acknowledges that the equipment is sold on an ‘as is’‘where is’ basis and that the provider makes no warranties or representations, express or implied, as to the condition of the equipment, or as to its suitability and fitness for any intended use, and that the provider shall not be liable for any claims, demands, losses or liability arising from or in connection with the use or operation of the equipment after it has been transferred to the recipient; (c) Save as otherwise expressly agreed in the applicable Technical Implementation Arrangements, the transfer of title to the equipment shall occur (1) when the purchase price has been credited in full to the provider’s designated bank account; and (2) a handover certificate confirming the physical handover and receipt of the equipment has been signed by the recipient; (d) Immediately prior to the occurrence of the transfer of title, the provider and the recipient shall jointly prepare an inventory of, and inspect, the equipment; (e) Immediately upon occurrence of the transfer of title, the recipient shall assume full responsibility for the equipment, including for the loss of, damage to, or destruction of, the equipment (including for the insurance of the equipment); and, (f) The provider shall transfer to the recipient any warranties in place for the equipment. (ii) Additional terms and conditions governing the transfer of the equipment shall be set out in the applicable Technical Implementation Arrangement. 6.3 The specific terms and conditions governing the construction, refurbishment and/or handover of infrastructure shall be agreed where applicable on a case-by-case basis, and set out in the Technical Implementation Arrangement. For the purpose of the construction, refurbishment and/or hand over of infrastructure, the competent authorities of the Parties shall also consult with, and seek the appropriate approvals or agreement from the host Government, or landowner, as necessary. 6.4 The specific terms and conditions under which classified or confidential information may be exchanged in the field shall be set out in the Technical Implementation Arrangements concluded pursuant to this Agreement. The provision or exchange of classified or confidential information shall be subject to the Parties respective policies, procedures and established practices. 6.5 The specific terms and conditions governing the provision of security or protection services shall be set out in the applicable Technical Implementation Arrangement. The provision of security or protection services shall be subject to the UN Missions’ and the EU Operations’ respective mandates and shall not derogate from the recipient’s responsibility to take adequate measures to safeguard its personnel and property. Article 7 Financial arrangements 7.1 Technical Implementation Arrangements concluded pursuant to this Agreement shall include appropriate financial arrangements based, inter alia, on the following financial provisions. I. General principles 7.2 Save as otherwise expressly provided in this Agreement, or otherwise agreed by the Parties in writing, Support provided by one Party to the other pursuant to this Agreement shall be provided on a cost-reimbursable basis. Specific details of the costs for each support activity and their method of calculation will be further elaborated in the relevant Technical Implementation Arrangements, referred to in Article 3 herein. 7.3 The Parties shall ensure that the costs incurred in the provision of Support: (i) Are supported by accurate and up-to date records and documents and include only actually incurred costs directly attributable to the Support received by the other party, and (ii) will be reimbursed if they comply with the criteria outlined in this Agreement, as well as any additional conditions outlined in the Technical Implementation Arrangements and agreed to in advance. 7.4 The provider shall submit invoices to the recipient after delivery or performance of the Support. The provider shall invoice the recipient at least once a year for all transactions not previously invoiced. Invoices shall be accompanied by the necessary support documentation and shall be paid within sixty (60) days of the date of the invoice. Payment shall be made in the currency of the provider or as otherwise agreed. II. Provision of logistic goods, supplies or services and security support 7.5 Logistic goods, supplies and services and the provision of security or protection services shall be charged on the basis of actual direct costs that the provider incurs on account of the provision of the Support. III. Transfer of equipment and infrastructure 7.6 The purchase price (if any) shall be determined on the basis of the net market value or where no market value can be determined, it shall be fair and reasonable taking into account specific local conditions and depreciation rates applied by the respective competent authorities. 7.7 The recipient of the equipment shall be responsible for the costs associated with the transfer of the equipment, including, without limitation, any transportation costs. 7.8 Where applicable the Parties, acting in conformity with their respective Regulations and Rules, may contribute to the cost of infrastructure constructed, refurbished or improved by one of them for the purposes of use by the other and/or both of them. The terms and conditions governing such contributions shall be agreed in writing by the competent authorities on a case-by-case basis and set out in the applicable Technical Implementation Arrangement. 7.9 To the extent that the provision or handover of infrastructure pertains to premises, camps, or other infrastructure constructed, refurbished, or improved by either of the Parties for its own purposes in the implementation of its mandate, the modalities for handover, including any financial arrangements shall be set out where applicable in a Technical Implementation Arrangement. IV. Exchange of classified information 7.10 Exchange of classified information between EU Operations and UN Missions shall be at no cost. Article 8 Additional provisions of Technical Implementation Arrangements 8.1 The terms and conditions of Technical Implementation Arrangements concluded pursuant to this Agreement shall be consistent with this Agreement and shall include: (i) Appropriate Liability and Indemnity provisions based on the provisions set out in Article 9 below. The necessary adjustments shall be made to such Liability and Indemnity provisions to reflect the parties to the applicable Technical Implementation Arrangement. In particular, for the purposes of Technical Implementation Arrangements that relate to European Union operations having military or defence implications, the officials, personnel, servants and agents of the European Union referred to in Article 9 below shall be deemed to include the officials, personnel, servants and agents of ATHENA and of European Union participating States; (ii) Appropriate Consultation and Dispute Resolution provisions based on the provisions set out in Article 11 below; (iii) Provisions regarding the Human Rights Due Diligence Policy and Privileges and Immunities as set out in Articles 10 and 12 below. 8.2 Technical Implementation Arrangements shall also include, inter alia, appropriate provisions governing Liaison and Coordination, Implementation procedures, Invoicing/Payment procedures, as well as provisions for Recordkeeping, Audit and Investigations. Article 9 Liability and indemnity 9.1 Save as expressly provided in this Agreement, the United Nations, including its officials, personnel, servants and agents, and the European Union, including its officials, personnel, servants and agents, shall incur no liability whatsoever arising from or in connection with the implementation of this Agreement. In particular, and without prejudice to the generality of the foregoing, the United Nations, including its officials, personnel, servants and agents, and the European Union, including its officials, personnel, servants and agents, shall incur no liability whatsoever for any military or other operations or activities carried out by the other Party, including such other Party’s officials, personnel, servants or agents. 9.2 The United Nations and the European Union shall each be responsible for resolving and shall indemnify, hold and save harmless, the other, its officials, personnel, servants or agents from and against, all claims, demands, losses and liability of any nature or kind in respect of the death, injury, illness, or loss or damage to personal property, sustained by their respective officials, personnel, servants or agents, arising from or in connection with the implementation of this Agreement, save to the extent that such claims or demands result from the gross negligence or wilful misconduct of the other Party, or of its officials, personnel, servants or agents. 9.3 The United Nations and the European Union shall each be responsible for resolving, and shall indemnify, hold and save harmless, the other, its officials, personnel, servants and agents from and against, all claims, demands, losses and liability of any nature or kind brought or asserted by third parties, based on, arising from, related to, or in connection with their respective acts or omissions, or the acts or omissions of their respective officials, personnel, servants and agents, in the implementation of this Agreement. Article 10 Human Rights Due Diligence Policy The responsibilities undertaken by the United Nations pursuant to this Agreement are subject to the terms of the Human Rights Due Diligence Policy on UN Support to non-UN Security Forces (S/2013/110), a copy of which is attached in Annex 3 of this Agreement. Article 11 Consultation and dispute resolution 11.1 The United Nations and the European Union shall keep the implementation of this Agreement under close review and shall regularly and closely consult with each other for that purpose. 11.2 The UN Coordinator and the EU Coordinator shall, within their respective responsibilities, regularly consult with each other, at either’s request, on any difficulties, problems, matters of concern or disputes that may arise in the course of the implementation of this Agreement and shall use best efforts to discuss and resolve any matters amicably by negotiation. 11.3 In the event that the UN Coordinator and the EU Coordinator are unable to resolve any difficulties, problems, matters of concern, or disputes to the satisfaction of the Parties, consultations shall be continued between the Under-Secretary-General for Operational Support and the Deputy Secretary General for Common Security and Defence Policy and Crisis Management and ultimately, if required, at the request of either Party, between the Secretary-General of the United Nations and the High Representative of the European Union for Foreign Affairs and Security Policy, with a view to reaching an amicable resolution. 11.4 Any claims or disputes that have not otherwise been resolved in accordance with this Article of this Agreement may be submitted to a mutually-agreed conciliator or mediator. Any claim or dispute which has failed to be settled by such conciliation or mediation may be submitted to arbitration at the request of either Party. Each Party shall appoint one arbitrator, and the two arbitrators so appointed shall appoint a third, who will be the Chairman. If within thirty (30) days from the date on which the request for arbitration was made either Party has not appointed an arbitrator or if within thirty (30) days of the appointment of two arbitrators the third arbitrator has not been appointed, either Party may request the President of the International Court of Justice to appoint an arbitrator. The procedures for the arbitration shall be in accordance with the UNCITRAL Arbitration Rules then obtaining. The arbitrators shall have no authority to award punitive damages. The arbitral award shall contain a statement of reasons on which it is based and shall be accepted as the final adjudication of any such claim or dispute. Article 12 Privileges and immunities Nothing in or relating to this Agreement shall be deemed a waiver, express or implied, of any of the privileges and immunities of the United Nations, including its subsidiary organs or the European Union, including its institutions and competent entities. Article 13 Final provisions 13.1 This Agreement shall enter into force on the date of its signature by the Parties. 13.2 This Agreement may be modified, supplemented or amended at any time by written agreement between the Parties. 13.3 This Agreement shall be reviewed 5 years after its entry into force. 13.4 This Agreement may be terminated at any time by either Party giving sixty (60) days’ notice to the other. Notwithstanding the termination of this Agreement, the provisions of Articles 9, 11 and 12 of this Agreement shall remain in force until such time as all disputes, claims or liabilities arising in connection with this Agreement have been resolved. 13.5 The Annexes to this Agreement are an integral part of this Agreement. IN WITNESS WHEREOF, this Agreement is signed by the duly authorized representatives of the European Union and the United Nations Done at New York, on 29 September 2020, in duplicate, in the English language. For the European Union: For the United Nations: ANNEX 1 Categories of logistic goods, supplies and services that may be provided: Transportation and movement services Infrastructure and engineering services — Accommodation — Office space — Infrastructure for Role 1 up to 3 Technical facilities — Storage — Workshops — Fuel station — Ammunition storage — Parking (for vehicles or aircraft); helipads. — Electrical power — Sanitary Water General services — Grounds maintenance — Cleaning/janitorial services — Environmental protection (sewage/waste removal) — Minor repairs and maintenance — Fire protection/prevention and fire fighting Management services — Camp management services — Environmental protection Control services — Veterinary and food control — Waste control — Water control — Hygiene control — Pest control Real life support — Rations/catering — Laundry — Moral & welfare — Energy — Sanitary — Cleaning — Waste disposal Supply services — Petroleum, oil, lubricants (POL) Communication services Medical support — Pharmaceuticals — Medical supplies — Casualty evacuation / Medical evacuation (CASEVAC/MEDEVAC) — Medical treatment (Role 1, Role 2 and Role 3 services) — Medical waste disposal — Patient evacuation coordination cell (PECC) Security services ANNEX 2 Categories of equipment that may be transferred: — Accommodation (incl. buildings and temporary/tented accommodation) Other infrastructure — Vehicles (General purpose vehicles, armoured vehicles, specialized vehicles) — Construction, handling, and other specialized equipment and machinery — Pumps, water treatment equipment and machines — Non-lethal items of military equipment — Petroleum, oils, lubricants — Clothing — IT and communication equipment — Medical supplies, equipment and/or pharmaceuticals — Ammunition — Spare parts — Generators — Furniture ANNEX 3 United Nations Human Rights Due Diligence Policy Annex [Original: English and French] Human rights due diligence policy on United Nations support to non-United Nations security forces I. Core principles 1. Support by United Nations entities to non-United Nations security forces must be consistent with the Organization’s purposes and principles as set out in the Charter of the United Nations and with its obligations under international law to respect, promote and encourage respect for international humanitarian, human rights and refugee law. Such support should help recipients to attain a stage where compliance with these principles and bodies of law becomes the norm, ensured by the rule of law. Consistent with these obligations, United Nations support cannot be provided where there are substantial grounds for believing there is a real risk of the receiving entities committing grave violations of international humanitarian, human rights or refugee law and where the relevant authorities fail to take the necessary corrective or mitigating measures. For the same reasons, if the United Nations receives reliable information that provides substantial grounds to believe that a recipient of United Nations support is committing grave violations of international humanitarian, human rights or refugee law, the United Nations entity providing such support must intercede with the relevant authorities with a view to bringing those violations to an end. If, despite such intercession, the situation persists, the United Nations must suspend support to the offending elements. Notwithstanding the present policy, existing obligations of human rights, humanitarian and refugee law continue to apply to all United Nations activities. 2. United Nations entities that are contemplating or involved in providing support to non-United Nations security forces must therefore pursue a policy of due diligence, comprising the following key elements: (a) Before support is given, an assessment of the risks involved in providing or not providing such support, in particular the risk of the recipient entity committing grave violations of international humanitarian law, human rights law or refugee law; (b) Transparency with receiving entities about the legal obligations binding the Organization and the core principles governing provision of support; and (c) An effective implementation framework, including: (i) Procedures for monitoring the recipient entity’s compliance with international humanitarian, human rights and refugee law; (ii) Procedures for determining when and how to intercede with a view to putting an end to grave violations of any of those bodies of law and for deciding, if need be, upon the suspension or withdrawal of support; and (iii) General operational guidance, as required, by the respective United Nations entities to the country level on implementation of the policy. 3. Adherence to the human rights due diligence policy is important to maintain the legitimacy, credibility and public image of the United Nations and to ensure compliance with the Charter and with the Organization’s obligations under international law. 4. Relevant policies and guidelines on specific areas of support, including the guidance notes developed in the inter-agency Security Sector Reform Task Force, must be consistent with the due diligence policy. 5. The present policy is not intended in any way to hinder the normal work of the Organization aimed at encouraging respect for international humanitarian, human rights or refugee law, including developing capacity as well as investigating and reporting on violations of those bodies of law and interceding with relevant authorities to protest those violations, secure remedial action and prevent their repetition. The policy is intended to complement those normal processes. II. Human rights due diligence policy A. Scope of the policy 6. The human rights due diligence policy applies to all United Nations entities providing support to non-United Nations security forces. It therefore applies not only to peacekeeping operations and special political missions, but also to all United Nations offices, agencies, funds and programmes that engage in such activities. B. Definitions 7. For the purpose of this policy, “non-United Nations security forces” include: (a) National military, paramilitary, police, intelligence services, border-control and similar security forces; (b) National civilian, paramilitary or military authorities directly responsible for the management, administration or command or control of such forces; (c) Peacekeeping forces of regional international organizations. 8. “Support” is understood to mean any of the following activities: (a) Training, mentoring, advisory services, capacity- and institution-building and other forms of technical cooperation for the purpose of enhancing the operational capabilities of non-United Nations security forces; (b) Ad hoc or programmatic support to civilian or military authorities directly responsible for the management, administration or command and control of non-United Nations security forces; (c) Financial support, including payment of salaries, bursaries, allowances and expenses, whatever the source of the funds; (d) Strategic or tactical logistical support to operations in the field conducted by non-United Nations security forces; (e) Operational support to action in the field conducted by non-United Nations security forces, including fire support, strategic or tactical planning; (f) Joint operations conducted by United Nations forces and non-United Nations security forces. 9. “Support” does not include: (a) Training or sensitization regarding international humanitarian, human rights and refugee law; (b) Standard-setting (e.g. advice on and review of legislation, codes and policies) and capacity support directly related to the implementation and promotion of compliance with human rights laws and standards and to foster democratic governance of security institutions; (c) Engagement to promote compliance with humanitarian, human rights and refugee law or to negotiate humanitarian access and carry out relief operations; (d) Mediation and mediation-related support; (e) Medical evacuation (MEDEVAC) and casualty evacuation (CASEVAC). 10. “Support” may be direct or indirect — that is, through implementing partners. 11. When determining whether an activity constitutes support or not in accordance with paragraphs 8 and 9 above, United Nations entities should consider the need to promote consistency in the implementation of the policy across the United Nations system according to paragraphs 18 and 20 below. 12. “Grave violations” mean, for the purposes of the present policy: (a) In the case of a unit: (i) Commission of “war crimes” or of “crimes against humanity”, as defined in the Rome Statute of the International Criminal Court, or “gross violations” of human rights, including summary executions and extrajudicial killings, acts of torture, enforced disappearances, enslavement, rape and sexual violence of a comparable serious nature, or acts of refoulement under refugee law that are committed on a significant scale or with a significant degree of frequency (that is, they are more than isolated or merely sporadic phenomena); or (ii) A pattern of repeated violations of international humanitarian, human rights or refugee law committed by a significant number of members of the unit; or (iii) The presence in a senior command position of the unit of one or more officers about whom there are substantial grounds to suspect: • Direct responsibility for the commission of “war crimes”, “gross violations” of human rights or acts of refoulement; or • Command responsibility, as defined in the Rome Statute of the International Criminal Court, for the commission of such crimes, violations or acts by those under their command; or • Failure to take effective measures to prevent, repress, investigate or prosecute other violations of international humanitarian, human rights or refugee law committed on a significant scale by those under their command; (b) In the case of civilian or military authorities that are directly responsible for the management, administration or command of non-United Nations security forces: (i) Commission of grave violations by one or more units under their command; (ii) Combined with a failure to take effective measures to investigate and prosecute the violators. 13. “United Nations” includes any office, department, agency, programme, fund, operation or mission of the United Nations. C. Risk assessment 14. Before engaging in support, the United Nations entity directly concerned must conduct an assessment of the potential risks and benefits involved in providing support. This assessment should include consideration of the following elements (where a United Nations entity has an existing mechanism in place, this may be used to conduct the assessment in accordance with paragraph 19 below): (a) The record of the intended recipient(s) in terms of compliance or non‐compliance with international humanitarian, human rights and refugee law, including any specific record of grave violations; (b) The record of the recipient(s) in taking or failing to take effective steps to hold perpetrators of any such violations accountable; (c) Whether any corrective measures have been taken or institutions, protocols or procedures put in place with a view to preventing the recurrence of such violations and, if so, their adequacy, including institutions to hold any future perpetrators accountable; (d) An assessment of the degree to which providing or withholding support would affect the ability of the United Nations to influence the behaviour of the receiving entity in terms of its compliance with international humanitarian, human rights and refugee law; (e) The feasibility of the United Nations putting in place effective mechanisms to monitor the use and impact of the support provided; (f) An assessment based on the factors above and on the overall context of the support, of the risk that the receiving entity might nevertheless commit grave violations of international humanitarian, human rights or refugee law. 15. Information on the record of the intended recipient with regard to compliance with international humanitarian, human rights and refugee law should be obtained from the United Nations or other reliable sources. 16. Where, as a result of this risk assessment, the United Nations entity directly concerned concludes that there are substantial grounds for believing that there is a real risk of the intended recipient committing grave violations of international humanitarian, human rights or refugee law, notwithstanding any mitigatory measures that the United Nations might take, then the United Nations entity concerned must not engage in the provision of support to that intended recipient. The United Nations entity should make clear that support will not be possible unless and until the intended recipient takes measures that are of such effect that there are no longer substantial grounds for believing that there would be a real risk of such grave violations occurring. Such measures might include, for example, the removal of an officer from a senior command position when there are substantial grounds for suspecting that officer of being responsible for grave violations of international humanitarian, human rights or refugee law. 17. Where, as a result of the risk assessment, the United Nations entity directly concerned concludes that substantial grounds do not exist for believing there to be a real risk of the intended recipient committing such violations, then the United Nations entity concerned may proceed to engage in the provision of support, subject to compliance with the following sections of this policy. D. Transparency 18. Effective implementation of the policy requires the understanding and cooperation of all stakeholders, including donor and programme countries, troop- and police-contributing countries and host countries of United Nations peacekeeping and political missions. Each entity mandated to or anticipating support for non‐United Nations security forces shall engage proactively with Member States and other relevant partners and stakeholders to explain the policy. 19. Before engaging in support to non-United Nations security forces, the responsible senior United Nations official[s] (e.g. Special Representative of the Secretary-General, Resident Coordinator, country representative) should inform the recipient authority/ies in writing of the United Nations core principles for support to non-United Nations security forces under this policy. In particular, recipients should be notified that United Nations support cannot be provided to units that fall under the command of individuals against whom there are substantiated allegations of grave violations of international humanitarian, human rights or refugee law. The recipient authority should also be advised of procedures or mechanisms to implement the policy, as outlined in section III below. It should be made clear to the recipient that, in order to sustain the support, the United Nations is obligated to continuously assess whether or not the recipient’s actions are consistent with the Organization’s obligations under the relevant bodies of law. While advocacy and communication may be undertaken by a specific United Nations entity, it should be coordinated to promote consistency across the United Nations in-country, and the most senior United Nations official in a given country (Special Representative of the Secretary-General and/or Resident Coordinator) should be kept informed of such steps. III. Ensuring effective implementation A. Elements of an implementation framework 20. Implementation of the human rights due diligence policy must take into account the specific mandates of the United Nations entity concerned, as well as the nature and extent of the support, and the political and operational context in which it is delivered. 21. Each United Nations entity providing support must develop an implementation framework in accordance with its management practices in order to ensure compliance with this policy. That framework should be clearly set out in a standing operating procedure or similar instrument. The framework should, where relevant, be reported to the entity’s mandating body. Such a framework should include, as required: (a) Resources required to effectively manage delivery of the support and to monitor and evaluate its impact; (b) Incentives or other accompanying measures aimed at improving compliance by the recipient with international humanitarian, human rights and refugee law; (c) Mechanisms for the effective monitoring of the recipient’s behaviour to detect grave violations of international humanitarian, human rights and refugee law and the recipient institution’s responses to any violations (such mechanisms should include procedures for regular reporting from the Office of the United Nations High Commissioner for Human Rights (OHCHR), the Office of the United Nations High Commissioner for Refugees (UNHCR), the Office for the Coordination of Humanitarian Affairs (OCHA) and the United Nations Children’s Fund (UNICEF) and from the offices of the Special Representatives of the Secretary-General for Children and Armed Conflict, and the Special Representative of the Secretary-General on Sexual Violence in Conflict); (d) Well-defined systems for the collation and effective review of information gathered through such monitoring and from other sources, including local protection of civilian networks; (e) Well-defined procedures to guide decisions by responsible United Nations officials on whether or not violations committed by the recipient entity require intervention with the recipient entity or its command elements or, as a final resort, require the suspension or withdrawal of support under this policy; (f) Clear procedures for communication with the relevant authorities where United Nations intervention or the suspension or withdrawal of support is required under this policy; (g) Clear and effective procedures for evaluating and considering the possible risks if support is suspended or withdrawn, including risks to the safety and security of United Nations and associated personnel, and for identifying appropriate mitigatory measures, and ensuring that they are taken. 22. In the application of the policy and the use of measures set out in paragraphs 21 (a) to (g) above at the country level, each United Nations entity should take into account the need to promote consistency in the implementation of the policy across the United Nations system. The most senior United Nations official in country (Special Representative of the Secretary-General and/or Resident Coordinator) is responsible for initiating consultations on the implementation framework with all national and international stakeholders. In the case of integrated missions, consultations between the mission and the United Nations country team should be part of established procedure. B. Prior advice to United Nations legislative bodies 23. Action by United Nations entities to support non-United Nations security forces requires particularly careful attention due to the special risks, potential liabilities and high visibility involved. It is therefore important that United Nations entities exercise due diligence, in particular by conducting a risk assessment, before a mandate or directive is adopted to provide support to non-United Nations security forces. The resulting evaluation should be included in reports or briefings to legislative bodies, as appropriate. In the peacekeeping context, such evaluations should help inform and shape proposals by the Secretary-General to legislative bodies regarding mandates. C. Reporting and oversight 24. Relevant official United Nations reports (e.g. reports of the Secretary-General to the Security Council, country and thematic reports by United Nations offices, programmes, agencies and funds) should cover support provided to non-United Nations security forces, including the nature and scope of the support, measures employed to ensure compliance with the “due diligence” policy, related actions to promote respect for the core principles of United Nations support and an assessment of the impact of the support. 25. Where critical difficulties arise relating to such support, United Nations entities should report immediately to the relevant decision-making United Nations officials and legislative bodies, as appropriate, on developments related to the elements of the risk assessment that present the Organization or its personnel with the risk of being associated with grave violations of international humanitarian, human rights or refugee law. The United Nations entities involved should report on the circumstances, any measures taken to mitigate or remedy the situation and recommendations for follow-up action. D. Mitigatory measures 26. If the United Nations receives reliable information that provides substantial grounds for believing that a recipient of United Nations support is committing grave violations of international humanitarian, human rights or refugee law, the United Nations entity providing support should bring these grounds to the attention of the relevant national authorities with a view to bringing those violations to an end. 27. If, despite intercession by the United Nations entity concerned, the United Nations receives reliable information that provides substantial grounds to suspect that the recipient entity is continuing to engage in grave violations of international humanitarian, human rights or refugee law, then the United Nations entity must suspend or withdraw support from the recipient. E. Operational challenges 28. In the peacekeeping context, withholding or withdrawing support in the face of a failure by recipient security forces to comply with the core principles of the policy may significantly diminish the mission’s ability to fulfil the overall mandate and objectives set out by the Security Council. Suspension or withdrawal of logistical, material or technical support may, however, become necessary where continued support would implicate the Organization in grave violations of international humanitarian, human rights or refugee law. The Secretary-General should keep the Council informed of measures taken by a peacekeeping operation under this policy and, where it is thought that application of this policy would have a critical impact on the ability of the operation to discharge its mandate, should advise the Council in a timely manner and seek the Council’s advice regarding the way forward. Similarly, should the withholding or withdrawal of support by a United Nations agency, fund or programme affect the ability of that entity to fulfil its mandate, the Executive Head of the said agency, fund or programme will advise the governing body of the agency, fund or programme in a timely manner, and seek its advice regarding the way forward. F. Accountability 29. Following endorsement of the present policy framework by the Secretary-General, senior managers at Headquarters (Under-Secretaries-General, the Administrator of the United Nations Development Programme (UNDP), the Executive Directors of funds and programmes) are responsible for ensuring that support for non-United Nations security forces and institutions and implementation of the policy are kept under regular review in their areas of responsibility. They are also responsible for ensuring that significant developments in the implementation of this policy, including mitigatory actions taken under it, are brought to the timely attention of the Secretary-General and the relevant legislative bodies. 30. Where relevant, integrated mission task forces and integrated task forces should include in their agendas a standing item on review and evaluation of support provided to non-United Nations security forces. 31. A further submission to the Policy Committee should be prepared in one year’s time, in the light of experience gained to determine, inter alia, if any further implementation measure(s) or mechanisms are required. ANNEX 4 UN and EU Points of Contact EU — EUMS D.2, LOG DIR/RES European Union Military Staff, Logistics Resources Support EUMS-LOGISTICS-DIRECTORATE@eeas.europa.eu — CPCC, Civilian Planning and Conduct Capability cpcc.secretariat@eeas.europa.eu UN — DOS/DSA/SPS Department of Operational Support Division for Special Activities, Support Partnerships Service dos-sps@un.org — DOS/OSCM/OASG Department of Operational Support Office of the Assistant Secretary-General for Supply Chain Management oscm-oasg@un.org

Summary: Crisis management — Framework for participation agreements Crisis management — Framework for participation agreements SUMMARY OF: Framework Agreement between the EU and the United Nations for the provision of mutual support in the context of their respective missions and operations in the field Agreements with non-EU countries as follows: Agreement between the EU and Vietnam and Decision (EU) 2019/1803 on its signing and conclusion Agreement between the EU and Jordan and Decision (CFSP) 2019/1328 on its signing and conclusion Agreement between the EU and Bosnia and Herzegovina and Decision (CFSP) 2015/1967 on its signing and conclusion Agreement between the EU and Australia and Decision (EU) 2015/916 on its signing and conclusion Agreement between the EU and Colombia and Decision 2014/538/CFSP on its signing and conclusion Agreement between the EU and Korea and Decision 2014/326/CFSP on its signing and conclusion Agreement between the EU and Chile and Decision 2014/71/CFSP on its signing and conclusion Agreement between the EU and Georgia and Decision 2014/15/EU (see corrigendum) on its signing and conclusion Agreement between the EU and Moldova and Decision 2013/12/CFSP on its signing and conclusion Agreement between the EU and North Macedonia and Decision 2012/768/CFSP on its signing and conclusion Agreement between the EU and Albania and Decision 2012/344/CFSP on its signing and conclusion Agreement between the EU and New Zealand and Decision 2012/315/CFSP on its signing and conclusion Agreement between the EU and Serbia and Decision 2011/361/CFSP on its signing and conclusion Framework Agreement between the EU and the United States and Decision 2011/318/CFSP on its signing and conclusion Agreement between the EU and Montenegro and Decision 2011/133/CFSP on its signing and conclusion Agreement between the EU and Turkey and Decision 2006/482/CFSP on its signing and conclusion Agreement between the EU and Canada and Decision 2005/851/CFSP on its signing and conclusion Agreement between the EU and Ukraine and Decision 2005/495/CFSP on its signing and conclusion Agreement between the EU and Norway and Decision 2005/191/CFSP on its signing and conclusion Agreement between the EU and Iceland and Decision 2005/191/CFSP on its signing and conclusion WHAT IS THE AIM OF THE AGREEMENTS AND THE DECISIONS? The EU-United Nations framework agreement sets out the rules for the provision of mutual logistic, administrative and security support by UN missions and EU operations engaged in crisis and post-conflict situations in the field. The agreements define the terms of the participation of non-EU countries in EU crisis management operations as well as the relationship of those countries with the EU in carrying out the missions. The decisions approve the respective agreements on behalf of the EU. KEY POINTS Article 37 of the Treaty on European Union and Article 218 of the Treaty on the Functioning of the European Union provide the necessary legal background conferring authority for the EU to conclude agreements with non-EU countries concerning their participation in EU crisis management operations. EU crisis management The European External Action Service (EEAS) Crisis Response & Operational Coordination Department is responsible for activating the EEAS Crisis Response System (CRS) (crisis platform, EU situation room, crisis management board), and plays a central role in ensuring a swift and effective response across the EU system as well as consistent policy and actions throughout the various phases of the crisis life-cycle. The CRS covers crises which may affect EU security and interests occurring outside the EU, including those affecting the EU delegations or any other EU asset or person in non-EU countries. It also covers crises occurring inside the EU where they have an external dimension. CRS ranges from prevention and preparedness to response and recovery, aiming to achieve a comprehensive EU crisis response and management capability. Participation in EU crisis management operations Each non-EU country covered by the agreements decides to accept the invitation to participate in EU-led operations on a case-by-case basis. If it accepts, the country also undertakes to abide by the terms of the Council decision through which the EU has decided to conduct the operation concerned. Countries’ contribution could involve civilian personnel, military personnel and materials. The parties also agree on a possible contribution to the operation’s budget. The non-EU country assumes all the costs associated with its participation, except where these costs are provided for in the budget. At any time, the country may decide to withdraw in whole or in part from the military operation after consultation with the EU. The decision to end the crisis management operation is essentially an EU decision, though they must consult any country still making a contribution at the time the decision is envisaged. Any disputes concerning the interpretation or application of an agreement are settled through diplomatic channels. Status of the non-EU country contingent seconded to an EU-led operation The status of the non-EU country contingent is governed by the status of mission agreement between the EU and the country in which the operation takes place. If such an agreement has not yet been concluded, the parties agree on an equivalent arrangement before the deployment. The status of admission agreement defines the privileges and immunities of the seconded personnel. The country retains the right to exercise jurisdiction over its seconded personnel in the country in which the operation takes place. They will also be responsible for answering any claims related to its participation in accordance with its national law. Conduct of operations The EU is in charge of conducting crisis management operations and defines the objectives and guidelines for the missions. The non-EU country ensures that its personnel and units carry out their tasks in accordance with these guidelines and that their personnel follow the direction of the EU Head of Mission or EU Commander, while fully remaining under their own command. The non-EU country designates a national point of contact to represent its national contingent in the operation reporting to the Head of Mission and responsible for disciplinary matters within the country’s contingent. Waiver of claims As part of each agreement, the EU and the non-EU country waive claims against the other party for damages resulting from the performance of their official duties, except in cases of gross negligence or wilful misconduct. This waiver of claims must be declared by the country concerned as well as by each EU country. FROM WHEN DO THE DECISIONS AND THE AGREEMENTS APPLY? The EU-UN framework agreement entered into force on 29 September 2020. Country Decision Agreement Viet Nam 18 July 2019 - Jordan 18 February 2019 - Bosnia and Herzegovina 9 March 2012 - Australia 22 July 2013 - Colombia 8 July 2014 - South Korea 28 January 2014 - Chile 18 November 2013 - Georgia 18 November 2013 - Moldova 25 October 2012 - Macedonia 9 March 2012 29 October 2012 Albania 23 March 2012 5 June 2012 New Zealand 19 December 2011 - Serbia 20 December 2010 8 June 2011 United States 31 March 2011 17 May 2011 Montenegro 21 February 2011 22 February 2011 Turkey 10 March 2006 - Canada 21 November 2005 - Ukraine 13 June 2005 1 May 2008 Norway 18 October 2004 1 January 2005 Iceland 18 October 2004 1 April 2005 Notes: Some agreements have not yet entered into force. Agreements enter into force on the first day of the first month after the parties notify each other of the completion of the necessary internal legal procedures. Similar agreements were concluded with Bulgaria and Romania before they joined the EU. BACKGROUND See also: Crisis response (EU External Action) Enhancing security cooperation in and with Asia (EU External Action) The Civilian Planning and Conduct Capability (CPCC) (EU External Action). MAIN DOCUMENTS Framework Agreement between the European Union and the United Nations for the Provision of Mutual Support in the context of their respective missions and operations in the field (OJ L 389, 19.11.2020, pp. 2-20) Agreement between the European Union and the Government of the Socialist Republic of Viet Nam establishing a framework for the participation of Viet Nam in European Union crisis management operations (OJ L 276, 29.10.2019, pp. 3-11) Agreement between the European Union and the Hashemite Kingdom of Jordan establishing a framework for the participation of the Hashemite Kingdom of Jordan in European Union crisis management operations (OJ L 207, 7.8.2019, pp. 3-11) Agreement between the European Union and Bosnia and Herzegovina establishing a framework for the participation of Bosnia and Herzegovina in the European Union crisis management operations (OJ L 288, 4.11.2015, pp. 4-11) Agreement between the European Union and Australia establishing a framework for the participation of Australia in European Union crisis management operations (OJ L 149, 16.6.2015, pp. 3-10) Agreement between the European Union and the Republic of Colombia establishing a framework for the participation of the Republic of Colombia in European Union crisis management operations (OJ L 251, 23.8.2014, pp. 8-15) Agreement between the European Union and the Republic of Korea establishing a framework for the participation of the Republic of Korea in European Union crisis management operations (OJ L 166, 5.6.2014, pp. 3-10) Agreement between the European Union and the Republic of Chile establishing a framework for the participation of the Republic of Chile in European Union crisis management operations (OJ L 40, 11.2.2014, pp. 2-7) Agreement between the European Union and Georgia establishing a framework for the participation of Georgia in European Union crisis management operations (OJ L 14, 18.1.2014, pp. 2-7) Agreement between the European Union and the Republic of Moldova establishing a framework for the participation of the Republic of Moldova in European Union crisis management operations (OJ L 8, 12.1.2013, pp. 2-7) Agreement between the European Union and the former Yugoslav Republic of Macedonia establishing a framework for the participation of the former Yugoslav Republic of Macedonia in European Union crisis management operations (OJ L 338, 12.12.2012, pp. 3-10) Agreement between the European Union and the Republic of Albania establishing a framework for the participation of the Republic of Albania in the European Union crisis management operations (OJ L 169, 29.6.2012, pp. 2-7) Agreement between the European Union and New Zealand establishing a framework for the participation of New Zealand in European Union crisis management operations (OJ L 160, 21.6.2012, pp. 2-7) Agreement between the European Union and the Republic of Serbia establishing a framework for the participation of the Republic of Serbia in European Union crisis management operations (OJ L 163, 23.6.2011, pp. 2-7) Framework Agreement between the United States of America and the European Union on the participation of the United States of America in European Union crisis management operations (OJ L 143, 31.5.2011, pp. 2-6) Agreement between the European Union and Montenegro establishing a framework for the participation of Montenegro in European Union crisis management operations (OJ L 57, 2.3.2011, pp. 2-7) Agreement between the European Union and the Republic of Turkey establishing a framework for the participation of the Republic of Turkey in the European Union crisis management operations (OJ L 189, 12.7.2006, pp. 17-22) Agreement between the European Union and Canada establishing a framework for the participation of Canada in the European Union crisis management operations (OJ L 315, 1.12.2005, pp. 21-26) Agreement between the European Union and Ukraine establishing a framework for the participation of Ukraine in the European Union crisis management operations (OJ L 182, 13.7.2005, pp. 29-34) Agreement between the European Union and the Kingdom of Norway establishing a framework for the participation of the Kingdom of Norway in the European Union crisis-management operations (OJ L 67, 14.3.2005, pp. 8-13) Agreement between the European Union and the Republic of Iceland establishing a framework for the participation of the Republic of Iceland in the European Union crisis-management (OJ L 67, 14.3.2005, pp. 2-7) Council Decision (EU) 2019/1803 of 18 July 2019 on the signing and conclusion of the Agreement between the European Union and the Government of the Socialist Republic of Viet Nam establishing a framework for the participation of Viet Nam in European Union crisis management operations (OJ L 276, 29.10.2019, pp. 1-2) Council Decision (CFSP) 2019/1328 of 18 February 2019 on the signing and conclusion of the Agreement between the European Union and the Hashemite Kingdom of Jordan establishing a framework for the participation of the Hashemite Kingdom of Jordan in European Union crisis management operations (OJ L 207, 7.8.2019, pp. 1-2) Council Decision (CFSP) 2015/1967 of 9 March 2012 on the signing and conclusion of the Agreement between the European Union and Bosnia and Herzegovina establishing a framework for the participation of Bosnia and Herzegovina in European Union crisis management operations (OJ L 288, 4.11.2015, pp. 2-3) Council Decision (EU) 2015/916 of 22 July 2013 on the signing and conclusion of the Agreement between the European Union and Australia establishing a framework for the participation of Australia in European Union crisis management operations (OJ L 149, 16.6.2015, pp. 1-2) Council Decision 2014/15/CFSP of 18 November 2013 on the signing and conclusion of the Agreement between the European Union and Georgia establishing a framework for the participation of Georgia in European Union crisis management operations (OJ L 14, 18.1.2014, p. 1) Successive amendments to Decision 2014/15/CFSP have been incorporated into the original document. This consolidated version is of documentary value only. Council Decision 2014/71/CFSP of 18 November 2013 on the signing and conclusion of the Agreement between the European Union and the Republic of Chile establishing a framework for the participation of the Republic of Chile in European Union crisis management operations (OJ L 40, 11.2.2014, p. 1) Council Decision 2014/538/CFSP of 8 July 2014 on the signing and conclusion of the Agreement between the European Union and the Republic of Colombia establishing a framework for the participation of the Republic of Colombia in European Union crisis management operations (OJ L 251, 23.8.2014, p. 7) Council Decision 2014/326/CFSP of 28 January 2014 on the signing and conclusion of the Agreement between the European Union and the Republic of Korea establishing a framework for the participation of the Republic of Korea in European Union crisis management operations (OJ L 166, 5.6.2014, pp. 1-2) Council Decision 2013/12/CFSP of 25 October 2012 on the signing and conclusion of the Agreement between the European Union and the Republic of Moldova establishing a framework for the participation of the Republic of Moldova in European Union crisis management operations (OJ L 8, 12.1.2013, p. 1) Council Decision 2012/768/CFSP of 9 March 2012 on the signing and conclusion of the Agreement between the European Union and the former Yugoslav Republic of Macedonia establishing a framework for the participation of the former Yugoslav Republic of Macedonia in European Union crisis management operations (OJ L 338, 12.12.2012, pp. 1-2) Council Decision 2012/344/CFSP of 23 March 2012 on the signing and conclusion of the Agreement between the European Union and the Republic of Albania establishing a framework for the participation of the Republic of Albania in European Union crisis management operations (OJ L 169, 29.6.2012, p. 1) Council Decision 2012/315/CFSP of 19 December 2011 on the signing and conclusion of the Agreement between the European Union and New Zealand establishing a framework for the participation of New Zealand in European Union crisis management operations (OJ L 160, 21.6.2012, p. 1) Council Decision 2011/361/CFSP of 20 December 2010 on the signing and conclusion of the Agreement between the European Union and the Republic of Serbia establishing a framework for the participation of the Republic of Serbia in European Union crisis management operations (OJ L 163, 23.6.2011, p. 1) Council Decision 2011/318/CFSP of 31 March 2011 on the signing and conclusion of the Framework Agreement between the United States of America and the European Union on the participation of the United States of America in European Union crisis management operations (OJ L 143, 31.5.2011, p. 1) Council Decision 2011/133/CFSP of 21 February 2011 on the signing and conclusion of the Agreement between the European Union and Montenegro establishing a framework for the participation of Montenegro in European Union crisis management operations (OJ L 57, 2.3.2011, p. 1) Council Decision 2006/482/CFSP of 10 April 2006 concerning the conclusion of the Agreement between the European Union and the Republic of Turkey establishing a framework for the participation of the Republic of Turkey in the European Union crisis management operations (OJ L 189, 12.7.2006, p. 16) Council Decision 2005/851/CFSP of 21 November 2005 concerning the conclusion of the Agreement between the European Union and Canada establishing a framework for the participation of Canada in the European Union crisis management operations (OJ L 315, 1.12.2005, p. 20) Council Decision 2005/495/CFSP of 13 June 2005 concerning the conclusion of an Agreement between the European Union and Ukraine establishing a framework for the participation of Ukraine in the European Union crisis management operations (OJ L 182, 13.7.2005, p. 28) Council Decision 2005/191/CFSP of 18 October 2004 concerning the conclusion of agreements between the European Union and the Republic of Iceland, the Kingdom of Norway and Romania establishing a framework for the participation of the Republic of Iceland, the Kingdom of Norway and Romania in the European Union crisis-management operations (OJ L 67, 14.3.2005, p. 1) RELATED DOCUMENTS Consolidated version of the Treaty on European Union — Title V — General provisions on the Union’s external action and specific provisions on the common foreign and security policy — Chapter 2 — Specific provisions on the common foreign and security policy — Section 1 — Common provisions — Article 37 (ex Article 24 TEU) (OJ C 202, 7.6.2016, p. 36) Consolidated version of the Treaty on the Functioning of the European Union — Part Five — The Union’s external action — Title V — International agreements — Article 218 (ex Article 300 TEC) (OJ C 202, 7.6.2016, pp. 144-146) last update 27.11.2020