1999R0976 — EN — 05.06.2003 — 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)No976/1999
of29April1999
layingdowntherequirementsfortheimplementation ofCommunityoperations,otherthanthose
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
lawandtothatofrespectinghumanrightsandfundamentalfreedomsinthirdcountries
(OJ L 120, 8.5.1999, p. 8)
Amended by:
Official Journal
No page date
►M1Council Regulation (EC) No 807/2003 of 14 April 2003 L 122 36 16.5.2003
▼B
COUNCILREGULATION(EC)No976/1999
of29April1999
laying down the requirements for the implementation of Commu-
nity 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
rightsandfundamentalfreedomsinthirdcountries
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, andinparticular, Article 235 thereof,
Having regard to the proposal from the Commission (
1),
Having regard to the opinion of the European Parliament (2),
(1)Whereas procedures should be laid downfor the implemen tation
of Community operations, other than those of development coop-
erationwhich, withinthe framework of Commun ity cooperationpolicy in third countries, contribute to the general objective ofdeveloping and consolidating democracy and the rule of lawand to that of respecting human rights and fundamental freedoms
inthird coun tries;
(2)Whereas the Council has adopted simultaneously with this Regu-
lation, Council Regulation (EC) No 975/1999 of 29 April 1999
laying down the requirements for the implementation of develop-
ment cooperation operations which contribute to the generalobjective of developing and consolidating democracy and therule of law and to that of respecting human rights and funda-mental freedoms (
3);
(3)Whereas, within the framework of existing programmes relatingto cooperation with third countries, including TACIS, PHARE,MEDA and the Regulation on reconstruction in Bosnia and
Herzegovina, as well as future such cooperation implemented
onthe basis of Article 235 of the EC Treaty, actionis n ecessaryto contribute to the general objective of developing and consoli-dating democracy and the rule of law and to that of respectinghuman rights and fundamental freedoms in third countries;
(4)Whereas Article F.2 of the Treaty onEuropeanUn ionstipulatesthat the Union respects fundamental rights, as guaranteed by theEuropean Convention for the Protection of Human Rights and
Fundamental Freedoms signed in Rome on 4 November 1950
and as they result from the constitutional traditions common tothe Member States, as general principles of law;
(5)Whereas Community action to promote human rights and demo-cratic principles is guided by belief in the universality andindivisibility of human rights, principles that underpin the inter-national system for the protection of human rights;
(6)Whereas Community action to promote human rights and demo-cratic principles is rooted in the general principles established bythe Universal Declaration of Human Rights, the InternationalCovenant on Civil and Political Rights and the International
Covenant on Economic, Social and Cultural Rights;
(7)Whereas the Community recognises the interdependence of allhuman rights, and that progress in economic and social develop-
ment and in the achievement of civil and political rights aremutually supportive;1999R0976 — EN — 05.06.2003 — 001.001 — 2
(1) OJ C 282, 18.9.1997, p. 14.
(2) Opinion delivered on 14 April 1999 (not yet published in the Official
Journal).
(3) See page 1 of this Official Journal.
▼B
(8)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 GenevaConventions and the 1977 Additional Protocol thereto, the 1951Geneva Convention relating to the Status of Refugees, the 1948Convention on the Prevention and Punishment of the Crime ofGenocide and other acts of international treaty or customary law;
(9)Whereas the resolutiononhumanrights, democracy an d devel-
opment 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 andpolitical freedoms alongside economic and social rights, bymeans of a representative political system based on respect forhumanrights;
(10)Whereas Community action to promote human rights and demo-cratic 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 itspartners, 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 by 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 by confidence-building
measures aimed at preventing conflicts, supporting peace initia-tives and addressing the issue of impunity;
(12)Whereas the financial instruments used to support positive actionin individual countries should be used in a manner consistentwith geographical programmes and integrated with other devel-opment instruments to maximise their impact and effectiveness;
(13)Whereas it 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;
(14)Whereas these operations should focus on those discriminatedagainst or suffering from poverty or disadvantage, children,women, refugees, migrants, minorities, displaced persons, indi-genous 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 the
objectives laid down in the agreements concluded by the
Community with its partners, in which respect for human rightsand democratic principles is an essential element of relationsbetweenthe parties;
(16)Whereas the quality, impact and continuity of operations shouldin particular be safeguarded by providing for multiannualprogrammes to promote human rights and democratic principles
in 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-ples to be reflected in the establishment of flexible, transparentand rapid decision-making procedures for the financing of opera-tions and projects in this field;
(18)Whereas the Community needs to be able to respond rapidly toemergencies or situations of particular importance in order to
enhance the credibility and effectiveness of its commitment to
the promotion of human rights and democratic principles incountries where such situations arise;
(19)Whereas the procedures for the award of assistance and theevaluationof projects, inparticular, should take accoun t of thespecial nature of the recipients of Community support in thisfield, namely the non-profit nature of their activities, the risks1999R0976 — EN — 05.06.2003 — 001.001 — 3
▼B
run by members who are in many cases volunteers, the some-
times hostile environment in which they operate and the limitedroom 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 this
context the Community may be required in beneficiary third
countries to provide financial support to partners who have noprevious experience in this area;
(21)Whereas decisions to fund projects to promote human rights anddemocratic principles must be taken impartially, without racial,religious, cultural, social or ethnic discrimination between bodiesreceiving Community support and persons or groups targeted bythe 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
rights and democratic principles financed from the general
budget of the EuropeanCommun ities;
(23)Whereas implementation of these operations is likely to helpachieve the Community's objectives; whereas the Treaty doesnot provide, for the adoption of this Regulation, powers otherthanthose set out inArticle 235;
(24)Whereas a financial reference amount, within the meaning ofpoint 2 of the Declaration by the European Parliament, theCouncil and the Commission of 6 March 1995 (
1), is included
inthis Regulationfor the en tire durationof the programme,
without thereby affecting the powers of the budgetary authority
as they are defined by the Treaty,
HAS ADOPTED THIS REGULATION:
CHAPTER 1
Objectives
Article 1
The purpose of this Regulationis to lay downthe procedures for the
implementation of Community operations, other than those of develop-ment cooperation which, within the framework of Communitycooperation policy in third countries, 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.
The operations referred to in this Regulation shall be implemented in
the territory of third countries or shall be directly related to situationsarising in third countries.
Article 2
The procedures laid downinthis Regulationapply to operation s inthe
fields covered by Articles 3 and 4 implemented within the frameworkof existing programmes relating to the cooperation with third countries,including TACIS(
2), PHARE(3), MEDA(4) and the Regulations
relating to Bosnia and Herzegovina(5), as well as to any future opera-1999R0976 — EN — 05.06.2003 — 001.001 — 4
(1) OJ C 102, 4.4.1996, p. 4.
(2) Council Regulation (EEC) No 2157/91 (OJ L 201, 24.7.1991, p. 2). Regula-
tionas last amen ded by Regulation(EC) No 1279/96 (OJ L 165, 4.7.1996,
p. 1).
(3) Council Regulation (EEC) No 3906/89 (OJ L 375, 23.12.1989, p. 11). Regu-
lationas last amen ded by Regulation(EC) No 753/96 (OJ L 103, 26.4.1996,p. 5).
(
4) Council Regulation (EEC) No 1763/92 (OJ L 181, 1.7.1992, p. 5). Regula-
tionas last amen ded by Regulation(EC) No 1488/96 (OJ L 189, 30.7.1996,
p. 1).
(5) Council Regulation (EC) No 753/96 (OJ L 103, 26.4.1996, p. 5).
▼B
tions of Community cooperation relating to third countries in these
fields, other than those of development cooperation, implemented onthe basis of Article 235 of the Treaty establishing the European
Community.
Article 3
Within the limits of Articles 1 and 2, and consistent with the European
Union's foreign policy as a whole, the European Community shallprovide technical and financial aid for operations aimed at:
1. promoting and defending the human rights and fundamental free-
doms proclaimed inthe Un iversal Declarationof HumanRights
and the 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 promotionan d protectionof the humanrights 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;
(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 rights
abuses or help to improve conditions in places where peopleare deprived of their liberty inorder to preven t torture or ill-treatment;
(g) support for education, training and consciousness-raising in the
area of humanrights;
(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 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;
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 abolish
the 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) promotionof pluralism both at political level an d at the level of
civil society by strengthening the institutions needed to maintain
the pluralist nature of that society, including non-governmental
organisations (NGOs), and by promoting independent andresponsible media and supporting a free press and respect forthe rights of freedom of associationan d 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 bypromoting the equal participation of men and women in civilsociety, in economic life and in politics;1999R0976 — EN — 05.06.2003 — 001.001 — 5
▼B
(f) support for electoral processes, in particular by supporting inde-
pendent electoral commissions, granting material, technical andlegal assistance in preparing for elections, including electoral
censuses, taking measures to promote the participation of
specific groups, particularly women, in the electoral processand 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 the respect for humanrights an d
democratisation by preventing conflict and dealing with its conse-
quences in close collaboration with the relevant competent bodies,inparticular:
(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-building
measures relating to human rights and democratisation, in orderto prevent conflict and to restore civil peace;
(d) promoting international humanitarian law and its observance by
all parties to a conflict;
(e) supporting international, regional or local organisations,
including the NGOs, involved in preventing, resolving and
dealing with the consequences of conflict, including support for
establishing ad hocinternational criminal tribunals and setting
up a permanent international criminal court, and support andassistance for the victims of human rights violations.
Article 4
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 tenders and the preparation of project documents;
(d) the financing of general studies concerning the Community's
actionwithinthe 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, thepurchasing or leasing of premises;
(c) where appropriate, actions for the purpose of highlighting the
Community character of the operations;
4. measures to monitor, audit and evaluate Community operations.
5. activities to explainthe objectives an d results of these measures to
the general public in the countries concerned and administrative andtechnical assistance for the mutual benefit of the Commission andthe beneficiary.1999R0976 — EN — 05.06.2003 — 001.001 — 6
▼B
CHAPTER II
Procedures fortheimplementationofaid
Article 5
1. The partners eligible for financing under this Regulation 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 institutes
and operators.
2. Operations financed by the Community under this Regulation
shall be implemented by the Commission either at the request of apartner referred to in paragraph 1 or on its own initiative.
Article 6
To be eligible for Community aid, the partners referred to in Article
5(1) must have their mainheadquarters ina third coun try eligible forCommunity aid under this Regulation or in a Member State of theCommunity. Such headquarters must be the effective decision-makingcentre for all operations financed under this Regulation. Exceptionally,
the headquarters may be in another third country.
Article 7
Without prejudice to the institutional and political environment in
which the partners referred to in Article 5(1) operate, the followingfactors shall in particular be considered when determining a body's
suitability for Community funding:
(a) its commitment to defending, respecting and promoting human
rights and democratic principles in a non-discriminatory manner;
(b) its experience in the field of promoting human rights and demo-
cratic principles;
(c) its administrative and financial management capacities;
(d) its technical and logistical 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) its capacity to build up a working relationship with other elements
of civil society in the third country concerned and to direct assis-
tance to local organisations accountable to civil society.
Article 8
1. Aid shall not be allocated to the partners referred to in Article
5(1) unless they undertake to comply with the allocation and imple-mentation conditions laid down by the Commission, to which theyshall be contractually bound.
2. Activities aided by the Community shall be implemented in
accordance with the objectives laid down in the Commission financingdecision.
3. Community financing under this Regulation shall take the form of
grants.
4. Where operations financed under this Regulation are the subject
of financing agreements between the Community and the recipientcountries, such agreements shall stipulate that taxes, charges andcustoms duties are not to be borne by the Community.
Article 9
1. Participation in invitations to 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.1999R0976 — EN — 05.06.2003 — 001.001 — 7
▼B
2. Supplies shall originate in the Member States or the recipient
country. They may originate in other countries in exceptional andduly justified cases.
Article 10
1. In the interests of consistency and complementarity and in order
to maximise the overall effectiveness of operations, the Commission, inclose cooperation with the Member States, may take any coordinationmeasures necessary.
2. Inan y 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 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;
(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.
CHAPTER III
Procedures fortheimplementationofoperations
Article 11
The financial reference amount for the implementation of this Regula-
tion during the period 1999 to 2004 shall be EUR 150 million.
The annual appropriations shall be authorised by the budgetary
authority within the limits of the financial perspective.
Article 12
The Commission shall appraise, decide upon and administer, monitor
and evaluate operations under this Regulation in accordance with the
budgetary and other procedures in force. It shall lay down the condi-
tions for allocating, mobilising and implementing aid under thisRegulation.
Article 13
1. The following shall be adopted by the Commission according to
the procedure laid downinArticle 14(2):
— decisions on operations for which financing under this Regulation
exceeds EUR 1 million and any modification to such operations
leading to an increase of more than 20 % in the sum initially
agreed,
— programmes intended 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 Commissionshall n otify the committee referred to inArticle
14 of financing decisions that it intends to take concerning projects andprogrammes costing less than EUR 1 million. Notice shall be given atleast a week before the decisionis taken .
Article 14
1. The Commissionshall be assisted by the committee, referred to
as the ‘HumanRights an d Democracy Committee’, set up byArticle 13 of Regulation(EC) No 975/1999.1999R0976 — EN — 05.06.2003 — 001.001 — 8
▼M1
▼M1
2. Where reference is made to this paragraph, Articles 5 and 7 of
Decision1999/468/EC (1) shall apply.
The period laid downinArticle 5(6) of Decision1999/468/EC shall be
set at three months.
3. The committee shall adopt its rules of procedure.
Article 15
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 thesudden 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 funda-mental rights and freedoms of the individual.
2. Where operations fulfil these conditions, the Commission shall
act after consulting the Member States by the most efficient means.
Five working days shall be allowed to the Member States in which to
put forward any objections. If there are any objections, the committee,referred to in Article 14, shall examine the question at its next meeting.
3. The Commissionshall in form the committee referred to inArticle
14, at its next meeting, of all emergency measures financed under these
provisions.
Article 16
The committee may examine any general or specific issues concerning
Community aid in the field and should also play a useful role as ameans for improving the coherence of the human rights and democrati-
sation actions of the European Union towards third countries. Once a
year it will examine the planning for the following financial year ordiscuss general guidelines presented by the representative of theCommission for operations under this Regulation to be undertaken inthe year ahead.
Article 17
1. The Commission shall regularly evaluate operations financed by
the Community under this Regulation in order to establish whetherthey have achieved their objectives and to produce guidelines forimproving the effectiveness of subsequent operations. The Commissionshall submit to the committee a summary of the evaluationexercises
carried out that it might, if necessary, examine. The evaluation reports
shall be available to the Member States onrequest.
2. At the request of the Member States, the Commissionmay, with
them, also evaluate the results of the Community's operations andprogrammes under this Regulation.
Article 18
All contracts or financing agreements concluded under this Regulation
shall provide inparticular that the Commissionan d the Court of Audi-tors may conduct checks on the spot and at the headquarters of thepartners referred to in Article 5(1) according to the usual procedures
established by the Commission under the rules in force, and in parti-
cular those of the Financial Regulation applicable to the generalbudget of the EuropeanCommun ities.
Article 19
1. Within a month of its decision, the Commission shall notify the
Member States of operations and projects approved, indicating the1999R0976 — EN — 05.06.2003 — 001.001 — 9
(1) OJ L 184, 17.7.1999, p. 23.▼B
▼B
sums, the nature of the operation, the recipient country and the partners
involved.
2. At the close of each financial year, the Commission shall submit
an annual report to the European Parliament and to the Council with a
summary of the operations financed in the course of that year.
The summary shall contain information concerning the agencies with
which the operations referred 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, proposespecific operations.
Article 20
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 this Regulation.
Article 21
This Regulation shall enter into force on the third day following that of
its publicationinthe Official Journal of the European Communities .
It shall apply until 31 December 2004.
This Regulation shall be binding in its entirety and directly applicable
inall Member States.1999R0976 — EN — 05.06.2003 — 001.001 — 10