Re-examined proposal for a COUNCIL REGULATION (EC) ON OPERATIONS TO AID UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN DEVELOPING COUNTRIES
Date: 1997-01-16
Institutions: European Commission
Subjects: Asia, EU aid, Latin America, cooperation policy, developing countries

COMMISSION  OF THE EUROPEAN  COMMUNITIES 

Brussels,  16.01.1997 
COM(97) 6  final 

95/0162(SYN) 

Re-examined  proposal  for  a 

COUNCIL  REGULATION  (EC) 

ON OPERATIONS TO AID 

UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN DEVELOPING 

COUNTRIES 

(presented  by the Commission  pursuant  to  Article  189 c (d) 
of the EC Treaty) 

EXPLANATORY  MEMORANDUM 

Subject; 

Re-examined  proposal  for  the  adoption  of  Council  Regulation  (EC) 
No .../96  on  operations  to  aid  uprooted  people  in  Asian  and  Latin 
American developing countries 

•  The  aim  of  this  text  is  to  establish  a  clear  legal  frame  of  reference  to  enable  the 
Commission  to  continue  its  activities  to  help  uprooted  people  such  as  refugees, 
displaced persons and returnees in Asia and Latin America.  Special assistance will 
be  afforded  to  people  who, having  left  their  country  or region  of  origin  following 
conflicts  or  domestic  unrest,  require,  after  humanitarian  aid  and  before  standard 
development measures are put in place, special assistance to enable them to achieve 
self-reliance  and  integration  or reintegration  into  the  socio-economic  fabric  of the 
host country or region to which they are returning 

•  Provision  is made  for  an extensive  network  of partners  (UN  agencies, NGOs  both 
international  and  local, governments,  local communities, etc.) and a wide range of 
measures  (care  and  maintenance,  training  of  health  workers,  repair  of  small-scale 
infrastructure,  financing  of  credit  systems  to  help  revive  economic  activity, 
schemes specially aimed at women heads of households and schemes to protect the 
environment). 

•  All  this  reflects  the  need  to  take  action  with  the  necessary  flexibility  to  deal  with 
fluctuating  situations that  all require an effective  and rapid  response on the part of 
the  international  community  to avoid  not  only  further  suffering  among  the  people 
concerned  but  also  the  risk  that  the  tension  thus  created  might  prevent  or  slow 
down the establishment of peace in the countries concerned. 

•  The  Commission  notes  with  satisfaction  that  for  the  most  part  Parliament  shares 
this  approach.  It  has  therefore  given  its  agreement  to  some  of  the  amendments 
approved by Parliament on second reading. 

references 

legislation 

•  This re-examined  proposal  incorporates  amendments  1, 2 and  3, thus adding to the 
draft 
non-discrimination, 
to  principles 
non-refoulement, the establishment of democratic structures and involvement of the 
groups concerned  in the assessment  of their needs.  Amendments  7 and  11 are also 
incorporated:  they  make  it  possible  for  the  Commission  to  take  the  measures 
necessary  to  ensure  better  coordination  with  implementing  agencies  and  for 
evaluation reports to be made available to parliament. 

such 

a 

•  Amendment  4,  which  extends  the  scope  of  this  instrument  to  measures  such  as 
awareness of the risks of mines and basic health care, is also incorporated, with the 
exception of the adjective  "voluntary" which qualifies  "return" in the description of 
the  measures  to  be  supported.  Whilst  the  choice  to  return  should  obviously  be 
made  freely  by  the  people  concerned,  it  vital  that,  in  the  event  of  forced 
repatriation,  which  unfortunately  cannot  be  either  ruled  out  or  avoided,  the 
Commission  retain  the  possibility  of  using  this  instrument  and  the  corresponding 
budget  resources  to  assist  the  people  who  are  victims  of  such  a  violation  of 
fundamental  principles. 

•  Of  amendment  5 on  technical  assistance  and  studies, only  the  part  concerning  the 
preference  to  be  given  to  consultants  who  are  citizens  of  the  host  country  of  the 
beneficiaries  is incorporated.  The imposition  of a 3% ceiling of the overall  cost of 
the studies  audits, evaluations and monitoring has been dropped as such a measure 

ACL 

would be too restrictive.  Studies, audits and evaluations required for the success of 
the measures may sometimes cost more than this percentage. 
The  provision  in  amendment  6  providing  for  strengthened  coordination  with 
Member  States  and  other  donors  has  been  incorporated  but  not  the  part  requiring 
coordination  and  consultation  with  the  Parliamentary  Committee  and  the  NGO 
Liaison  Committee  since  this  requirement  would  be  incompatible  with  the  acute 
lack of human and material resources available to the Commission. 
Amendments 8 and 9 concerning committee procedures propose the abolition of the 
obligation to submit projects  costing ECU 2 million or more to a committee  of the 
Member States (type Ilia). 
These  amendments  are  not  incorporated  in  this  re-examined  proposal  as  the 
Council's position on this matter seems to be unwavering. 
However,  the  compromise  proposed  by  the  rapporteur  to  revert  to  the  initial 
proposal  of a financial  ceiling of  ECU  5 million  warrants  vigorous  support  on the 
part of the Commission. 
Finally,  amendment  10,  which  provides  that  the  Commission  should  consult  the 
authorities,  partner  organizations  and  recipients  in  the  non-Community  countries 
where the schemes are to be carried out prior to discussion of the policy  guidelines, 
is also not  included  in the re-examined  proposal.  Such an obligation  would  be too 
restrictive  and  would  run  the  risk  of  holding  up the  discussions  and  consequently 
the implementation of the annual aid programme for uprooted people. 
This  amendment  also  provides  for  committee  meetings  to  be  made  public,  for 
summary  records  to  be transmitted  to  Parliament  and  for  a Member  of  Parliament  to 
take  part  in  the  committees'  meetings  as  an  observer  with  the  right  to  speak.  This 
cannot be accepted because the organization of the work of each committee is a matter 
for the committee itself, which also decides whether the discussions it holds should be 
confidential  or not.  Regarding the involvement  of a Member of Parliament,  it  should 
be pointed  out that  the composition  of committees  is laid  down  in a standard  manner 
by the  Council,  is  determined  by  interinstitutional  balance  and  could  be  a  matter  for 
discussion in other forums (Intergovernmental  Conference). 

REEXAMINED PROPOSAL 
FOR THE ADOPTION 

OF COUNCIL REGULATION (EC) No 

/96 ON OPERATIONS TO AID 

UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN  DEVELOPING 
COUNTRIES 

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 referred to in Article  189c of the Treaty ,2 

(l)Having  regard  to  the  Convention  relating  to  the  Status  of  Refugees  adopted  on 
28 July  1951  by  the  United  Nations  Conference  on  the  Status  of  Refugees  and 
Stateless  Persons,  as  well  as the New  York  Protocol  adopted  on  31 January  1967 
and other resolutions adopted by the United Nations on refugee  policy; 

(2)Having  regard  to  the  Universal  Declaration  of  Human  Rights  of  1948,  the 
International  Covenant  on  Economic,  Social  and  Cultural  Rights  of  1966,  the 
Convention  on the  Elimination  of All  Forms  of Discrimination  against  Women of 
1979 and the Convention on the Rights of the Child of 1989; 

(3)Having regard  to the Resolution  of the European  Parliament of  16 December  1993 on 
assistance to refugees  in developing countries and its subsequent resolutions; 

(4)Whereas both the  European  Parliament  and the  Council  have  called  for  greater  effort 

on the part of the Community in this field; 

(5) Whereas the effectiveness  of aid programmes for uprooted people (refugees,  displaced 
persons,  returnees  and  demobilized  soldiers)  is  dependent  on  the  coordination  of 
aid  at  European  level  and  with  other  aid  donors,  non-governmental  organizations 
(NGOs) and United Nations agencies; 

(6)Whereas there  is a need  to step up efforts  to prevent conflict  and to promote  peaceful 

solutions to political conflicts or wars that cause population displacements; 

(6a)  Whereas  refugee  status  may  arise  from  persecution  of particular  social  groups  and 

the principle of non-discrimination  should be promoted; 

1  OJC 237,  12.9.1995, p. 19. 
2  Opinion  of  the  European  Parliament  of  6  February  1996  (OJ  C  65,  4.3.1996,  p.  215);  common 
position  of  the  Council  of  27  June  1996  (OJ  ...); decision  of  the  European  Parliament  of  (not  yet 
published  in the OJ). 

(6b)  Whereas  there  is  need  to  uphold  the  "non-refoulement"  principle  and  the  proper 

legal resolution of violations of human rights; 

(7)Whereas  specialized  bodies  and  agencies  and  NGOs  implementing  such  operations 
have gained considerable experience in providing assistance to uprooted people; 

(8)Whereas the Community wishes aid for uprooted people to be provided in such a way 
as to  help  them  move  from  subsistence  to  self-sufficiency,  namely  to  make  them 
less dependent, help them reintegrate or re-settle by means of operations to develop 
self-sufficiency  through  farming,  livestock-rearing,  fish-farming,  the  setting-up  of 
credit  systems,  basic  education  and  vocational  training  and  decent  standards  of 
health and hygiene; 

(9)Whereas  this  type  of  aid  is  a  prerequisite  for  development  and  thus  makes  a  major 
contribution  towards  achieving  the  Community's  cooperation  policy  objectives 
under Article  13Ou of the Treaty; 

(10)  Whereas  the  budget  authority  has  entered  in  the  budget  a  heading  intended  to 
finance  operations  to  aid  uprooted  people  (refugees,  displaced  persons,  returnees 
and demobilized soldiers) in developing countries; 

(11)  Whereas  a  financial  reference  amount,  within  the  meaning  of  point 2  of  the 
Declaration  of  the  European  Parliament,  the  Council  and  the  Commission  of 
6 March  1995,3  is  entered  in  this  Regulation  for  the  period  from  1996-1999, 
without affecting  the powers of the budgetary authority defined by the Treaty; 

(12)  Whereas  administrative  rules  and  procedures  applicable  to  cooperation  operations 
to  contribute  to  the  self-sufficiency  of  uprooted  people  (refugees,  displaced 
persons, returnees and demobilized soldiers) should be laid down, 

HAS ADOPTED THIS REGULATION: 

Article 1 

The  Community  shall  implement  a  programme  of  support  and  assistance  to  uprooted 
people  referred  to  in  Article 4  to  contribute  to  the  urgent  requirements  not  covered  by 
humanitarian  aid  and  for  the  longer term  realization  of projects  and  action  programmes 
aimed at the self-sufficiency  and integration or reintegration of such people. 

The establishment of democratic structures and the promotion of human rights will be an 
integral  part  of assistance  programmes to uprooted  people in Asian  and  Latin  American 
developing countries.  All  affected  groups and the local population hosting  refugees  and 
displaced  persons  will  be  fully  involved  in the assessment  of needs and  implementation 
of  assistance  programmes.  Assistance  will  be  targeted  at  and  funds  earmarked  for 
vulnerable  groups,  including  women,  children,  indigenous  people,  the  disabled  and  the 
elderly. 

3  OJC  102,4.4.1996, p. 4. 

Article 2 

In  this  context,  the  Community  shall  implement  viable  projects  for  subsistence., 
self-sufficiency  and  reinsertion  into the  socio-economic  fabric  of refugees  and  displaced 
persons, returnees and demobilized  soldiers.  To this end, operations shall cover inter alia 
mine  clearance,  including  information  and  safety  campaigns  about  mines,  combating 
sexual  violence,  basic  health  care,  including  perinatal  care,  psychological  aid  and 
treatment  for  victims  of rape,  aid  to promote  family  unity,  including  family  tracing  and 
reunification  programmes, operations to aid people to reclaim their land  and uphold  their 
property  rights,  aid  for  the  legal  resolution  of  human  rights  violations  against  displaced 
persons, support to local host communities and areas to which refugees return to  facilitate 
acceptance  and  integration  of  such  people  and  support  for  their  return  and  settlement  in 
their places  of origin  or in third  countries.  Where appropriate,  operations  shall  support 
reconciliation. 

Article 3 

Operations  carried  out  under  this  Regulation  shall  be  complementary  to  those  provided 
for by other Community instruments governing development cooperation. 

Article 4 

1.  The  final  beneficiaries  of  the  operations  mentioned  in  Article 2  shall  be  uprooted 
people  (refugees,  displaced  persons,  returnees  and  demobilized  soldiers)  in  the 
developing countries of Asia and Latin America and persons from  one of these countries 
provisionally  settled  in  another  developing  country  and,  in  duly  justified,  exceptional 
cases, in another third country: 

(a) 

refugees,  as defined  in the  Convention  relating  to the  Status  of  Refugees  adopted 
on  28 July  1951 by  the United Nations  Conference  on the  Status  of Refugees  and 
Stateless Persons; 

(b)"displaced persons": persons who have been forced to seek refuge  outside their region 
of origin owing to conflict  situations but who do not enjoy  refugee  status as defined 
by the  1951 Convention; 

(c) 

"returnees":  persons  who  were  formerly  refugees  or  displaced  persons  who  have 
returned to their country or region of origin. 

2.  Aid shall also be available for: 

(a) 

the  local  population  of  the  host  territories  particularly  affected,  whose  economic 
and  administrative  resources  contribute  to  receiving  and  assisting  refugee:  and 

displaced persons and to carrying out longer-term  projects designed  to bring  about 
their self-sufficiency  and integration or reintegration; 

(b)former  soldiers of regular armies and demobilized armed opposition  movements, plus 

their families and, where appropriate, their local communities. 

Article 5 

Partners in cooperation who may obtain financial support under this Regulation  shall  be 
including  United  Nations  agencies, 
regional  and 
non-governmental  organizations,  national,  provincial  and  local  administrations  and 
official  bodies, community-based organizations, public or private institutes and operators. 

international  organizations, 

Article 6 

1.  Community financing of the operations referred to in Article 1 shall cover a period of 
four years (1996-99). 

The financial reference  amount  for the implementation  of this programme for the period 
1996 to 1999 shall be ECU 240 million. 

Annual appropriations shall be authorized by the budgetary authority within the limits of 
the financial perspective. 

2.  The budget authority  shall determine the appropriations  available  for  each financial 
year  taking  account  of  the  principles  of  sound  financial  management  referred  to  in 
Article 2  of  the  Financial  Regulation  applicable  to  the  general  budget  of  the  European 
Communities. 

Article 7 

1.  The means deployed in implementing operations referred  to in Article  1  shall include 
studies  (priority  shall  be  given  to  consultants  of the host  country), technical  assistance, 
training  and  other  services,  supplies,  works,  and  audits  and  evaluation  and  monitoring 
missions. 

2.  Community financing may also cover investment expenditure, excluding the purchase 
of real estate, and, in duly justified  cases and taking into account the fact that the project 
must,  as  far  as  possible,  aim  at  medium-term  viability,  recurring  expenditure  (which 
includes  administrative  expenditure,  maintenance  and  running  costs)  so  that  maximum 
use  is  made  of  the  investments  mentioned  in  paragraph  1,  the  operation  of  which 
temporarily represents a burden for the person associated. 

3.  A financial contribution  from  the  partners  defined  in  Article 5 shall  be  sought  for 
each cooperation  operation.  This contribution  will be requested  within  the limits  of the 
possibilities  available  to  the  partners  concerned  and  depending  on  the  nature  of  the 
operation. 
In  specific  cases  and  when  the  partner  is  either  an  NGO  or  a 
community-based organization, the contribution may be made in kind. 

Opportunities  may  be  sought  for  cofinancing  with  other  fund  providers,  and 

4. 
especially with Member States. 

5.  The necessary  measures shall be taken to emphasize the Community character of aid 
provided under this Regulation. 

In order to achieve the objectives  of consistency  and  complementarity  referred  to in 
6. 
the  Treaty  and  with  the  aim  of  guaranteeing  optimum  effectiveness  of  all  these 
operations, the Commission may take all the necessary  coordination  measures, including 
in particular: 

(a) 

the  establishment  of  a  system  for  the  systematic  exchange  and  analysis  of 
information  on  the  operations  financed  and  those  which  the  Community  and  the 
Member States propose to finance; 

(b)on-the-spot coordination of the implementation of operations through regular meetings 
and  exchanges  of  information  between  representatives  of the  Commission  and  of 
the  Member States,  those  of  other  donors  and  partners  operating  in  the  target 
country. 

The  Commission,  in  liaison  with  the  Member States,  may  take  any  initiative 
7. 
necessary  for  ensuring  proper  coordination  with operational  partners, in particular  those 
forming  part  of  the  United  Nations  system,  including  the  High Commissioner  for 
Refugees. 

Financial aid under this Regulation shall take the form of grants. 

Article S 

Article 9 

1.  The Commission  shall be responsible  for  appraising, deciding and administering  the 
operations  covered  by  this  Regulation  in  accordance  with  the  budgetary  and  other 
procedures  in force,  in particular those laid down by the Financial Regulation  applicable 
to the general budget of the European Communities. 

2.  Project and programme appraisal shall take into account the following  factors: 

-  effectiveness  and viability of operations, 

-  cultural, social, gender and environment aspects, 

- 

institutional development necessary to achieve project goals, 

-  experience gained from operations of the same kind. 

3.  Decisions  relating  to  grants  of  more  than  ECU 2 million for  individual  operations 
financed  under  this  Regulation  shall  be  adopted  in  accordance  with  the  procedure  laid 
down in Article  10. 

The  Commission  shall  inform  the  Committee  referred  to  in Article  10 succinctly  of  the 
financing  decisions  which  it  intends to take  with  regard  to projects  and  programmes  of 
less than ECU 2 million in value.  This information  shall be made available not later than 
one week before the decision is taken. 

4.  The  Commission  shall  be authorized  to approve, without  recourse  to the opinion  of 
the  Committee  provided  for  in  Article  10, any  supplementary  commitments  needed  for 
covering  expected  or  real  cost  overruns  in  connection  with  the  operations,  where  the 
overrun  or additional  requirement  is less than or equal to 20% of the initial  commitment 
laid down by the financing decision. 

Where  the  supplementary  commitment  referred  to  in the  first  subparagraph  is  less  than 
ECU 4 million,  the  Committee  shall  be  informed  of  the  decision  taken  by  the 
Commission.  Where the supplementary commitment referred  to in the first  subparagraph 
is greater than ECU 4 million but less than 20%, the Committee will be asked  to give  its 
opinion. 

5.  All financing agreements or contracts concluded  under this Regulation  shall  provide 
for the Commission and the Court of Auditors to conduct on-the-spot checks according to 
the usual procedures  laid down by the Commission under the rules in force,  in particular 
those  of  the  Financial  Regulation  applicable  to  the  general  budget  of  the  European 
Communities. 

6.  Where  operations  are  the  subject  of  financing  agreements  between  the  Community 
and the recipient countries or countries of origin, such agreements shall  stipulate that the 
payment of taxes, duties and other charges is not to be covered by the Community. 

7.  Participation in invitations to tender and the award of contracts shall be open on equal 
terms to all  natural  and  legal  persons of the Member States and of the recipient  country 
It may be extended to other developing countries and, in duly justified  exceptional cases, 
to other third countries. 

Supplies  shall  originate  in  the  Member States,  the  recipient  country,  or  other 
In  duly  justified  exceptional  cases  supplies  may  originate 

8. 
developing  countries. 
elsewhere. 

Article 10 

1.  The  Commission  shall  be  assisted  by  the  Committee  set  up  under  Article  15  of 
Council  Regulation  No443/92/EEC  of  25 February  1992  on  financial  and  technical 
assistance to, and economic cooperation with, the developing countries in Asia and Latin 
America .4 

2.  The  representative  of the  Commission  shall  submit  to the  Committee  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.  The 
opinion shall be delivered by the majority  laid down in Article  148(2) of the Treaty in the 
case  of  decisions  which  the  Council  is  required  to  adopt  on  a  proposal  from  the 

4  OJ L 52, 27.2.1992, p. 1 

Commission.  The  votes  of  the  representatives  of  the  Member  States  within  the 
Committee  shall  be weighted  in the manner  set out  in that Article.  The Chairman  shall 
not vote. 

The  Commission  shall  adopt  the measures  envisaged  if they  are  in  accordance  with  the 
opinion of the Committee. 

If the measures envisaged  are not in accordance with the opinion of the Committee, or if 
no  opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the  Council  a 
proposal  relating  to  the  measures  to  be  taken.  The  Council  shall  act  by  a  qualified 
majority. 

If  on  the  expiry  of  a period  of  one  month  from  the  date  of  referral  to  the  Council,  the 
Council has not acted, the proposed measures shall be adopted by the Commission. 

Article 11 

An exchange of views  shall take place once a year on the basis of a presentation  by the 
representative  of  the  Commission  on  the  general  guidelines  for  the  operations  to  be 
carried  out  in  the  year  ahead,  within  the  framework  of  the  Committee  mentioned  in 
Article  10(1). 

After  each  budget  year,  the  Commission  shall  submit  an  annual  report  to  the  European 
Parliament and to the Council, summarizing the operations financed  in the course of that 
year and evaluating the implementation of this Regulation over that period. 

The  summary  shall  in  particular  provide  information  about  those  with  whom  contracts 
have been concluded. 

The report shall also summarize any independent evaluations of specific operations. 

The  Commission  shall  inform  the  Member  States,  within  one  month  at  the  latest  after 
taking  its  decision,  of  operations  and  projects  approved,  with  information  as  to  the 
amounts, nature, recipient countries and partners. 

Article 13 

The  Commission  shall  regularly  assess  operations  financed  by  the  Community  with  a 
view  to  establishing  whether  the  objectives  aimed  at  by  such  operations  have  been 
achieved  and to provide  guidelines  for  improving  the effectiveness  of future  operations. 
The  Commission  shall  submit  to  the  Committee  a  summary  of  the  assessments  made 
which, if appropriate, may be examined by the Committee.  The assessment reports shall 
be available to any  Member States requesting them and Parliament. 

Article 14 

This Regulation  shall enter into force on the third day following  that of its publication  in 
the Official  Journal of the European Communities. 

It shall apply until 31 December 1999. 

This  Regulation  shall  be  binding  in  its  entirety  and directly  applicable  in  all  Member 
States. 

Done at 

For the Council 
The President 

10 

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