Communication from the Commission to the Council and the European Parliament - Democratisation, the rule of law, respect for human rights and good governance: the challenges of the partnership between the European Union and the ACP States
Date: 1998-03-12
Institutions: European Commission
Subjects: ACP countries, EU relations, fourth Lomé Convention, human rights, rule of law

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  12.03.1998 
COM(1998) 146  final 

COMMUNICATION FROM THE COMMISSION 
TO THE COUNCIL AND THE EUROPEAN PARLIAMENT 

Démocratisation, the rule of law, respect for human rights and good 
governance: the challenges of the partnership between the European 
Union and the ACP States 

SUMMARY 

1. 
This  is  the  latest  in  a  series  of  Commission  communications  on  human  rights, 
démocratisation  and  the  rule  of  law.  It  follows  and  complements  the  communication  of 
May  1995  on  the  inclusion  of  respect  for  democratic  principles  and  human  rights  in 
agreements between the Community  and third countries,  that of November  1995 on "The 
European  Union  and  the  external  dimension  of  human  rights  policy:  from  Rome  to 
Maastricht  and  beyond"  and  that  of  March  1996 on  "The  European  Union  and  the  issue 
of conflicts  in Africa:  Peace-building, conflict  prevention  and  beyond". 
2. 

Its purpose  is  threefold: 

- 

- 

- 

to explain to the ACP partners how  the Community  interprets  the revised  fourth  Lomé 
Convention,  of which  Articles  5, 224(m)  and  366a concern  human  rights,  democracy, 
the rule of law and good  governance; 
to  help  stimulate  debate  in the  ACP  countries  to  ensure  that  the  essential  elements  of 
the  Lomé  Convention  are complied  with  when  those  countries  make  the political  and 
social choices incumbent  on them; 
to  prepare  and  facilitate  discussions  within  the  Council,  and  later  with  the  ACP 
countries, on future  ACP-EC  relations. 

The  Lomé  Convention  was  the  first  to  refer  to  human  rights.1  This  places  it  in  the 
vanguard  of  efforts  to  take  account  of these  fundamental  principles  in  co-operation  with 
non-member  countries. 
This is why the Commission  considers it necessary  to issue a specific  Communication  on 
ACP countries. 
3. 

Within the general guidelines on human rights, this  Communication: 

•  clarifies  the concepts cited in Article 5 of the revised  fourth  Lomé  Convention; 
•  proposes an action plan aimed  at: 
-  establishing  a  systematic  dialogue  with  the  ACP  countries  and  stimulating  debate  on 
such  questions  within  those  countries  with  a  view  to  helping  them  to  take 
responsibility themselves  for these issues. 

-  highlighting  a number  of practical  measures  and  priorities  for  strengthening  a  culture 
of  democracy  and  an  institutional  climate  more  conducive  to  good  governance, 
including guidelines for preventing and tackling  corruption. 

4. 
These  elements  will  not  only  provide  a  concrete  operational  framework  for  the 
the  programming  and 
dialogue  between 
implementation  of the associated  funding:  they will  also influence  the implementation  of 
EDF  programmes  by  establishing  an  efficient,  transparent  and  equitable  institutional 
environment. 

the  ACP  countries  and 

the  EC  and 

See Lomé III: the Preamble, Article 4(t) and the joint declaration on Article 4 

CONTENTS 

I. 

INTRODUCTION 

(i) 
(ii) 
(iii) 
(iv) 

General background 
The fourth Lomé Convention 
Developments in the ACP countries 
Objectives of this communication 

IL  STRENGTHENED AIMS OF COOPERATION AND PARTNERSHIP 

Ax  Human rights, the rule of law and democratic principles 

Human rights 
The rule of law 
Democratic principles 

(i) 
(ii) 
(iii) 

Legitimacy 
Legality 
Effective application 

, 

B.  Good governance 

(i) 
(ii) 
(iii) 

Definition 
Aspects of good governance 
Corruption 
- 
governance 

the  main  obstacle 

to  good 

HI.  ACTION PLAN 

A.  Deeper dialogue with the ACP countries 

(i) 
(ii) 

Developing a frame of reference 
Support  for  regional  and  national  consultation 
networks 

B. 

Stepping up support in priority fields 

(i) 
(ii) 
(iii) 

(iv) 

Institutional and administrative reforms 
Education in human rights and civics 
civil 
Strengthening 
participation 
development process 
Measures  to  prevent  and  combat  fraud  and 
corruption 

society  and  women's 
the  démocratisation  and 

in 

C.  Non-execution clause 
D.  Conclusion 

Annex 1: Key stages in taking account of human rights, democratic 

principles and the rule of law in external relations 

1 
1 
1 
2 
3 

4 
4 
4 
4 
5 
6 
6 
6 
7 
7 
8 

8 

10 
10 
10 

11 
12 
12 
13 

13 

14 
16 
17 

18 

Démocratisation, the rule of law, respect for human rights and good 
governance: the political issues of the partnership between the 
European Union and the ACP States 

I. 

INTRODUCTION 

(i) 

General  background 

1. 
Over the last decade human  rights,  the rule of law  and democratic  principles  have 
become  increasingly  important  in the Union's  policy  generally,  and  its  external  relations 
in particular. 
2. 
The  latter  aspect  was  dealt  with  in  the  communication  of  November  1995  to  the 
Council  and  Parliament  entitled  "The  European  Union  and  the  external  dimension  of 
human  rights  policy:  from  Rome to Maastricht  and beyond".2  Besides  recapitulating  the 
acquis,  principles  and priorities of action by the Community  and  its Member  States  - the 
key  stages in which  are set out in Annex  1 - the communication  lays out  future  strategies 
to  be  implemented  within  a  consistent  and  co-ordinated  framework.  Asserting  the 
principles  of  universality,  indivisibility  and  interdependence  that  are  the  cornerstone  of 
the international  system  for  the protection  of human rights, the communication  identifies 
priorities  for a proactive, practical and constructive  approach, among  them: 
•  supporting  démocratisation  as a long-term  process  involving  developing  civil  society, 

institutional reforms  and the consolidation of change; 

•  promoting  and strengthening the rule of law; 
•  supporting  local and regional  institutions; 
•  promoting  pluralist  civil  society  in  a  context  of  sustainable  social  and  human 

development. 

The  Communication  recognises  the  need  to  take  the  debate  on  these  issues  further, 
dispose  of  a  range  of  instruments  for  use  according  to  a  country's  circumstances  and 
build  analytical  and  technical  capacities  in  these  fields  to  tailor  operations  to  different 
situations. 

This Communication  seeks to address these issues in greater depth in the specific  context 
of  the  Lomé  Convention,  while  maintaining  a  consistent  approach  to  the  developing 
countries as a whole. 

(ii) 

The fourth  Lomé Convention 

3. 
Articles  5,  224(m)  and  366a  of  the  fourth  Lomé  Convention  as  revised  by  the 
Agreement  signed  in  Mauritius  on  4  November  1995  confirm  these  general  guidelines. 
Article 5  states  that  "development  policy  and  co-operation  shall  be  closely  linked  to 
respect  for  and  enjoyment  of  fundamental  human  rights  and  to  the  recognition  and 
application  of  democratic  principles,  the  consolidation  of  the  rule  of  law  and  good 
governance".  The  same  article  makes  respect  for  human  rights,  democratic  principles 
and the rule of law an essential  element of the Convention. These new provisions give the 
economic,  social  and  commercial  content  of the Lomé Convention  an added  institutional 

COM(95) 567  final,  22 November  1995. 

and  political  dimension:  human  rights,  democratic  principles,  the  rule  of  law  and  good 
governance  are now  areas  of common  interest  and  fundamental  elements  of the  dialogue 
between the parties, and, as such, an integral part of co-operation  policy. 
4. 
In order to take account  of these provisions, Article  3(2) of the Financial  Protocol 
to  the  8th  EDF  earmarks  incentive  financing  of  ECU  80  million  from  the  regional 
allocation.  This  amount  is  intended  to  finance  "institutional  and  administrative  reform 
measures,  with  a  view  to  démocratisation  and  the  rule  of  law"  (Article  224(m)) 
programmed  by  the  ACP  States  and  financed  from  their  National  Indicative  Programme 
(NIP)  or  the  Regional  Indicative  Programme  (RIP).  This  incentive  financing  is  in 
addition  to  the  appropriations  in  the  general  budget  of  the  European  Communities  for 
positive measures in support  of human  rights  and democracy  in the developing  countries. 
Of ECU  526 million  spent  under  this heading  since  1992, ECU  214 million  has  financed 
schemes for ACP countries. 
5. 
In  tandem  with  this  positive  approach,  Article 366a  of  the  Convention,  in  line 
with  the  Council's  decision  of  May  1995,3 provides  for  appropriate  steps  to  be  taken  in 
the  event  of  serious  and  persistent  human  rights  violations  or  interruptions  in  the 
democratic  process.  It  introduces  a "non-fulfilment  clause"  and  a  special  procedure  for 
consultations  between  the  parties  in  a  joint  forum.  Dialogue  takes  precedence  over 
negative  measures  in  the  quest  for  a  solution,  except  in  cases  of  special  urgency.  It  is 
emphasised that the suspension  of co-operation is a measure of last resort. 
Article 366a also stipulates that any measure "shall be revoked  as soon  as the reasons  for 
taking  it  have  disappeared."  For  this  article,  and  in  particular  the  process  for  adopting 
and revoking sanctions, to be understood  and applied  correctly, not only must  account  be 
taken of the overall  situation  in the country  and the nature  of the violations  reported,  but 
also  the  minimum  requirements  for  remedying  violations  must  be  studied  carefully.  A 
Commission proposal  for  a decision on a framework  procedure  for  implementing  Article 
366a of the fourth  Lomé Convention was presented to the Council on 21 February  1996.4 

(iii) 

Developments in the ACP  countries 

6. 
In  the  space  of  a  few  years  a  large  number  of  ACP  countries  have  made 
appreciable  progress  with  reforms  involving  a  radical  reorganisation  of  the  means  of 
delegating and exercising political power and relations between  government  and citizens. 
These reforms  have  completely  changed  the  institutional  set-up  and political  practice  by 
increasing  public  participation  in  the  management  of  public  affairs  and  the  exercise  of 
fundamental  civil  liberties.  This progress  has  in many  cases  been  achieved  at  a time  of 
social  and  economic  difficulty,  often  coinciding  with  the  implementation  of  structural 
adjustment  programmes.  These  processes  have  produced  a  great  variety  of  outcomes, 
taking each country down a different  road. 
Though  the  reforms  share  a  common  inspiration  and  pursue  identical  objectives,  their 
sequence,  content  and  pace  will  inevitably  be  modulated  by  a  country's  history  and 
present  circumstances. 
It  is  for  the  EU  and  its  ACP  partners  to  find  appropriate 
responses  to  a multifaceted  trend.  The  EU  and  the ACP  countries  will  share  the  burden 
of  this  new  political  responsibility.  This  commitment  calls  for  a  shared,  practical  and 
operational  understanding  of  such  concepts  as human  rights,  democracy,  the  rule  of  law 

3  COM(95) 216 final,  23 May  1995. 
4  COM(96) 69 final,  21 February  1996. 

and  good  governance.  This  understanding  would  help  deepen  the  dialogue  and 
strengthen the current partnership on these issues. 
7. 
The EU is increasingly  focusing  on preventing conflict  and consolidating peace, 
especially in Africa.  The Commission communication of 6 March  1996 on this  subject5 
and  the joint  action  decided  by  the  Council  on  2  June  1997  on  conflict  prevention  in 
Africa6  recognise the importance of a democratic government for developing a country's 
capacity  to prevent  and  settle conflicts.  In this  context,  a government's  legitimacy  and 
capacity  to  formulate  and  implement  policies  in  an  institutional  framework,  which 
respects  human  rights,  democratic  principles  and  the  rule  of  law  are  a  key  factor  in 
structural  stability.  A democratic  system permits  the  establishment  of mechanisms  by 
which competing interest groups can peacefully resolve their differences. 

(iv)  Objectives of this communication 

8. 
Support  for  démocratisation processes, respect  for human rights, the rule of law 
and  good  governance  cannot be dissociated from co-operation  in the wider  context.  It 
must act as both framework and component part of co-operation policy. 
If  significant  results  are  to  be  attained,  not  only  must  these  concepts  be  defined  and 
instruments and operating procedures proposed but sufficient  funding must also be made 
available.  Action  must  tie  in  with  that  taken  by  the  Member  States  and  other  donors 
under  a  coherent  strategy  where  the  different  partners  co-ordinate  their  operations  in 
pursuit of a common objective. 
9. 
The need for reflection  is made all the greater by the draft  negotiating  directives 
on future  relations between the EC and the ACP countries, which look at these issues in 
greater depth.  This is one reason  for  focusing  this communication  on the  geographical 
area covered by the Lomé Convention.  This Convention, moreover,  establishes  strong 
links between political dialogue, the mobilisation of considerable financial resources and 
development. 
The nature of the Lomé framework, which enables the 71 ACP countries and the EC to 
exchange views and reach  agreement  on a footing  of partnership, offers  an  exceptional 
forum  for the first concrete proposals.  As long ago as the third Lomé Convention, this 
framework  broke  new  ground by  affirming  the  contracting parties'  commitment  to  the 
principles of the United Nations Charter and their faith in fundamental  human rights and 
human dignity. 
10.  To  help  implement  and  sustain  institutional  reforms  relating  to  human  rights, 
democratic  principles,  the  rule  of  law  and  good  governance  with  due  regard  for  the 
specific  requirements of each case, and enhance the visibility of the Union's action, this 
communication is intended to: 

9  clarify the concepts cited in Article 5 of the revised fourth Lomé Convention; 
»  set out an action plan aimed at: 
-  fixing  the objectives and criteria for dialogue with the ACP countries and stimulating 
debate  on  such  questions  in  those  countries  with  a  view  to  helping  them  take 
responsibility themselves for these issues; 
tabling  a number  of practical measures  and priorities  for  strengthening  a culture of 
democracy and an institutional climate more conducive to good governance, including 
guidelines for preventing and tackling corruption. 

- 

5  SEC(96) 332 final, 6 March 1996. 
6  OJNoL  153, 11.6.1997, p.l. 

II. 

STRENGTHENED AIMS OF COOPERATION AND PARTNERSHIP 

1.  Article 5  of  the  revised  fourth  Lomé  Convention  states  that  "respect  for  human 
rights, democratic principles and the rule of law, which underpins  relations between the 
ACP  States and the Community  and all provisions of the Convention,  and  governs the 
domestic and international policies of the Contracting Parties, shall constitute an essential 
element of the Convention." 
The  same article  cites  good  governance  as an objective  of  co-operation,  though  not an 
essential element of the Convention. 
2.  History  shows  the  objectives  of  Article 5  to  be  a  prerequisite  for  sustainable 
economic and social development.  It has become clear in recent decades that sustainable 
human  development  demands  an  institutional  and  political  environment  that  respects 
human  rights,  democratic  principles  and  the  rule  of  law.  The  connection  between 
development  and  human  rights  is  expressly  recognised  in  the  UN  Declaration  on  the 
Right to Development. 
Thus,  though  each  country  is free to  choose  the  political  and  economic  model  for  its 
society,  such  models  must  be  consistent  with  the  universal  principles  in  the  matter  of 
human rights and  comply  with  the relevant  international  and  regional  conventions  and 
legal acts. 
A. 

Human rights, the rale of law and democratic principles 

Human rights 

3.  Human  rights  are  universal,  indivisible  and  inter-dependent.  They  bind  every 
government  body  and may not be restricted.  Whether  civil  and political  or  economic, 
social and cultural in nature, they must be respected and promoted in their entirety.  They 
are  the  subject  of  a  series  of  international  and  regional  agreements  and  legal  acts 
constituting an international  legal framework (the United Nations Charter, the Universal 
Declaration  of  Human  Rights,  the  1969  American  Convention  on  Human  Rights,  the 
African  Charter  on  Human  and  Peoples'  Rights  adopted  in  June  1981  etc.).  The 
commitments made in these instruments were reaffirmed  by the participating countries in 
the conclusions to the 1993 Vienna Conference on Human Rights. 

The rule of law 

4.  The primacy of the law is a fundamental  principle of any democratic system seeking 
to foster and promote rights, whether civil and political or economic, social and cultural. 
This  entails  means  of recourse  enabling  individual  citizens  to  defend  their  rights.  The 
principle  of  placing  limitations  on  the  power  of  the  State  is  best  served  by  a 
representative government drawing its authority from the sovereignty of the people.  The 
principle must shape the structure of the State and the prerogatives of the various powers. 
It implies, for example: 

•  a  legislature  respecting  and  giving  full  effect  to  human  rights  and  fundamental 

freedoms; 

•  an independent j udiciary; 
•  effective  and accessible means of legal recourse; 
•  a legal system guaranteeing equality before the law; 
•  a prison system respecting the human person; 
•  a police force at the service of the law; 

•  an  effective  executive  enforcing  the  law  and  capable  of  establishing  the  social  and 

economic conditions necessary for life in society. 

Democratic principles 

5. 
By  opting  for  the  phrase  "democratic  principles"  rather  than  "democracy", 
Article 5 of Lomé IV sought to emphasise the universally recognised principles that must 
underpin  the  organisation  of  the  State  and  guarantee  the  enjoyment  of  rights  and 
fundamental  freedoms,  while  leaving  each  country  and  society  free  to  choose  and 
develop  its  own  model.  A  democratic  system  enables  human  rights  to  flourish  in  a 
climate  of  respect  and  recognition  of  the  different  cultures  making  up  the  country  by 
basing  political  power  on  the  will  of  the  people  and  every  individual's  voluntary 
contribution to the life of the community. 
A democratic  State  is  therefore  a precondition  for  the  exercise  of  human rights. It  is a 
defining  characteristic  of  a  democracy,  whatever  the  system  or  model  adopted,  that  it 
formalises  a non-violent  dialectic between the aspirations of the majority  and those of a 
minority  according  to  a body  of rules  accepted  by  all  and  based  on respect  for  human 
rights and fundamental  freedoms. 
The  strengthening  of  the  democratic  process  and  its  assimilation  by  the  countries 
concerned  depend  on  the  ongoing  adaptation  of  these  rules  to  each  country's  history, 
cultures and particular ways of thinking. 
The  concept  of  "democratic  principles"  also  serves  to  accentuate  the  dynamic  process 
leading to democracy. Démocratisation is a gradual and ongoing process which must take 
account of a country's socio-economic and cultural context. 
6. 
Democratic  principles  are  inter-dependent  and  indivisible:  each  has  potential 
applications that involve one or more others to some degree.  The whole they  form  and 
their specific manifestations will be determined by each country's democratic culture. 
For  example,  the  holding  of  elections,  which  is  a  fundamental  step  on  the  way  to 
démocratisation, must be a logical step in a country's process, history and culture.  As an 
end  in themselves,  elections  alone will not  necessarily  make  a country  a democracy  or 
give it the political stability necessary for it to flourish.  They have to be part of a broader 
process,  in  which  a  series  of  factors  come  together  to  prepare  and  consolidate  a 
movement towards democracy. 
This means  giving priority  to  a pluralist,  evolving  and  interactive  vision  of  democratic 
principles  both  as  objectives  to  be  attained  and  respected  and  components  of 
development co-operation in their own  right. 

7. 

These principles can be defined  in terms of three fundamental  characteristics: 

(i)  legitimacy 

(ii)  legality 

(iii)  effective  application. 

These principles  are both objectives  to be attained on the way to a State where  a genuine 
rule of law, applies, and spheres of intervention where available funds  may be used. 

(i) 

Legitimacy 

8. 
The  foundation  of  the  authority  of  the  State,  this  concept  means  that  leaders  at 
local  and  national  level  are  freely  appointed  by  systems  recognised  and  accepted  by  the 
citizens.  These  systems  should  meet  a number  of criteria  relating  to  non-discrimination 
and be employed  regularly. 
The  election  of  a  country's  leaders  by  free  universal  suffrage  in  a  secret  ballot  is  a 
mechanism  for  legitimacy.  The Community  may continue providing  specific  help in this 
field, chiefly  for the processes of consulting the people and appointing  leaders and public 
officials  (censuses,  electoral  registers,  electoral  commissions,  local  or national  elections, 
observers, voter education etc.). 

(ii) 

Legality 

Legality  means  the  existence  of  clear-cut  rules  that  are  applied  to  all  citizens 

9. 
without discrimination.  It is reflected  in: 

•  an appropriate constitutional, legislative and regulatory  system; 
•  recognition  of the  human  rights  and the  fundamental  and  individual  freedoms  set  out 

above in paragraph 3 of section II. A. 

All  support  in  this  area  will  be  aimed  at  drafting  suitable  rules  and  laws,  including  the 
incorporation  into  national  law  of the principles  of  the  Universal  Declaration  of  Human 
Rights. 

(iii) 

Effective  application 

10. 
Effective  application  requires  that  the  behaviour  and  practices  of  the  authorities, 
institutions  and  legal  persons  be  consistent  with  the  rule  of  law  and  democratic 
principles. 
It  is  against  this  background  that  the  State's  institutional  set-up,  transparent  institutions 
and  decision-making,  institutional  capacities  and  the  existence  of  supervisory  bodies 
acquire their  full  significance.  This is a long-term process  affecting  both the structure  of 
the  State  and  its administration  and  the  constitution  of  a democratic  culture  enabling  the 
different  social  forces  to interact  and  strengthen  each other.  A  special  emphasis  must  be 
placed on capacity building and public participation in the decision-making  processes. 
In the  final  analysis,  it  is  effective  application  that  gives  a  democratic  system  substance 
and  spawns  the  machinery  needed  for  reaching  consensus  and  peacefully  resolving 
differences  between interest groups. 
11. 

Effective  application involves: 

• 

• 

- 

the promotion  and protection  of fundamental  freedoms,  which  are the very purpose  of 
any democratic  system,  since that  system  exists to uphold  the  freedoms  of  individuals 
and groups against the power of the State; 
the  separation  of powers,  which  curbs  the powers  of the  State  and  relates  specifically 
to: 
the independence of the legislative and judicial powers from the executive power; 

- 
• 

- 
- 

the effective  exercise of the three powers; 
institutional  arrangements  for  participation  in  decision-making  and  development 
choices at national, regional  and local level: 
the existence of institutions  for consultation  and participation in  decision-making; 
recognition  of  local  democracy  and  the  principle  of  the  free  administration  of  the 
people, which may lead to administrative  decentralisation; 
recourse to "consultations" on certain major  questions; 

- 
•  political  and institutional  pluralism  (the State and civil  society,  i.e.  all institutions  and 
independent  of  the 

social  and  economic  associations 
government), which ensures a balance of powers and is reflected  by: 

in  a  country 

that  are 

-  a free  and open political  system; 
- 

- 
- 
• 

the recognition  of the role and  status of the opposition,  including the effective  right to 
engage in political  activity; 
representatives  of civil  society with the freedom  to organise; 
free  and independent media; 
transparency  and  integrity  of  the  institutions:  democratic  power  is  a  mandate  limited 
inter  alia  by the  sovereignty  of the people.  Democratic  institutions  and  those  leading 
them  are  therefore  accountable  for  their  decisions  and  wholly  responsible  for  their 
management. These principles are reflected  by: 
-  operational and independent control mechanisms; 
- 
- 
-  citizens'  access to administrative  services; 
- 

the public nature of acts; 
information  and reporting on the activities of institutions; 

regulations conducive to fighting  corruption. 

B. 

Good  governance 

"Governance"  generally  describes  the  exercise  of  political,  economic  and 
12. 
administrative  power  in  the  management  of  public  affairs.  "Good  governance"  implies 
managing public  affairs  in  a transparent,  accountable, participative  and  equitable  manner 
showing due regard  for human rights and the rule of law.  It encompasses  every  aspect  of 
the  State's  dealings  with  civil  society,  its  role  in  establishing  a  climate  conducive  to 
economic  and  social  development  and  its  responsibility  for  the  equitable  division  of 
resources. 
Within  this  overall  approach,  good  governance  has  two  dimensions:  the  political 
dimension  concerns  strictly  political  action  by  the  government  and  the  institutional 
dimension the economic and social management  of resources. 
13. 
an objective  of co-operation  for equitable and sustainable  development. 
Good  governance  features  alongside  and  complements  the  aims  of  respect  for  human 
rights,  democratic principles  and the rule of law. Unlike those aims, however,  it is not an 
essential element of the Convention: 

Article  5 of  the  revised  fourth  Lomé  Convention  introduces  good  governance  as 

"Development  policy  and  co-operation  shall  be  closely  linked  to  respect  for  and 
enjoyment  of  fundamental  human  rights  and  to  the  recognition  and  application  of 
democratic principles, the consolidation of the rule of law and good  governance."7 

(i) 

Definition 

14. 
Under  this  approach,  good  governance  refers  to  the  transparent  and  accountable 
management  of  all  a country's  resources  for  its  equitable  and  sustainable  economic  and 

Second subparagraph  of Article  5(1) of the revised  fourth  Lomé  Convention. 

7 

social  development.  The  resources  of  a  country  include  human  resources  (knowledge, 
know-how  and skills), natural resources  and internal  and  external  economic  and  financial 
resources, including development  aid. 
The  concept  of  good  governance  remains  implicit  in  a  political  and  institutional 
environment  respecting  human  rights,  democratic  principles  and  the  rule  of  law.  But  it 
takes  specific  account  of  the  role  of  the  authorities  in  managing  resources,  promoting  a 
favourable  climate  for  economic  and  social  initiatives  and  deciding  how  to  allocate 
resources. 
Good  governance  therefore  implies  the  existence  of  competent  and  effective  institutions 
respecting  democratic  principles. 
the  aims  of 
démocratisation into the sphere of resource  management. 

therefore  extends 

The  concept 

(ii) 

Aspects of good  governance 

15. 
Transparent  and  accountable  resource  management  for  equitable  and  sustainable 
development  has  four  related  and  complementary  aspects.  These  naturally  overlap  with 
democratic principles: 

•  Equity  and the primacy  of  law  in the management  and  allocation  of  resources  call  for 
an independent  and  accessible judicial  system  that  guarantees  all  citizens  basic  access 
In  the  specific 
to  resources  by  recognising  their  right  to  act  against  inequalities. 
context  of  governance,  this  involves  establishing  a  legal  and  regulatory  framework 
that encourages private enterprise and  investment. 

•  The  institutional  capacity  to  manage  a country's  resources  effectively  in  the  interests 
of  economic  and  social  development  implies  an  ability  to  draft,  implement  and 
supervise  policies  addressing  the  needs  of  the  people.  The  government  and  civil 
society must be able to implement  an equitable  development  model  and  guarantee  the 
judicious  use  of  all  resources  in  the  public  interest.  Building  public  and  private 
institutional  capacities  is  vital  because  it  directly  determines  economic  and  social 
development, and especially the effectiveness  of development  co-operation. 

•  Transparency which entails being accountable and organising  effective  procedures  and 
systems  for  monitoring  the  management  and  allocation  of  resources,  implies  that 
resource  management  is  open  to  scrutiny  and  subject  to  controls.  It  is  both  a  key 
factors  in  establishing  trust  between  the  various  agents  of  development  and  a 
guarantee of institutional  integrity. 

•  Public participation  in the decision-making  processes concerning  the management  and 
allocation  of  resources.  Development  without  the  participation  of  civil  society  is 
inconceivable.  Participation  calls  for  the various  agents  of  development  to  exchange 
views  on major  decisions  relating  to  the management  and  allocation  of  resources  and 
development  programming.  This  dimension  also  concerns  the  scope  to  be  given  to 
private initiative, enterprise and civil society in  development. 

(iii) 

Corruption - the main obstacle to good  governance 

16. 
Corruption,  which  can  be  defined  as  "any  abuse  of  power  or  impropriety  in  the 
decision-making  process  brought  about  by  some  undue  inducement  or  benefit,"8  is  a 
major  obstacle to development  in general and good  governance. 

• 

In a climate of corruption the criteria governing the choice of development projects  are 
not  directly  related  to  development  objectives  or  the  public  interest  but  to  vested 

This definition  of "corruption"  is taken  from  the Communication  from  the Commission  to the  Council 
and  the  European  Parliament  on  a  Union  policy  against  corruption  (COM(97)  192  final,  21  May 
1997). 

8 

interests.  This  leads  to  a  commensurate  decline  in  the  quality  of  the  performance  of 
contracts,  when  it  does  not  render  projects  completely  unsuited  to  objectives. 
Corruption  involves increased costs or the diversion of resources. 

•  The  significant 

increase  (10-20%)9  in  the  cost  of  supplies  and  services  is  an 
unwarranted  surcharge  on  a  country's  internal  and  external  economic  resources, 
leading  to  a  commensurate  increase  in  debt  and  reducing  the  effectiveness  of  co 
operation.  These unlawful  costs are ultimately borne by the public  (higher prices, loss 
or cutback  of public services etc.). 

•  Corruption  inevitably  leads  to  an  economic  system  favouring  short-term  gains, 
It  destroys  all  notions  of  transparency, 

arbitrary  decisions  and  private  interests. 
equity, the rule of law and  participation. 

•  Corruption  also  deters  national  and  international  private  investors  by  creating  high 
transaction costs and offering  neither guarantees as to the safety  of investments nor the 
possibility of supervising  them. 

•  Corruption  is  a  barrier  to  reforms  and  the  opening-up  and  liberalisation  of  the 
economy  since  it  serves  interests  opposed  to  economic  deregulation  and  the  abolition 
of monopolies. 

•  An underdeveloped  civil service opens the way for corruption by organised crime. 
Corruption  is a "horizontal" problem  for  good  governance.  It undermines  all  its  aspects 
and must therefore  be addressed as a priority. 

A figure calculated by Transparency  International, an NGO working against international  corruption. 

9 

III.  ACTION PLAN 

1. 
Démocratisation  is a long  and  complex  process  involving  all  forces  in  society.  It 
calls not only for constitutional  and legislative reform  but also for reform  of the  apparatus 
of State and civil  society. 
Such  a  process  cannot  be  properly  launched  or  sustained  without  taking  account  of  a 
It  also  requires  a 
country's  social,  economic,  political  and  cultural  circumstances. 
genuine political resolve on the part of its leaders and the ownership  of the process by  its 
citizens or, at the very least, their substantial participation in it. 
Taking  account  of  the political  and  institutional  dimension  in  development  co-operation 
calls for a series of practical measures at various levels: 
•  a deeper  dialogue with  - and within  - the ACP  countries  on human  rights,  democratic 

principles, the rule of law and good  governance; 

•  greater support in priority areas, including the drafting  and introduction  of measures  to 

prevent and combat  corruption. 

A. 

Deeper dialogue with the ACP  countries 

/ 
\ 

<' 
'•• 

; 

• 

The  dialogue  between  the  Community  and  the  ACP  countries  is  the  principal 
2. 
instrument  and  forum  for  developing  the  political  and  institutional  dimension  of  co 
operation  in  a  manner  respecting  the  sovereignty  and  specificity  of  the  countries 
concerned. 
There  should  be  a permanent  dialogue  with  the  ACP  countries.  The  procedures  for  this 
dialogue  should,  in  particular,  be  established  during  the  reshaping  of  the  EC-ACP 
partnership.10  In that  context,  the  Commission  is proposing  that  procedures  for  political 
dialogue be as flexible  as possible.  Dialogue should take place at the time and level most 
relevant to the subjects to be discussed.  It may, in particular, take the form  of  discussions 
and  consultations  in  joint  institutions  or  meetings  between  representatives  of  an  ACP 
country or region and representatives of the EU. 
This dialogue must help: 
- 
- 

to clarify  the concepts involved and the means for analysing  them; 
to  define  strategies  for  implementing  co-operation  in  these  areas,  strengthening  them 
as a vital adjunct  of aid and economic  co-operation; 
to identify  support measures and priorities in this  field; 
to  stimulate  deeper  thought  and  debate  on  these  issues  between  the  authorities, 
politicians and citizens in the ACP countries. 

- 
- 

(i) 

Developing  a frame of  reference 

A  frame  of  reference  for  such  issues  must  be  proposed  to  initiate  the  dialogue. 
3. 
This  frame  of  reference  will  serve  as  a  basis  for  dialogue.  It  will  provide  a  profile  for 
charting the progress of démocratisation, the establishment  of a state governed by the rule 
of law, the human rights situation  and the quality of governance. 
Its use should help a country and its partners: 
-  better identify  the measures  needed; 
-  evaluate activities already under way; 
-  assess  more  effectively  any  backward  step  or  breach  of  an  essential  element  of  the 

Convention. 

10  See  Commission  communication  on  directives  for  the  negotiation  of  a  new  development  partnership 

agreement  with  the ACP  countries  (SEC(98)  119, 28 January  1998). 

10 

Just  as  it  is  bound  to  help  clarify  this  dimension  of  development  policy,  a  frame  of 
reference  will itself be an opportunity  and a subject  for dialogue between the  Community 
It  would  be  difficult  and  pointless  to  embark  on  a  purely 
and  the  ACP  countries. 
theoretical  dialogue.  This  dialogue  must  be  rooted  in  the  realities  of  a  given  country's 
process,  albeit  on  the  basis  of  universally  accepted  values. 
Initially,  the  frame  of 
reference  will  provide  the  basis  for  dialogue  between  the  Community  and  the  ACP 
countries. 
The  frame  of  reference  will  be  a  methodological  tool  for  tracking  a  country's  progress 
toward  democracy.  It  will  be  based  on  the principles  of  democracy  and  the rule  of  law 
and the dimensions  of good  governance  as defined  in this  Communication  and laid  down 
as objectives  to be pursued. 
The  frame  of  reference  will  show  whether  a  country  is  making  progress  towards  these 
objectives.  It will also help assess, monitor and assist progress. 
With  due regard  for the Copenhagen  criteria, the starting point  for  the analysis must  take 
account  both  of the relevant  European  Parliament  and UN resolutions  and reports by  the 
UN's  special and thematic rapporteurs. 
To make  it as objective  as possible  and  avoid  all preconceptions  and  value judgments  on 
potentially  sensitive issues, analysis will be governed by a number of strategic principles. 
-  Assessment  will  be  based  on  observation  of  the  dynamics  of  the  process  in  a  given 

country. 

-  A country's progress towards certain objectives  will be assessed over time. 
-  Different  countries'  profiles  are  not  comparable.  Each  country  will  be judged  on  its 
own  performance.  Comparison  and  analysis  will  be  based  on  a  country's  profiles  at 
different  times. 

-  The exercise must be carried out with or by the countries  concerned. 
-  The  exercise  must  be  repeated  at  regular  intervals  to  permit  comparison  and  analysis 

of change. 

-  The exercise must view all objectives  as forming  an indivisible whole. 

(ii) 

Support for regional  and national  consultation  networks 

4. 
As  a complement  to  its dialogue  with  the ACP  countries, the  EU  should  catalyse 
debate  on  such  issues  inside  those  countries.  The  partners  need  to  be  mobilised  to 
stimulate  such  a  debate.  This  can  be  done  by  helping  create  or  reinforce  regional  or 
national networks.  Such networks would be aimed  at: 
-  complementing  the  approach  proposed  in  this  document  for  defining  democratic 

principles; 

-  applying this approach to the specific  circumstances of the regions  concerned; 
-  validating  the  frame  of  reference,  defining  suitable  assessment  criteria  and  preparing 

the evaluation  exercise in the various countries of the region; 
identifying  priority measures for  support; 

- 
-  establishing procedures  for developing regional  support networks  for  democracy; 
-  establishing  procedures  for  initiating  and  accelerating  debate  within  the  countries 

concerned. 

Meetings  will  bring  together  those  with  an  interest  in  démocratisation  and  good 
governance,  i.e.  representatives  of the  government  and  the judiciary,  political  parties  and 
civil  society  (NGOs,  socio-economic  institutions,  trade  unions,  women's  movements, 
academics,  customary  chiefs,  media  chiefs  etc.)  and  representatives  of  development 
partners. 
Pilot projects  may be launched  to test the proposed  approach. 

11 

B. 

Stepping  up support in priority  fields 

Taking  account  of  the  new  objectives  of  development  co-operation  also  entails 
5. 
fixing  the priorities.  There can, however, be no blanket  interpretation  of what  constitutes 
a priority.  Each  country  is a different  case  and pursues  démocratisation  in  its  own  way. 
Just as there can be no single model  for democracy, there can be no priority measures  for 
application  in  every  country.  Each  country  has  a  unique  political  process  based  on  its 
specific  cultural,  social  and  economic  circumstances.  When  applying  these  criteria,  the 
know-how  of organisations working in these fields  should be used to the  full. 
That  being  said,  certain  types  of  action  may  be  considered  priorities  on  the  way  to 
démocratisation  and the rule of law.  They appear to be essential  components  for  making 
development  policies  more  effective  and  improving  governance.  Such  measures  can  be 
divided into four categories. 
(i) 

Institutional  and administrative  reforms 

Institutional  reforms  connected  with démocratisation and the rule of  law are cited 
6. 
as a focal  area of co-operation  in Article 224(m) of the revised  Lomé Convention.  They 
are  therefore  a  priority  approved  by  both  the  European  Community  and  the  ACP 
countries. 
Several reforms  warrant a particular emphasis. 

•  Constitutional  reforms  aimed  at  ensuring  that  the  State's  foundations  and  structures 
respect  human  rights,  fundamental  freedoms,  democratic  principles  and  the  rule  of 
law. 

•  Judicial  reform  necessary  for  the  independent  and  effective  system  of justice  that  is 
the  basis  and  guarantee  of  the  rule  of  law  and  an  environment  conducive  to 
development.  This  priority  warrants  special  attention,  with  the  implementation  of 
programmes  to  support  and  develop  the  system  of justice.  Care  will  be  needed  to 
ensure 
remain 
compatible  with  the  institutional  reforms  complementing  those  programmes.  This 
concern  is  consistent  with  "second  generation"  structural  adjustment  programmes, 
which now include judicial  reform  among their  objectives. 

taken  under  structural  adjustment  programmes 

that  measures 

•  Administrative  decentralisation  which  helps  local  democracy  develop  and  take  root. 
There  can  be  no  real  démocratisation  process  without  its  assimilation  at  grassroots 
level. These reforms  are fundamental  in restoring citizens'  responsibility  for their  own 
development,  making  them  the  government's  partners  rather  than  its  dependants,  and 
rethinking  and  reassigning  their  respective  roles  in  a  climate  conducive  to  initiative 
and  the  exploitation  of  local  know-how  and  cultures.  These  reforms  must  also  tie  in 
with a decentralised  approach to  co-operation. 

•  Support  for  legislative  power,  whose  performance  directly  determines  the  democratic 
process  and  which  must  enable  parliaments  to  perform  their  dual  function  of 
counterweight  to  the  executive  and  lawmaker  in  an  independent  and  constructive 
manner.  Support  for  promoting  the  parliamentary  system  and  regional  co-operation 
between  parliaments  are just  two  ways  of making  national  parliaments  more  effective 
and creating strong ties between parliaments in a given region, which could in the long 
term help ACP members of parliament play a more effective  role in the ACP-EC  Joint 
Assembly. 

•  Support  for  suitable budget  supervision  and monitoring  which  is vital  for  institutional 
transparency  in  particular  and  good  governance  in  general,  especially  in  public 
procurement. 

12 

•  Support  for  regional  systems  to  protect  and  monitor  human  rights  (and  in  particular 
the  African  Commission  on  Human  Rights,  the  Inter-American  Commission  on 
Human Rights and the Inter-American Court of Human Rights). 

(ii) 

Education  in human  rights and civics 

Presented  in  Article 26  of  the  Universal  Declaration  of  Human  Rights  as  a 
7. 
precondition  for  the  development  of  the  individual  and  a  catalyst  for  democracy, 
education  was  reiterated  as  a  priority  in  the  conclusions  of  the  Vienna  Conference  on 
Human Rights.  Under the approach of the UN, which has made this the decade of human 
rights  education,  education  must  emphasise  human  rights  and  democratic  principles. 
Civics  education  plays  a  direct  role  in  a  people's  assimilation  of  the  démocratisation 
process. 
It will involve: 

•  promoting  a  culture  of  democracy,  especially  through  institutional  programmes  for 

those educating young people; 

•  making citizens aware of their basic rights and obligations; 
•  opening  the  debate  on  the  procedures  by  which  democratic  principles  are  actually 

applied in the countries  concerned. 

(iii)  Strengthening  civil  society  and  women's  participation  in  the  démocratisation 

and development  process 

8. 
The  tasks  of  government  cannot  be  redefined  in  the  course  of  démocratisation 
unless  civil  society  is reinforced  accordingly.  This presupposes  institutional  changes  (a) 
to  allow  attitudes  and  mechanisms  for  limiting  powers  to  exist  and  counterbalance  - and 
indeed  validate  -  the  working  of  democracy,  and  (b)  to  guarantee  the  participation  and 
equality of all groups in society: women, minorities etc. 
Here, the following  will be  emphasised: 

•  Free  and  independent  media  which  are  both  a  crucial  factor  in  the  construction  of  a 
pluralist  system  respecting  democratic  principles  and  one  of  its  main  manifestations. 
Support  should  focus  on certain key issues, such as defending  the freedom  of the press 
(support  for national, regional  or international  organisations  and protecting the victims 
of  violations),  professional  ethics  (training  for  journalists,  improving  the  legal  and 
regulatory  framework),  access  to  information  (support  for  documentation  centres, 
North-South  and  South-South  exchanges  between  newspapers  and  radio  stations, 
shared access for several publications to an international press or photo agency). 

•  Gender  issues  which  are  crucial  to  the  achievement  of  all  development  objectives  in 
the  countries  concerned.  Taking  account  of  the  role  of  women  in  the  democratic 
process  for  sustainable  development  entails respect  for  fundamental  rights  and  human 
dignity  and  action  against  all  forms  of  abuse  or  exploitation  they  might  suffer  in  the 
family,  at  work,  in  the  community  and  society  in  general.  This  presupposes  the 
development  of information  on their rights and guaranteed  access to legal redress. 
The  démocratisation  processes  under  way  or  planned  are  also  an  opportunity  to 
involve  women,  who  make  up  more  than  50%  of  the  population  in  the  countries 
concerned,  in  national  and  local  political  life.  The  aim  is to prepare  them  to  exercise 
their  responsibilities  as  voters  and  potential  candidates.  The  Council  Resolution  of 
in  development  co-operation 
20 December  1995  on 
advocates promoting political  power  sharing  and women's  full  and  equal  participation 
in  decision-making  at  every  level.  Efforts  to  strengthen  civil  society  cannot  but 

integrating  gender 

issues 

13 

include  institutions  or  groups  representing  women,  whose  role  in  development  is 
undeniable, and foster women's access to all areas of decision-making. 

•  The rights of ethnic, religious and cultural minorities have to be taken into account in 
the interests of a country's political and social stability.  To that end the  1993 Vienna 
Conference on Human Rights stressed the importance of protecting and promoting the 
rights of members  of minorities, among them the right to practice their  own  culture 
and religion and use their own language. 

(iv)  Measures to prevent and combat fraud and corruption 

Good  governance  directly  determines  the effectiveness  of  aid  and  is  intrinsic  to 

9. 
compliance with certain essential elements. 
In its communication  to the Council on negotiating directives relating to the partnership 
agreement  on  development  with  ACP  countries,11  the  Commission  proposes  that  good 
governance be made an essential element of the new agreement. 
Several  of the measures cited under II in relation to the dimension  of effectiveness  and 
the rule of law and the priority measures identified  above will have a considerable impact 
on improving governance: there is no need to go into them again. 
However,  in terms  of the  sound  management  of resources,  including  development  aid, 
special attention must be given to fighting international corruption. 
An  agreement  was  signed  to  that  effect  in  the  OECD  on  17 December  1997.  The 
Commission  has transmitted to the Council a communication  on a Union policy  against 
corruption.12  There has been a succession of international discussions on the subject.  It 
was,  for  instance,  debated  by  the  Global  Coalition  for  Africa  in  Maputo  on  1  and 
2 November 1997. 
In its efforts  to tackle  fraud  and corruption, the Community has developed  a strategy to 
deal with serious offences  against Europe's finances.  A new legal framework,  including 
criminal  law, has been established  to protect the Community's  financial  interests.13 The 
Union's  rules  against fraud and  corruption  already  apply  to  financial  and  technical  co 
operation with the ACP countries, and will be strengthened. 
Tackling  corruption  entails  both  preventive  measures  and  sanctions.  Both  active  and 
passive corruption must be tackled together for measures to be  effective. 
The  Commission  communication  on  corruption  identifies  a  number  of  principles  and 
It  addresses  such  issues  as  criminalising 
measures  for  an  integrated  Union  policy. 
international  corruption,  abolishing 
tax  deductibility  for  bribes,  making  public 
procurement  procedures  more transparent  and the effectiveness  of the  accounting rules. 
The communication also covers preventing corruption in countries receiving Community 
aid. 
These measures have the political backing of the European  Council which in June 1997 
approved  an action plan  against  organised  crime, which  commits  the Union  to  fighting 
corruption and practices fostering it at home and abroad. 
Guidelines  for  combating  corruption  in  the  development  policy  sphere  should  take the 
following  form. 
Prevention 
10. 
necessary for a culture of integrity.  They may take a number of forms: 

Preventive  measures  are  basically  aimed  at  establishing  the  transparency 

11  See footnote  10. 
12  COM(97)  192 final,  21 May  1997. 
13  Regulations,  agreement  and protocols  on the protection  of the Community's  financial  interests  and  an 

agreement  on  corruption. 

14 

•  Measures  relating  to  relevant  regulations,  involving  principally  support  (technical 
assistance)  for  the  drafting  of  appropriate  legislation  and  rules  which  take  account  of 
the problem  of corruption. 

•  Measures  addressing  means  of control  involving  assistance  so  that  countries  establish 
effective  and  independent  supervisory  institutions  and  systems  (courts  of  auditors, 
government  inspectorates, public procurement  institutions, internal  and external  audits 
etc.). 
Improvement  of  anti-corruption  clauses  in  development-financing  procedures  (EDF) 
and co-ordination with the DAC and the World Bank on this matter. 

• 

•  Financing  of  direct  action  against  corruption  through  the  provision  of  technical 
assistance,  financing  of projects  (seminars  etc.) and  specialist  institutions  (e.g. the unit 
recently  set  up  in  Benin  to  promote  ethical  behaviour  in  public  life)  and  NGOs 
working in the  field. 

•  Raising  awareness  which  is  vital:  no  strategy  against  corruption  can  be  effective 
unless the general  and specific  facts  and  effects  are brought  to  light.  This calls  for  all 
levels  of  the  existing  media  to  be  used  to  inform  the  public:  schemes  with  and 
concerning  national  and  international  media,  training  and  information  (seminars, 
including  corruption  as  a  topic  in  training  programmes,  etc.).  These  activities  also 
concern  the  institutions  most  directly  involved:  customs  services,  finance  ministries 
etc., which  have  to  assimilate  the  communication  strategies  associated  with  domestic 
programmes  against  corruption.  Such  schemes  have  produced  encouraging  results, 
especially in Uganda. 
Incentives  which  can  make  corruption  less  tempting  to  public  officials,  e.g.  linking 
part of their pay to merit and  performance. 

• 

•  EC  support  for  "second  generation"  structural  adjustment  programmes,  which  give 
priority  to  improving  the  working  of  the  administration  and  public  institutions.  One 
component  of these programmes  involves reforms  of the civil  service  and  supervisory 
systems,  especially  those  for  countering  fraud,  including  a review  of objectives,  tasks 
and human resources. 

•  Like  the  ACP  countries,  the  EU  also  needs  to  introduce  machinery  for  preventing 
violations  of  the  rule  of  law  and  economic  dysfunctions  caused  by  the  influence  and 
activities  of  groups  linked  to  organised  crime,  especially  through  the  corruption  of 
officials  or  involvement  in  economic  activities,  and  in  particular  those  in  the  public 
and  parastatal  areas.  The  EU  and  the  ACP  countries  must  pledge  to  promote,  ratify 
and  enforce 
illegal  activities  and 
international  criminal organisations in general. 

international  agreements  against  corruption, 

Sanctions 
11. 
effective  policy against  corruption: 

Though not the preferred  approach, clear and effective  penalties  are crucial to any 

•  Clear disciplinary  procedures  are needed  for public  employees, especially  in the  event 

of malpractice. 

•  The offences  of fraud  and corruption  need  to be clearly defined  in national  legislation 

and that legislation  enforced. 

•  Whistle-blowers  need  protection.  This must  be  the subject  of  a specific  clause  in  the 

code of integrity intended  for staff  and institutions involved in development  aid. 

•  The Commission must draw up, with due regard  for  Community  law, and in particular 
the  principles  of  the  directives  on  the  protection  of  personal  data,  a  blacklist  of  the 
names, references  and  specific  offences  of  firms,  institutions  and  individuals  found  to 
have  been  directly  involved  in  corrupt  practices  in  connection  with  the  award  or 

15 

performance  of  contracts  relating  to  development  co-operation.  The  Commission  is 
currently studying the criteria and procedures for drawing up such a list. 

C. 

Non-execution  clause 

As  in  other  spheres,  the  European  Community  in  general  adopts  a  positive 
12. 
approach.  This  approach  is, however, backed  up by the possibility  of taking  appropriate 
steps  in the  event  of  failure  to  fulfil  an  obligation  relating  to  an  essential  element  of  the 
Lomé Convention. 
Article  366a  of  the  Lome  Convention  sets  out  clearly  the  procedure  to  follow  in  such 
cases  and  specifies  the  timing  and  players  involved  in  this  procedure,  providing  for 
consultations  between  the  parties  before  any  action  is  taken,  save  in  cases  of  special 
urgency. 
Implementing  such  a  procedure  requires  the  capacity  to  assess  the  failure  to  fulfil  an 
obligation  in  respect  of  human  rights,  democratic  principles  and  the  rule  of  law.  The 
decision  to  initiate  consultations  with  a country  will  depend  on  a political  assessment  of 
each  given  case  but  that  assessment  should  take  account  of  a  detailed  analysis  of  the 
country's  situation. 
13. 
Besides  the  resolutions  and  reports  referred  to  in  the  second  subparagraph  of 
III(i),  this  assessment  should  take  account  of  reports  from  the  heads  of  the  Member 
States'  and  the  Commission's  delegations. 
It  must  be  based  on  a  number  of  factors 
showing  whether  the  country's  progress  is  making  headway  on  one  or  more  essential 
elements:  respect  for  human  rights,  the  rule  of  law  and  démocratisation.  Such  an 
assessment  plays  an  important  part  in  the  consultations  between  the  parties,  which  are 
held "with a view to assessing the situation in detail and, if necessary, remedying  it." 
It  should  also help  identify  the measures needed  to remedy  or improve  the  situation  that 
led to the violation of an essential  element. 
14. 
If,  in  spite  of  all  efforts,  no  solution  is  found,  Article  366a  provides  for 
appropriate  measures  to  be  taken  by  the  party  which  invoked  the  violation.  This  may 
include  full  or partial  suspension  of the  Convention,  it being  understood  that  suspension 
is a "measure of last resort".  Appropriate measures  should  aim to exert pressure  in order 
to  improve  the  situation  that  caused  Article 366a to be  invoked.  This  objective  must  be 
pursued with the least possible disruption to the working of the Convention. The decision 
on  the  measures  to  be  adopted  must,  as  far  as  possible,  go  hand  in  hand  with  positive 
measures of immediate interest to remedy and improve the  situation. 
Although  it  is  difficult  to  lay  down  hard  and  fast  rules  on  such  measures  outside  the 
particular context in which they are to be applied, there are certain guiding principles. 
-  The measure will be proportional to the violation. 
-  The measures chosen must not penalise the population  and should be  accompanied  by 
a stepping-up  of operations in its favour:  if,  for  instance, the measure provides  for  the 
suspension  of  co-operation,  a  case-by-case  review  should  be  conducted  of  projects 
under  way  to  establish  whether  they  directly  benefit  the  poorest  sectors  of  the 
population  and should therefore be exempt. 

-  The  decision  on  the  appropriate  measures  must  be  co-ordinated  and  consistent  with 

measures adopted by the Member States. 

15. 
Lastly,  the  whole  question  of  non-fulfilment  or  violation  of  one  of  the  essential 
elements  must  be  linked  to prevention  of these violations, which  itself  is connected  with 
conflict  prevention.  A  deterioration  in  respect  for  democratic  principles,  human  rights 
and  the  rule  of  law  threatens  a  system's  legality  and  the  scope  for  peaceful  solutions  to 
tensions and conflicts  within a country. 

16 

D. 

Conclusion 

Together,  the  above  elements  should  not  only  help  establish  a  concrete 
16. 
operational framework for  EU-ACP dialogue and the programming  and  implementation 
of  the  associated  funding,  but  influence  positively  the  implementation  of  EDF 
programmes by creating an effective, transparent and equitable institutional environment. 

17 

Key stages in taking account of human rights, democratic principles and 

the rule of law in external relations 

ANNEX  I 

Treaty provisions 
1. 
Article F.2 of the EU Treaty, which entered into force  on  1 November  1993, for 
the very first time made respect  for human rights, democratic principles  and the rule of 
law an essential element for EU membership and a guiding principle for its activities. 
Article  130u of the EC Treaty closely links development policy to democratic principles, 
the rule of law and respect for human rights by specifying  that "Community policy in this 
area shall 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." 
These  provisions  represent  a  turning  point  in  the  Community's  history  and  reflect  its 
development  into  a  political  entity  aware  of  its  international  responsibilities  in  these 
matters. 
Increasing  account  taken  of  human  rights,  democratic  principles,  the  rule  of  law 
and good governance in external relations 
2. 
In  its  resolution  of  28  November  1991  on  human  rights,  democracy  and 
development,  the  Council  noted  that  respect  for  human rights, the rule  of  law  and  the 
existence  of  effective,  responsible  political  institutions  enjoying  democratic  legitimacy 
are  the  foundation  for  equitable  development;  it  also  underlined  its  attachment  to  the 
principles  of  representative  democracy,  the  rule  of  law,  social  justice  and  respect  for 
human  rights. 
This resolution  followed  on from,  and amplified,  the declaration  on human rights made 
by  the  Community's  Foreign  Ministers  on  21  July  1986, which  stated  that  respecting, 
promoting and guaranteeing human rights is a key factor  in international relations and a 
cornerstone of European co-operation. 
The same resolution introduced the concept of good governance by referring to a number 
of general  management  principles without which there can be no equitable, effective  or 
sustainable  development.  Respect  for  such principles would, moreover, play  a decisive 
role in relations between the Community, its Member States and the ACP countries in the 
sphere of development co-operation. 
On  18 November  1992  a  second  resolution  referred  back  to  the  1991  resolution, 
clarifying  certain  aspects  of  its  implementation  for  annual  review  by  the  Council.  In 
November  1996  a  further  resolution  on  human  and  social  development  reaffirmed  the 
importance of promoting good governance for human-centred development. 

In  the  resolution  on  democracy,  human  rights  and  development  in  the  ACP 
3. 
countries adopted in Gaborone on 31 March 1993, the ACP-EC Joint Assembly called on 
Parliament  and the Commission  to  adopt positive  flanking  measures  for  ACP  countries 
engaged in the democratic process and decide criteria and means for assessing respect for 
democracy and human  rights. 
4. 
In  May  1995  the  General  Affairs  Council  took  note  of  the  Commission 
Communication on the inclusion of respect for democratic principles and human rights in 
agreements  between  the  Community  and  third  countries  and  approved  a clause  to that 
effect  for  inclusion  in all such agreements.14  This decision is aimed  at giving the EU a 

14  COM(95) 216 final,  23 May 1995. 

18 

more uniform  and coherent  approach to human rights and democratic principles.  Under 
it, all co-operation,  association  and  free-trade  agreements  concluded  by the  Community 
with  third  countries  now  contain  a clause  on  respect  for  human  rights.  This  clause  is 
inspired  by  the  Universal  Declaration  on  Human  Rights  adopted  by  the  UN  General 
Assembly on 10 December  1948 (Resolution 217A(III)). 

19 

ISSN 0254-1475 

COM(98)  146 final 

DOCUMENTS 

EN 

11  06  01 

Catalogue  number  :  CB-CO-98-156-EN-C 

ISBN  92-78-31998-8 

Office  for Official  Publications of the European  Communities 

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