Amended proposal for a Council Regulation (EC) laying down the requirements for the implementation of development cooperation operations which contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms
30. 3. 1999 EN Official Journal of the European Communities C 89/1 II (Preparatory Acts) COMMISSION Amended proposal for a Council Regulation (EC) laying down the requirements for the implementation of development cooperation operations which contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms (1) (1999/C 89/01) COM(1999) 13 final — 97/0191/A(SYN) (Submitted by the Commission pursuant to Article 189 a (2) of the EC-Treaty on 22 January 1999) (1) OJ C 282, 18. 9. 1997, p. 14. THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 130w thereof, Having regard to the proposal from the Commission, Acting in accordance with the procedure laid down in Article 189c of the Treaty, Whereas procedures should be laid down for the implementation of development cooperation operations which contribute to the general objective of developing and consolidating democracy and the rule of law and to fundamental that of respecting human rights and freedoms; whereas procedures should also be laid down for the implementation of development cooperation operations which contribute to good governance; operations, other than those of development cooperation, which, within the framework of Community cooperation policy, contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms in third countries; Whereas Community policy in the sphere of development cooperation contributes to the general objective of developing and consolidating democracy and the rule of law, and to that of respecting human rights and fundamental freedoms; Whereas Article F. 2 of the Treaty on European Union stipulates that the Union respects fundamental rights, as the guaranteed by Protection of Human Rights and Fundamental Freedoms signed in Rome on 4 November 1950 and as they result from the Member States, as general principles of law; the European Convention traditions common the constitutional for to Whereas the Council has adopted simultaneously with this Regulation, Regulation (EC) No. , laying down the implementation of Community requirements for the Whereas Community action to promote human rights and democratic principles is guided by belief in the C 89/2 EN Official Journal of the European Communities 30. 3. 1999 universality and indivisibility of human rights, principles that underpin the international system for the protection of human rights and constitute the very foundations of European integration; society and by confidence-building measures aimed at preventing conflicts, supporting peace initiatives and addressing the issue of impunity; Whereas Community action to promote human rights in the general and democratic principles principles established by the Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights; is rooted Whereas the Community recognises the interdependence of all human rights, and that progress in economic and social development and in the achievement of civil and political rights are mutually supportive; Whereas human rights within the meaning of this Regulation should be considered to encompass respect for international humanitarian law, also taking into account the 1949 Geneva Conventions and the 1977 Additional Protocol the 1951 Geneva thereto, Convention relating to the Status of Refugees, the 1948 Convention on the Prevention and Punishment of the Crime of Genocide and other acts of international treaty or customary law; Whereas the Resolution on human rights, democracy and development adopted by the Council and the Member States meeting within the Council on 28 November 1991 sets out guidelines, procedures and practical measures aimed at promoting civil and political freedoms alongside economic and social rights, by means of a representative political system based on respect for human rights; Whereas the financial instruments used to support positive action in individual countries should be used in a manner consistent with geographical programmes and integrated with other development to maximise their impact and effectiveness; instruments it Whereas is also necessary to ensure that these operations are coherent with the European Union’s foreign policy as a whole, including the common foreign and security policy. Whereas these operations should in particular focus on those discriminated against or suffering from poverty or refugees, migrants, disadvantage, children, women, minorities, displaced persons, indigenous peoples, prisoners and victims of torture; Whereas Community support for democratisation and observance of the principles of the rule of law within a political system respecting the individual’s fundamental freedoms helps fulfil the objectives laid down in the agreements concluded by the Community with its partners, for human rights and democratic principles is an essential element of relations between the parties; in which respect Whereas the quality, impact and continuity of operations should in particular be safeguarded by providing for multiannual programmes to promote human rights and democratic principles in partnership with the authorities of the country concerned, taking account of its specific needs; Whereas Community action to promote human rights and democratic principles is the product of a positive and constructive approach in which human rights and democratic principles are seen as a matter of common interest for the Community and its partners, and as a subject for dialogue that can produce measures to promote respect for these rights and principles; Whereas efficient and consistent action requires the specific characteristics of action on human rights and democratic principles to be reflected in the establishment of transparent and rapid decision-making procedures for the financing of operations and projects in this field; flexible, Whereas this positive approach should be reflected by the implementation of democratisation, the strengthening of the rule of law and the development of a pluralist and democratic civil of measures support in Whereas the Community needs to be able to respond rapidly to emergencies or situations of particular importance in order to enhance the credibility, visibility and effectiveness of its commitment to the promotion of 30. 3. 1999 EN Official Journal of the European Communities C 89/3 human rights and democratic principles in countries where such situations arise; Community development cooperation policy, contribute to good governance. for Whereas the procedures for the award of assistance and the evaluation of projects in particular should, with due regard the Financial Regulation and budget transparency, take account of the special nature of the recipients of Community support in this field, namely the non-profit nature of their activities, the risks run by members who are the sometimes hostile environment in which they operate and the limited room for manoeuvre afforded by their own resources; in many cases volunteers, Whereas the development of civil society naturally leads to the emergence and organisation of new players, whereas the Community may therefore be called on to provide financial support to partners in the beneficiary third countries who can show no previous experience in the field concerned; Whereas decisions to fund projects to promote human rights and democratic principles must be taken impartially, without racial, religious, cultural, social or ethnic receiving Community support and persons or groups targeted by the projects supported, and must not be guided by political considerations; discrimination between bodies Whereas procedures should be established for the implementation and administration of aid the promotion of human rights and democratic principles financed from the Community’s general budget, for HAS ADOPTED THIS REGULATION: The operations referred to in this Regulation shall be implemented, within the framework of Community development cooperation policy, in the territory of developing countries or shall be directly related to situations connected with them. Article 2 Within the limits of Article 1, and consistent with the European Union’s foreign policy as a whole, the European Community shall provide technical and financial aid for operations aimed at: 1. promoting and defending the human rights and fundamental freedoms proclaimed in the Universal the other Declaration of Human Rights and international instruments concerning the development and consolidation of democracy and the rule of law, in particular: (a) the promotion and protection of civil and political rights; (b) the promotion and protection of economic, social and cultural rights; (c) the promotion and protection of the human rights of those discriminated against, or suffering from poverty or disadvantage, which will contribute to reduction of poverty and social exclusion; (d) the protection and promotion of the rights of indigenous peoples, minorities, ethnic groups, refugees, and displaced persons; (e) supporting local, national, regional or international including NGOs, involved in the protection, promotion or defence of human rights; institutions, CHAPTER I Objectives Article 1 (f) support for rehabilitation centres for torture victims and for organisations offering concrete help to victims of human rights abuses or help to improve conditions in places where people are deprived of their liberty in order to prevent torture or ill-treatment; for the The purpose of this Regulation is to lay down the procedures implementation of Community operations which, within the framework of Community development cooperation policy, contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms. Its purpose is also to lay down implementation of for Community operations which, within the framework of the procedures the (g) support for consciousness-raising rights; education, in and training the area of human (h) supporting action to monitor human rights, including the training of observers; (i) the promotion of equality of opportunity and non-discriminatory practices, including measures to combat racism and xenophobia; C 89/4 EN Official Journal of the European Communities 30. 3. 1999 (j) promoting and protecting fundamental freedoms mentioned in the International Covenant on Civil and Political Rights, in particular the freedom of opinion, expression and conscience, and the right to use one’s own language; the 3. support for measures to promote the respect for human rights and democratisation by preventing conflict and dealing with its consequences, in close collaboration with the relevant competent bodies, in particular: (a) supporting including capacity-building, establishment of local early warning systems; the 2. supporting particular: the processes of democratisation, in (a) promoting and strengthening the rule of law, in particular upholding the independence of the judiciary and strengthening it, and support for a humane prison system; support for constitutional and legislative reform; support for initiatives in favour of the abolition of the death penalty; (b) promoting the separation of powers, particularly the the legislature from the executive, and support for institutional reforms; independence of judiciary and the (c) promoting pluralism both at political level and at the level of civil society by strengthening the institutions needed to maintain the pluralist nature of that society, including non-governmental and by promoting organisations independent and supporting a free press and respect for the rights of freedom of association and assembly; (NGOs), and responsible media (b) supporting measures balancing opportunities and at bridging existing dividing lines among different identity groups; aimed at (c) supporting measures facilitating the peaceful conciliation of group interests, including support to confidence-building measures relating to human rights and democratisation, in order to prevent conflict and to restore civil peace; (d) promoting international humanitarian law and its observance by all parties to a conflict; (e) supporting regional or international, resolving and dealing with local organisations, including the NGOs, involved in preventing, the consequences of conflict, including support for criminal establishing tribunals and setting up a permanent international criminal court, support and assistance for victims of human rights violations. together with international ad hoc Article 3 (d) promoting good governance, particularly by supporting administrative accountability and the prevention and combating of corruption; Community support for these aims may include the financing of: (e) promoting the participation of the people in the decision-making process at national, regional and local level, in particular by promoting the equal participation of men and women in civil society, in economic life and in politics; (f) support for electoral processes, in particular by supporting independent electoral commissions, granting material, technical and legal assistance in electoral preparing censuses, the specific groups, particularly participation of women, in the electoral process, and by training observers; for taking measures to promote including elections, 1. education, information and training for the agencies the including involved and public opinion, countries concerned; in 2. the measures needed for the preparation of projects, namely: identification and (a) identification and feasibility studies; (b) exchange of technical know-how and experience between European organisations and bodies in third countries; (c) costs arising in particular the evaluation of tenders and the preparation of project documents; tendering procedures, from (g) supporting national efforts to separate civilian and military functions, training civilian and military personnel and raising their awareness of human rights; (d) financing of general studies concerning the Community’s action within the scope of this Regulation; 30. 3. 1999 EN Official Journal of the European Communities C 89/5 3. the implementation of projects: Article 6 (a) technical assistance and expatriate and local staff to help implement the projects; (b) purchasing and/or delivering any product or the in circumstances, and when duly equipment implementation of operations, exceptional justified, the purchasing or leasing of premises; for including, necessary strictly (c) where appropriate, actions for the purpose of highlighting the Community character of the operations. 4. measures to monitor, audit and evaluate Community operations, technical assistance of mutual benefit to the Commission and the recipients. administrative and and CHAPTER II Procedures for the implementation of aid Without prejudice to the institutional and political environment in which the partners referred to in Article 4(1) operate, the following factors shall in particular be considered when determining a body’s suitability for Community funding: (a) where appropriate, its experience in the field of promoting human rights and democratic principles; (b) its administrative and financial management capacities; (c) its technical and logistical capacity in relation to the planned operation; (d) the results, where relevant, of any previous operations carried out, in particular those financed by the Community; (e) its capacity to build up a working relationship with other elements of civil society in the third country concerned and local to direct assistance organisations accountable to civil society. to Article 4 Article 7 for financing under 1. The partners eligible this Regulation are regional and international organisations, non-governmental organisations, national regional and local authorities and official agencies, community-based organisations and public or private-sector institutes and operators. All partners shall undertake to propagate, respect and promote democratic principles and human rights through their actions, without discrimination. With a view to actively involving the target population, the Community shall take a particular interest in those — frequently small scale — activities which encourage grassroots democracy. 2. Operations financed by the Community under this Regulation shall be implemented by the Commission either at the request of a partner referred to in paragraph 1 or on its own initiative. Article 5 To be eligible for Community aid, the partners referred to in Article 4(1) must have their main headquarters in a third country eligible for Community aid under this Regulation or in a Member State of the Community. Such headquarters must be the effective decision-making centre for all operations financed under this Regulation. Exceptionally, the headquarters may be in another third country. 1. Aid shall not be allocated to the partners to in Article 4(1) unless they undertake to comply with the allocation and the Commission, to which they shall be contractually bound. implementation conditions laid down by 2. Activities aided by shall be implemented in accordance with the objectives laid down in the Commission financing decision. the Community 3. Community financing under this Regulation shall take the form of grants. 4. Where operations financed under this Regulation are the subject of the Community and the recipient countries, such agreements shall stipulate that taxes, charges and customs duties are not to be borne by the Community. financing agreements between Article 8 1. Participation in invitations to tender and the award of contracts shall be open on equal terms to natural or legal persons from the beneficiary county and the Member States. It may be extended to other countries in exceptional and duly justified cases. C 89/6 EN Official Journal of the European Communities 30. 3. 1999 2. Supplies shall originate in the Member States or the beneficiary country. They may originate in other countries in exceptional and duly justified cases. — any programme intended to provide a coherent framework for action in a given country or region or in a specific field where the scale and complexity of the needs identified are such that they seem likely to continue. Article 9 1. In the interests of consistency and complementary and in order to maximise the overall effectiveness of operations, the Commission, in close cooperation with the Member States, may take any coordination measures necessary. 2. The Commission shall notify the Committee referred to in Article 12 of financing decisions that it intends to take concerning projects and programmes costing less than EUR 1 million. Notice shall be given at least a week before the decision is taken. 2. For the purposes of the previous paragraph, the Commission shall in particular promote: Article 12 (a) the introduction of a system for the exchange and systematic analysis of information on operations financed or considered the Community and the Member States; financing by for (b) the coordination of the implementation of operations on the spot by means of regular meetings for the exchange of information between the representatives of the Commission and the Member States in the recipient country. 3. The Commission shall, in close cooperation with the Member States, also promote a coherent approach in relation to humanitarian assistance and, whenever possible, integrate the protection of human rights into humanitarian assistance. CHAPTER III Procedures for the implementation of operations Article 10 The Commission shall programme, appraise, decide upon and administer, monitor and evaluate operations under this Regulation in accordance with the budgetary and other procedures in force, and in particular those laid down in the Financial Regulation applicable to the general budget of the European Communities. It shall lay down the conditions for allocating, mobilising and implementing aid under this Regulation. Article 11 1. The following shall be approved according to the procedure laid down in Article 12(2): — decisions on operations for which financing under this Regulation exceeds EUR 1 million and any modifications to such operations leading to an increase of more than 20 % in the sum initially agreed, 1. The Commission shall be assisted by an advisory committee, hereinafter referred to as the Human Rights and Democracy Committee, composed of representatives of the Member States and chaired by the representative of the Commission. 2. The representative of the Commission shall submit to the Committee a proposal containing a draft of the measures to be taken. The Committee shall deliver its opinion on the draft within a time limit which the Chairman may lay down according to the urgency of the matter, if necessary by taking a vote. The opinion shall be recorded in the minutes; in addition each Member State shall have the right to have its position recorded in the minutes. The Commission shall take the utmost account of the opinion delivered by the Committee. It shall inform the Committee of the manner in which its opinion has been taken into account. Article 13 1. The Commission may finance emergency measures up to a maximum of EUR 2 million. Emergency measures shall be deemed necessary in cases of urgent and unforeseeable need arising from the sudden suspension of the democratic process or the emergence of a state of crisis or exceptional and imminent danger affecting all or part of the population of a country and posing a grave threat to the fundamental rights and freedoms of the individual. these conditions, 2. Where operations the fulfil Commission shall act after consulting the Member States by the most efficient means. The Member States shall be allowed five working days in which to put forward any objections. If there are any objections, the Committee, referred to in Article 12, shall examine the question at its next meeting. 30. 3. 1999 EN Official Journal of the European Communities C 89/7 3. The Commission shall inform the Committee referred to in Article 12, at its next meeting, of all emergency measures financed under these provisions. procedures established by the Commission under the rules in force, and in particular those of the Financial Regulation applicable to the general budget of the European Communities. 3a. The Commission shall also inform the European Parliament of these emergency measures. Article 17 Article 14 The Committee may examine any general or specific issues concerning Community aid in the field and should also play a useful role as a means for improving the coherence of the human rights and democratisation actions of the European Union towards third countries. Once a year it will discuss the programme proposed for the coming financial year or the general guidelines for operations to be undertaken in the year ahead. 1. Within a month of its decision, the Commission shall notify the Member States of operations and projects approved, indicating the sums, the nature of the operations, the recipient country and the partners involved. 2. Each year the Commission shall submit an annual report to the European Parliament and to the Council. This report shall contain at following information: least the (a) a summary of the operations financed in the course of the previous financial year; Article 15 (b) the programme for the current financial year; 1. The Commission shall regularly evaluate operations financed by the Community under this Regulation in order to establish whether they have achieved their objectives and to produce guidelines for improving the effectiveness of subsequent operations. The Commission shall submit to the Committee a summary of the evaluation exercises carried out that it might, if necessary, examine. The evaluation reports shall be available to the Member States on request. 2. At the request of the Member States, the Commission may, with them, also evaluate the results of the Community’s operations and programmes under this Regulation. (c) a summary of evaluations conducted pursuant to Article 15 of this Regulation; (d) information on the agencies with which the operation referred to in Article 1 have been implemented. Article 18 Three years after this Regulation enters into force, the Commission shall submit to the European Parliament and to the Council an overall assessment of the operations financed by the Community under this Regulation, which may be appropriate proposals concerning the future of this Regulation. accompanied by Article 16 Article 19 All contracts or financing agreements concluded under this Regulation shall provide in particular that the Commission and the Court of Auditors may conduct checks on the sport and at the headquarters of the partners referred to in Article 4(1) according to the usual This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Communities. This Regulation shall be binding in its entirety and directly applicable in all Member States