1999R0975 — EN — 20.11.2003 — 001.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COUNCILREGULATION(EC)No975/1999
of29April1999
laying down the requirements for the implementation of development cooperation operations
which contribute to the general objective of developing and consolidating democracy and the
ruleoflawandtothatofrespectinghumanrightsandfundamentalfreedoms
(OJ L 120, 8.5.1999, p. 1)
Amended by:
Official Journal
No page date
►M1Regulation (EC) No 1882/2003 of the European Parliament and of the
Council of 29 September 2003L 284 1 31.10.2003
▼B
COUNCILREGULATION(EC)No975/1999
of29April1999
laying down the requirements for the implementation of develop-
ment cooperation operations which contribute to the generalobjective of developing and consolidating democracy and the ruleof law and to that of respecting human rights and fundamental
freedoms
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, andin particular Article 130w thereof,
Having regard to the proposal from the Commission (
1),
Acting in accordance with the procedure laid down in Article 189c of
the Treaty (2),
(1)Whereasproceduress hould be laid down for the implementationof development cooperation operationswhich contribute to the
general objective of developing and consolidating democracy
and the rule of law and to that of respecting human rights andfundamental freedoms;
(2)Whereas the Council has adopted simultaneously with this Regu-lation, Council Regulation (EC) No 976/1999 of 29 April 1999laying down the requirementsfor the implementation of
Community operations, other than those of development coop-
eration, which, within the framework of Communitycooperation policy, contribute to the general objective of devel-oping and consolidating democracy and the rule of law and tothat of respecting human rights and fundamental freedoms inthird countries(
3);
(3)WhereasCommunity policy in the s phere of development coop-eration contributesto the general objective of developing andconsolidating democracy and the rule of law, and to that ofrespecting human rights and fundamental freedoms;
(4)WhereasArticle F.2 of the Treaty on European Union s tipulatesthat the Union respects fundamental rights, as guaranteed by the
European Convention for the Protection of Human Rightsand
Fundamental Freedomss igned in Rome on 4 November 1950and as they result from the constitutional traditions common tothe Member States, as general principles of Community law;
(5)WhereasCommunity action to promote human rightsand demo-
cratic principlesisguided by belief in the univers ality and
indivisibility of human rights, principles that underpin the inter-national system for the protection of human rights;
(6)WhereasCommunity action to promote human rightsand demo-cratic principles is rooted in the general principles established bythe Universal Declaration of Human Rights, the International
Covenant on Civil and Political Rightsand the International
Covenant on Economic, Social and Cultural Rights;
(7)Whereasthe Community recognis esthe interdependence of allhuman rights and whereas progress in economic and socialdevelopment and in the achievement of civil and political rightsshould be mutually supportive;
(8)Whereashuman rightswithin the meaning of thisRegulationshould be considered to encompass respect for internationalhumanitarian law, also taking into account the 1949 Geneva1999R0975 — EN — 20.11.2003 — 001.001 — 2
(1) OJ C 282, 18.9.1997, p. 14.
(2) Opinion of the European Parliament of 19 November 1997 (OJ C 371,
8.12.1997, p. 74), Council Common Position of 25 January 1999 (OJ C 58,
1.3.1999, p. 17) and Decision of the European Parliament of 14 April 1999
(not yet published in the Official Journal).
(3) See page 8 of thisOfficial Journal.
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Conventionsand the 1977 Additional Protocol thereto, the 1951
Geneva Convention relating to the Statusof Refugees , the 1948Convention on the Prevention and Punishment of the Crime of
Genocide and other actsof international treaty or cus tomary law;
(9)Whereas the resolution on human rights, democracy and devel-opment adopted by the Council and the Member States,
meeting within the Council, on 28 November 1991 sets outguidelines, procedures and practical measures aimed atpromoting civil and political freedomsalongs ide economic andsocial rights, by means of a representative political system basedon respect for human rights;
(10)WhereasCommunity action to promote human rightsand demo-cratic principles is the product of a positive and constructiveapproach in which human rightsand democratic principlesare
seen as a matter of common interest for the Community and its
partners, and as a subject for dialogue that can produce measuresto promote respect for these rights and principles;
(11)Whereas this positive approach should be reflected in the imple-mentation of measures in support of democratisation, thestrengthening of the rule of law and the development of a plur-alist and democratic civil society and in confidence-buildingmeasures aimed at preventing conflicts, supporting peace initia-
tives and addressing the issue of impunity;
(12)Whereas the financial instruments used to support positive action
in individual countries should be used in a manner consistent
with geographical programmesand integrated with other devel-
opment instruments to maximise their impact and effectiveness;
(13)Whereas it is also necessary to ensure that these operations are
consistent with the European Union's foreign policy as a whole,
including the common foreign and security policy;
(14)Whereas these operations should in particular focus on those
discriminated against or suffering from poverty or disadvantage,
children, women, refugees, migrants, minorities, displacedpersons, indigenous peoples, prisoners and victims of torture;
(15)Whereas Community support for democratisation and observanceof the principles of the rule of law within a political systemrespecting the individual's fundamental freedoms helps fulfil theobjectiveslaid down in the agreementsconcluded by theCommunity with its partners, in which respect for human rights
and democratic principles is an essential element of relations
between the parties;
(16)Whereasthe quality, impact and continuity of operationss hould
in particular be safeguarded by providing for multiannual
programmesto promote human rightsand democratic principlesin partnership with the authorities of the country concerned,taking account of its specific needs;
(17)Whereas efficient and consistent action requires the specificcharacteristics of action on human rights and democratic princi-plesto be taken into cons ideration and to be reflected in theestablishment of flexible, transparent and rapid decision-making
proceduresfor the financing of operationsand projectsin this
field;
(18)Whereasthe Community needsto be able to res pond rapidly to
emergenciesor s ituationsof particular importance in order to
enhance the credibility and effectiveness of its commitment tothe promotion of human rightsand democratic principlesincountries where such situations arise;
(19)Whereas the procedures for the award of assistance and theevaluation of projectsin particular s hould take account of thespecial nature of the recipients of Community support in thisfield, namely the non-profit nature of their activities, the risksrun by members who are in many cases volunteers, the some-1999R0975 — EN — 20.11.2003 — 001.001 — 3
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timeshos tile environment in which they operate and the limited
room for manoeuvre afforded by their own resources;
(20)Whereas the development of civil society must involve the emer-gence and organisation of new players and whereas in thiscontext the Community may be required in beneficiary thirdcountriesto provide financial s upport to partnerswho have nopreviousexperience in thisarea;
(21)Whereasdecis ionsto fund projectsto promote human rightsanddemocratic principlesmus t be taken impartially, without racial,religious, cultural, social or ethnic discrimination between bodiesreceiving Community support and persons or groups targeted by
the projects supported, and must not be guided by political
considerations;
(22)Whereas procedures should be established for the implementa-tion and administration of aid for the promotion of human
rightsand democratic principlesfinanced from the Community's
general budget;
(23)Whereasa financial reference amount, within the meaning ofpoint 2 of the Declaration by the European Parliament, the
Council and the Commission of 6 March 1995 (
1), isincluded
in thisRegulation for the entire duration of the programme,without thereby affecting the powersof the budgetary authorityasthey are defined by the Treaty,
HAS ADOPTED THIS REGULATION:
CHAPTER I
Objectives
Article 1
The purpose of this Regulation is to lay down the procedures for the
implementation of Community operationswhich, within the frameworkof Community development cooperation policy, contribute to thegeneral objective of developing and consolidating democracy and the
rule of law and to that of respecting human rights and fundamental
freedoms.
The operationsreferred to in thisRegulation s hall be implemented in
the territory of developing countries or shall be directly related to situa-tions arising in developing countries.
Article 2
Within the limits of Article 1, and consistent with the European
Union'sforeign policy asa whole, the European Community s hallprovide technical and financial aid for operationsaimed at:
1. promoting and defending the human rightsand fundamental free-
domsproclaimed in the Univers al Declaration of Human Rights
and other 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 discri-
minated against, or suffering from poverty or disadvantage,which will contribute to reduction of poverty and social exclu-sion;
(d) support for minorities, ethnic groups and indigenous peoples;1999R0975 — EN — 20.11.2003 — 001.001 — 4
(1) OJ C 102, 4.4.1996, p. 4.
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(e) supporting local, national, regional or international institutions,
including NGOs, involved in the protection, promotion ordefence of human rights;
(f) support for rehabilitation centres for torture victims and for
organisations offering concrete help to victims of human rightsabuses or help to improve conditions in places where people
are deprived of their liberty in order to prevent torture or ill-
treatment;
(g) support for education, training and consciousness-raising in the
area of human rights;
(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;
(j) promoting and protecting the fundamental freedomsmentioned
in the International Covenant on Civil and Political Rights, inparticular the freedom of opinion, expression and conscience,and the right to use one's own language;
2. supporting the processes of democratisation, in particular:
(a) promoting and strengthening the rule of law, in particular
upholding the independence of the judiciary and strengtheningit, and support for a humane prison system; support for constitu-tional and legislative reform; support for initiatives to abolishthe death penalty;
(b) promoting the separation of powers, particularly the indepen-
dence of the judiciary and the legislature from the executive,and support for institutional reforms;
(c) promotion of pluralism both at political level and at the level of
civil society by strengthening the institutions needed to maintainthe pluralist nature of that society, including non-governmentalorganisations (NGOs), and by promoting independent and
responsible media and supporting a free press and respect for
the rights of freedom of association and assembly;
(d) promoting good governance, particularly by supporting adminis-
trative accountability and the prevention and combating of
corruption;
(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 inde-
pendent electoral commissions, granting material, technical and
legal assistance in preparing for elections, including electoralcensuses, taking measures to promote the participation ofspecific groups, particularly women, in the electoral process,and by training observers;
(g) supporting national efforts to separate civilian and military func-
tions, training civilian and military personnel and raising theirawareness of human rights;
3. support for measures to promote respect for human rights and demo-
cratisation by preventing conflict and dealing with its consequences,in close collaboration with the relevant competent bodies, in parti-cular:
(a) supporting capacity-building, including the establishment of
local early warning systems;
(b) supporting measures aimed at balancing opportunities and at
bridging existing dividing lines among different identity groups;
(c) supporting measures facilitating the peaceful conciliation of
group interests, including support for confidence-buildingmeasures relating to human rights and democratisation, in orderto prevent conflict and to restore civil peace;1999R0975 — EN — 20.11.2003 — 001.001 — 5
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(d) promoting international humanitarian law and itsobs ervance by
all partiesto a conflict;
(e) supporting international, regional or local organisations,
including the NGOs, involved in preventing, resolving anddealing with the consequences of conflict, including support forestablishing ad hoc international criminal tribunalsand s etting
up a permanent international criminal court, and support and
assistance for the victims of human rights violations.
Article 3
Community support for these aims may include the financing of:1. campaigns to increase awareness, inform and train the agencies
involved and the general public;
2. the measures needed for the identification and preparation of
projects, namely:
(a) identification and feasibility studies;
(b) the exchange of technical know-how and experience between
European organisations and bodies in third countries;
(c) the costs arising from tendering procedures, in particular the
evaluation of tendersand the preparation of project documents ;
(d) the financing of general studies concerning the Community's
action within the scope of this Regulation;
3. the implementation of projects:
(a) technical assistance and expatriate and local staff to help imple-
ment the projects;
(b) purchasing and/or delivering any product or equipment strictly
necessary for the implementation of operations, including, inexceptional circumstances, and when duly justified, the
purchasing or leasing of premises;
(c) where appropriate, actionsfor the purpos e of highlighting the
Community character of the operations;
4. measures to monitor, audit and evaluate Community operations;
5. activities to explain the objectives and results of these measures to
the general public in the countriesconcerned and adminis trative and
technical assistance for the mutual benefit of the Commission andthe beneficiary.
CHAPTER II
Procedures fortheimplementationofaid
Article 4
1. The partnerseligible for financing under thisRegulation are
regional and international organisations, non-governmental organisa-
tions, national, regional and local authorities and official agencies,
community-based organisations and public or private-sector institutesand operators.
2. Operationsfinanced by the Community under thisRegulation
shall be implemented by the Commission either at the request of apartner referred to in paragraph 1 or on itsown initiative.
Article 5
To be eligible for Community aid, the partnersreferred to in Article
4(1) must have their main headquarters in a third country eligible forCommunity aid under thisRegulation or in a Member State of theCommunity. Such headquarters must be the effective decision-makingcentre for all operationsfinanced under thisRegulation. Exceptionally,the headquartersmay be in another third country.1999R0975 — EN — 20.11.2003 — 001.001 — 6
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Article 6
Without prejudice to the institutional and political environment in
which the partnersreferred to in Article 4(1) operate, the following
factors shall in particular be considered when determining a body's
suitability for Community funding:
(a) itscommitment to defending, res pecting and promoting human
rightsand democratic principlesin a non-dis criminatory manner;
(b) itsexperience in the field of promoting human rightsand demo-
cratic principles;
(c) its administrative and financial management capacities;
(d) itstechnical and logis tical capacity in relation to the planned opera-
tion;
(e) the results, where relevant, of any previous operations carried out,
in particular those financed by the Community;
(f) itscapacity to build up a working relations hip with other elements
of civil society in the third country concerned and to direct assis-tance to local organisations accountable to civil society.
Article 7
1. Aid shall not be allocated to the partners referred to in Article
4(1) unless they undertake to comply with the allocation and imple-mentation conditions which are laid down by the Commission and towhich they shall be contractually bound.
2. Activitiesaided by the Community s hall be implemented in
accordance with the objectives laid down in the Commission financingdecision.
3. Community financing under thisRegulation s hall take the form of
grants.
4. Where operationsfinanced under thisRegulation are the s ubject
of financing agreementsbetween the Community and the recipient
countries, such agreements shall stipulate that taxes, charges and
customs duties are not to be borne by the Community.
Article 8
1. Participation in invitationsto tender and the award of contracts
shall be open on equal terms to natural or legal persons from the reci-pient country and the Member States. It may be extended to othercountries in exceptional and duly justified cases.
2. Suppliess hall originate in the Member Statesor the recipient
country. They may originate in other countriesin exceptional and
duly justified cases.
Article 9
1. In the interests of consistency and complementarity and in order
to maximise the overall effectiveness of operations, the Commission, in
close cooperation with the Member States, may take any coordinationmeasures necessary.
2. In any case, for the purposes of paragraph 1, the Commission
shall encourage:
(a) the introduction of a system for the exchange and systematic
analysis of information on operations financed or considered for
financing by the Community and the Member States;
(b) the coordination of the implementation of operationson the s pot by
meansof regular meetingsfor the exchange of information betweenthe representatives of the Commission and the Member States in
the recipient country;
(c) the promotion of a coherent approach in relation to humanitarian
assistance and, whenever possible, the integration of the protectionof human rights within humanitarian assistance.1999R0975 — EN — 20.11.2003 — 001.001 — 7
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CHAPTER III
Procedures fortheimplementationofoperations
Article 10
The financial reference amount for the implementation of thisRegula-
tion during the period 1999 to 2004 shall be EUR 260 million.
The annual appropriations shall be authorised by the budgetary
authority within the limitsof the financial pers pective.
Article 11
The Commission shall plan, appraise, decide upon and administer,
monitor and evaluate operationsunder thisRegulation in accordancewith the budgetary and other proceduresin force. It s hall lay downthe conditionsfor allocating, mobilis ing and implementing aid under
thisRegulation.
Article 12
1. The following shall be adopted by the Commission according to
the procedure laid down in Article 13(2):
— decisions on operations for which financing under this Regulation
exceedsEUR 1 million and any modification to s uch operationsleading to an increase of more than 20 % in the sum initiallyagreed,
— programmesintended to provide a coherent framework for action in
a given country or region or in a specific field where the scale andcomplexity of the needs identified are such that they seem likely tocontinue.
2. The Commission shall notify the committee referred to in Article
13 of financing decisions that it intends to take concerning projects and
programmes costing less than EUR 1 million. Notice shall be given atleast a week before the decision is taken.
Article 13
1. The Commission shall be assisted by a Human Rights and
Democracy Committee, hereinafter referred to as‘the Committee’.
2. Where reference ismade to thisArticle, Articles5 and 7 of Deci-
sion 1999/468/EC (
1) shall apply, having regard to the provisions of
Article 8 thereof.
The period laid down in Article 5(6) of Decision 1999/468/EC shall be
set at three months.
3. The Committee shall adopt its rules of procedure.
Article 14
1. The Commission may finance emergency measures up to a
maximum of EUR 2 million. Emergency measures shall be deemednecessary 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 partof the population of a country and posing a grave threat to the funda-mental rightsand freedomsof the individual.
2. Where operations fulfil these conditions, the Commission shall
act after consulting the Member States by the most efficient means.Five working dayss hall be allowed to the Member Statesin which to1999R0975 — EN — 20.11.2003 — 001.001 — 8
(1) Council Decision 1999/468/EC of 28 June 1999 laying down the procedures
for the exercise of implementing powers conferred on the Commission (OJ
L 184, 17.7.1999, p. 23).▼M1
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put forward any objections. If there are any objections, the committee,
referred to in Article 13, shall examine the question at its next meeting.
3. The Commission shall inform the committee referred to in Article
13, at its next meeting, of all emergency measures financed under theseprovisions.
Article 15
The committee may examine any general or specific issues concerning
Community aid in the field and should also play a useful role as ameansfor improving the coherence of the human rightsand democrati-sation actions of the European Union towards third countries. Once a
year it will examine the planning for the following financial year or
discuss general guidelines for operations under this Regulation to beundertaken in the year ahead.
Article 16
1. The Commission shall regularly evaluate operations financed by
the Community under this Regulation in order to establish whether
they have achieved their objectivesand to produce guidelinesforimproving the effectiveness of subsequent operations. The Commissionshall submit to the committee a summary of the evaluation exercisescarried 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
programmesunder thisRegulation.
Article 17
All contractsor financing agreementsconcluded under thisRegulation
shall provide in particular that the Commission and the Court of Audi-
torsmay conduct checkson the s pot and at the headquartersof the
partnersreferred to in Article 4(1) in accordance with the us ual proce-dures established by the Commission under the rules in force, and inparticular those of the Financial Regulation applicable to the generalbudget of the European Communities.
Article 18
1. Within a month of its decision, the Commission shall notify the
Member Statesof operationsand projectsapproved, indicating thesums, the nature of the operation, the recipient country and the partnersinvolved.
2. At the close of each financial year, the Commission shall submit
an annual report to the European Parliament and to the Council with asummary of the operations financed in the course of that year.
The summary shall contain information concerning the partners with
which the operationsreferred to in Article 1 have been implemented.
The report shall also include a review of any external evaluation exer-
cises which may have been conducted and may, if appropriate, propose
specific operations.
Article 19
Three years after this Regulation enters into force, the Commission
shall submit to the European Parliament and to the Council an overallassessment of the operations financed by the Community under this
Regulation, which may be accompanied by appropriate proposals
concerning the future of thisRegulation.
Article 20
ThisRegulation s hall enter into force on the third day following that of
itspublication in the Official Journal of the European Communities .1999R0975 — EN — 20.11.2003 — 001.001 — 9
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It shall apply until 31 December 2004.
ThisRegulation s hall be binding in itsentirety and directly applicable
in all Member States.1999R0975 — EN — 20.11.2003 — 001.001 — 10