COMMON POSITION (EC) No 15/1999 adopted by the Council on 25 January 1999 with a view to the adoption of Council Regulation (EC) No .../1999 of ... laying down the requirements for the implementation of development cooperation operations which contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms
Date: 1999-01-25
Institutions: Council of the European Union
Subjects: cooperation policy, democracy, fundamental rights, human rights, international cooperation, rule of law

1.3.1999

EN

Official Journal of the European Communities

C 58/17

COMMON POSITION (EC) No 15/1999

adopted by the Council on 25 January 1999

with a view to the adoption of Council Regulation (EC) No .../1999 of … laying down the
requirements
the implementation of development cooperation operations which
contribute to the general objective of developing and consolidating democracy and the rule
of law and to that of respecting human rights and fundamental freedoms

for

(1999/C 58/02)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 130w thereof,

Having
regard
Commission (1),

to

the

proposal

from the

Acting in accordance with the procedure laid down in
Article 189c of the Treaty (2),

(1) Whereas procedures should be laid down for the
cooperation
implementation of development
to the general
operations which contribute
objective
consolidating
democracy and the rule of law and to that of
respecting
fundamental
rights
freedoms;

developing

human

and

and

of

this

Regulation

Regulation,

(2) Whereas the Council has adopted simultaneously
with
(EC)
No .../1999, laying down the requirements for
the implementation of Community operations,
other than those of development cooperation (3),
which, within the framework of Community
cooperation policy, contribute to the general
objective
consolidating
democracy and the rule of law and to that of
fundamental
rights
respecting
freedoms in third countries;

developing

human

and

and

of

cooperation contributes

(3) Whereas Community policy in the sphere of
to the
development
general objective of developing and consolidating
democracy and the rule of law and to that of
respecting
fundamental
rights
freedoms;

human

and

(1) OJ C 282, 18.9.1997, p. 14.
(2) Opinion of

(not yet
the European Parliament of
published in the Official Journal), Council common
position of 25 January 1999 … (not yet published in the
Official
the European
Parliament of … (not yet published in the Official
Journal).
(3) OJ L ….

and Decision of

Journal)

...

rights,

stipulates

the Union
guaranteed by

(4) Whereas Article F.2 of the Treaty on European
respects
that
Union
the
as
fundamental
the Protection of
European Convention for
Human Rights
and Fundamental Freedoms
signed in Rome on 4 November 1950 and as
they result
traditions
from the constitutional
common to the Member States, as general
principles of Community law;

(5) Whereas Community action to promote human
rights and democratic principles is guided by
in the universality and indivisibility of
belief
human rights, principles
that underpin the
international system for the protection of human
rights;

(6) Whereas Community action to promote human
rights and democratic principles is rooted in the
general principles established by the Universal
Declaration of Human Rights, the International
Covenant on Civil and Political Rights and the
International Covenant on Economic, Social and
Cultural Rights;

(7) Whereas

the Community

the
interdependence of all human rights and whereas
progress in economic and social development
and in the achievement of civil and political
rights should be mutually supportive;

recognises

be
for

respect

considered

(8) Whereas human rights within the meaning of
to
should
this Regulation
encompass
international
humanitarian law, also taking into account the
1949 Geneva Conventions
1977
Additional Protocol thereto, the 1951 Geneva
Convention relating to the Status of Refugees,
the 1948 Convention on the Prevention and
Punishment of the Crime of Genocide and other
acts of international treaty or customary law;

and

the

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1.3.1999

(9) Whereas

the

resolution on human rights,
democracy and development adopted by the
Council and the Member States, meeting within
the Council, on 28 November 1991 sets out
guidelines, procedures and practical measures
aimed at promoting civil and political freedoms
alongside economic and social rights, by means
of a representative political system based on
respect for human rights;

(10) Whereas Community action to promote human
rights and democratic principles is the product of
a positive and constructive approach in which
human rights and democratic principles are seen
as a matter of
the
Community and its partners, and as a subject for
dialogue that can produce measures to promote
respect for these rights and principles;

common interest

for

(11) Whereas

this positive

approach should be
reflected in the implementation of measures in
support of democratisation, the strengthening of
law and the development of a
the rule of
pluralist and democratic civil society and in
confidence-building
at
preventing conflicts, supporting peace initiatives
and addressing the issue of impunity;

measures

aimed

(12) Whereas

the

financial

instruments used to
support positive action in individual countries
should be used in a manner consistent with
geographical programmes and integrated with
other development instruments to maximise their
impact and effectiveness;

(13) Whereas it is also necessary to ensure that these
operations are consistent with the European
Union’s foreign policy as a whole, including the
common foreign and security policy;

(14) Whereas these operations should in particular
focus on those discriminated against or suffering
from poverty or disadvantage, children, women,
refugees, migrants, minorities, displaced persons,
indigenous peoples, prisoners and victims of
torture;

(15) Whereas

for
democratisation and observance of the principles

Community

support

fulfil

the rule of

the objectives

of
law within a political system
respecting the individual’s fundamental freedoms
helps
laid down in the
agreements concluded by the Community with
its partners, in which respect for human rights
and democratic principles is an essential element
of relations between the parties;

(16) Whereas the quality,

impact and continuity of
operations should in particular be safeguarded
by providing for multiannual programmes to
promote human rights and democratic principles
in partnership with the authorities of the country
concerned, taking account of its specific needs;

(17) Whereas efficient and consistent action requires
the specific characteristics of action on human
rights and democratic principles to be taken into
consideration and to be
reflected in the
establishment of flexible, transparent and rapid
decision-making procedures for the financing of
operations and projects in this field;

(18) Whereas the Community needs to be able to
respond rapidly to emergencies 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
in countries where such situations
arise;

(19) Whereas

for

the procedures

the award of
in
assistance and the evaluation of projects
particular should take account of
the special
nature of recipients of Community support in
this field, namely the non-profit nature of their
activities, the risks run by members who are in
the sometimes hostile
many cases volunteers,
environment
in which they operate and the
limited room for manoeuvre afforded by their
own resources;

(20) Whereas the development of civil society must
involve the emergence and organisation of new
players
the
Community may be required in beneficiary third
countries to provide financial support to partners
who have no previous experience in this area;

and whereas

in this

context

1.3.1999

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(21) Whereas decisions to fund projects to promote
human rights and democratic principles must be
taken impartially, without
religious,
cultural, social or ethnic discrimination between
bodies receiving Community support and persons
or groups targeted by the projects supported,
and must
political
considerations;

guided

racial,

not

by

be

(22) Whereas procedures should be established for the
implementation and administration of aid for the
promotion of human rights and democratic
from the Community’s
principles
general budget;

financed

(23) Whereas a financial reference amount, within the
meaning of point 2 of the Declaration by the
European Parliament,
the Council and the
Commission of 6 March 1995 (1), is included in
this Regulation for the entire duration of the
the
programme, without
powers of the budgetary authority as they are
defined by the Treaty,

affecting

thereby

Article 2

Within the limits of Article 1, and consistent with the
European Union’s foreign policy as a whole,
the
European Community shall provide technical and
financial aid for operations aimed at:

1. promoting and defending the human rights and
fundamental freedoms proclaimed in the Universal
other
of Human Rights
Declaration
international
the
development and consolidation of democracy and
the rule of law, in particular:

and
concerning

instruments

(a)

the promotion and protection of civil and
political rights;

(b)

the promotion and protection of economic,
social and cultural rights;

HAS ADOPTED THIS REGULATION:

CHAPTER I

Objectives

Article 1

The purpose of this Regulation is to lay down the
the implementation of Community
procedures
for
operations which, within
of
policy,
development
Community
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
cooperation

framework

The operations referred to in this Regulation shall be
implemented in the territory of developing countries
or shall be directly related to situations arising in
developing countries.

(c)

(d)

(e)

(f)

(g)

the promotion and protection of the human
rights of
those discriminated against, or
suffering from poverty or disadvantage, which
will contribute to reduction of poverty and
social exclusion;

support
indigenous peoples;

for minorities, ethnic groups and

local,

national,

regional
or
supporting
international
including NGOs,
involved in the protection, promotion or
defence of human rights;

institutions,

support for rehabilitation centres for torture
victims and for organisations offering concrete
help to victims of human rights abuses or help
to improve conditions in places where people
are deprived of
to
prevent torture or ill-treatment;

liberty in order

their

for

support
and
education,
consciousness-raising in the area of human
rights;

training

(1) OJ C 102, 4.4.1996, p. 4.

(h)

supporting action to monitor human rights,
including the training of observers;

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Official Journal of the European Communities

1.3.1999

(i)

the promotion of equality of opportunity and
non-discriminatory
including
measures to combat racism and xenophobia;

practices,

(g)

supporting national efforts to separate civilian
and military functions, training civilian and
military personnel and raising their awareness
of human rights;

(j) promoting and protecting the fundamental
International
freedoms mentioned in the
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 strengthening it, and support
for a humane prison system;
for
constitutional and legislative reform; support
for initiatives to abolish the death penalty;

support

(b) promoting

the

separation

powers,
particularly the independence of the judiciary
and the legislative from the executive, and
support for institutional reforms;

of

of

level
the

civil
institutions

(c) promotion of pluralism both at political level
by
and
the
at
strengthening
to
maintain the pluralist nature of that society,
organisations
including
(NGOs), and by promoting independent and
responsible media and supporting a free press
and respect
freedom of
association and assembly;

non-governmental

society
needed

the rights of

for

(d) promoting good governance, particularly by
supporting administrative accountability and
the prevention and combating of corruption;

(e) promoting the participation of the people in
the decision-making process
at national,
in particular by
regional and local
promoting the equal participation of men and
women in civil society, in economic life and in
politics;

level,

(f)

supporting

independent

in particular
support for electoral processes,
by
electoral
commissions, granting material, technical and
legal assistance in preparing for elections,
including electoral censuses, taking measures
to promote
specific
groups, particularly women,
in the electoral
process, and by training observers;

the participation of

3. support

for measures

to promote respect

for
human rights and democratisation by preventing
conflict and dealing with its consequences, in close
collaboration with the relevant competent bodies,
in particular:

(a)

supporting capacity-building,
establishment of local early warning systems;

including the

(b)

supporting measures
aimed at balancing
opportunities and at bridging existing dividing
lines among different identity groups;

(c)

group interests,

supporting measures facilitating the peaceful
conciliation of
including
confidence-building measures
support
relating to human rights and democratisation,
in order to prevent conflict and to restore civil
peace;

for

(d) promoting international humanitarian law and
its observance by all parties to a conflict;

(e)

regional or

including the NGOs,

local
supporting international,
organisations,
involved
in preventing, resolving and dealing with the
consequences of conflict, including support for
criminal
establishing ad hoc
tribunals
permanent
international criminal court, and support and
assistance for the victims of human rights
violations.

international

setting

and

up

a

Article 3

Community support for these aims may include the
financing of:

1. campaigns to increase awareness, inform and train

the agencies involved and the general public;

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Official Journal of the European Communities

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2.

the measures needed for the identification and
preparation of projects, namely:

(a)

identification and feasibility studies;

(b)

(c)

(d)

the exchange of
technical know-how and
experience between European organisations
and bodies in third countries;

the costs arising from tendering procedures, in
particular the evaluation of tenders and the
preparation of project documents;

the financing of general studies concerning the
Community’s action within the scope of this
Regulation;

3.

the implementation of projects:

(a)

technical assistance and expatriate and local
staff to help implement the projects;

strictly

(b) purchasing and/or delivering any product or
equipment
the
in
implementation of operations,
exceptional circumstances, and when duly
justified,
of
purchasing
premises;

for
including,

necessary

leasing

the

or

(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 explain the objectives and results of
to the general public in the
these measures
countries
and
and
technical assistance for the mutual benefit of the
Commission and the beneficiary.

administrative

concerned

CHAPTER II

Procedures for the implementation of aid

Article 4

are

regional

The partners eligible for financing under this
1.
international
Regulation
organisations,
organisations,
non-governmental
national, regional and local authorities and official
agencies, Community-based organisations and public
or private-sector institutes and operators.

and

2. Operations financed by the Community under
this Regulation
the
be
Commission either at the request of a partner referred
to in paragraph 1 or on its own initiative.

implemented

shall

by

Article 5

a

in

To be eligible for Community aid,
the partners
referred to in Article 4(1) must have their main
headquarters
for
third
Community aid under this Regulation or in a Member
State of the Community. Such headquarters must be
the effective decision-making centre for all operations
financed under
the
headquarters may be in another third country.

this Regulation. Exceptionally,

country

eligible

Article 6

Without prejudice to the institutional and political
in which the partners referred to in
environment
Article 4(1) operate, the following factors shall
in
particular be considered when determining a body’s
suitability for Community funding:

(a) its

commitment

respecting and
to defending,
promoting human rights and democratic principles
in a non-discriminatory manner;

(b) its experience in the field of promoting human

rights and democratic principles;

(c) its

administrative

and

financial management

capacities;

(d) its technical and logistical capacity in relation to

the planned operation;

(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 assistance to local
organisations accountable to civil society.

Article 7

1.
Aid shall not be allocated to the partners referred
to in Article 4(1) unless they undertake to comply

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with the allocation and implementation conditions
which are laid down by the Commission and to which
they shall be contractually bound.

(c) the promotion of a coherent approach in relation
to humanitarian assistance and, whenever possible,
the integration of the protection of human rights
within humanitarian assistance.

2.
Activities aided by the Community shall be
implemented in accordance with the objectives laid
down in the Commission financing decision.

CHAPTER III

Community financing under this Regulation shall

3.
take the form of grants.

Procedures for the implementation of operations

4. Where operations financed under this Regulation
are the subject of financing agreements between the
Community
such
and
taxes, charges and
agreements shall stipulate that
customs duties are not to be borne by the Community.

countries,

recipient

the

Article 10

The financial reference amount for the implementation
of this Regulation during the period 1999 to 2004
shall be EUR 260 million.

Article 8

The annual appropriations shall be authorised by the
budgetary authority within the limits of the financial
perspective.

1.
Participation in invitations to tender and the
award of contracts shall be open on equal terms to
natural or legal persons from the recipient country and
the Member States.
It may be extended to other
countries in exceptional and duly justified cases.

2.
Supplies shall originate in the Member States or
the recipient country. They may originate in other
countries in exceptional and duly justified cases.

Article 11

The Commission shall plan, appraise, decide upon and
administer, monitor and evaluate operations under this
Regulation in accordance with the budgetary and
other procedures in force.
lay down the
conditions for allocating, mobilising and implementing
aid under this Regulation.

It shall

Article 9

Article 12

of

In

the

interests

1.
and
complementarity and in order to maximise the overall
effectiveness of operations, the Commission, in close
cooperation with the Member States, may take any
coordination measures necessary.

consistency

In any case, for the purposes of paragraph 1, the

2.
Commission shall encourage:

(a) the introduction of a system for the exchange and
systematic analysis of information on operations
financing by the
financed or
Community and the Member States;

considered for

(b) the

the

coordination

of
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;

implementation

The

following

the
1.
Commission according to the procedure laid down in
Article 13(2):

adopted

shall

by

be

— 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
scale and
or
complexity of the needs identified are such that
they seem likely to continue.

in a specific

field where

the

The Commission shall notify the committee
2.
referred to in Article 13 of financing decisions that it
intends to take concerning projects and programmes
costing less than EUR 1 million. Notice shall be given
at least a week before the decision is taken.

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Article 13

1.
The Commission shall be assisted by a Human
Rights and Democracy Committee, hereinafter referred
to as (cid:28)the committee’, composed of representatives of
the Member States, and chaired by the representative
of the Commission.

2. Where reference is made to this Article 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 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 three months from the
date of referral to the Council, the Council has not
acted, the proposed measures shall be adopted by the
Commission.

The Commission shall

3.
inform the committee
referred to in Article 13, at its next meeting, of all
emergency measures financed under these provisions.

Article 15

The committee may examine any general or specific
issues concerning Community aid in the field and
role as a means
should also play a useful
for
improving the coherence of
the human rights and
the European Union
democratisation actions of
towards third countries. Once a year it will examine
the planning for the following financial year or discuss
general guidelines for operations under this Regulation
to be undertaken in the year ahead.

Article 16

shall

regularly

The Commission

1.
evaluate
operations financed by the Community under this
Regulation in order to establish whether they have
achieved their objectives and to produce guidelines for
improving the effectiveness of subsequent operations.
The Commission shall submit
to the committee a
summary of the evaluation exercises carried out that it
might, if necessary, examine. The evaluation reports
shall be available to the Member States on request.

At

the request of

the
2.
Commission may, with them, also evaluate the results
of the Community’s operations and programmes under
this Regulation.

the Member States,

Article 14

Article 17

finance

The Commission may

1.
emergency
measures up to a maximum of EUR 2 million.
Emergency measures shall be deemed necessary in
cases of urgent and unforeseeable need arising from
the sudden suspension of the democratic process or
the emergence of a state of crisis or exceptional and
imminent danger
the
population of a country and posing a grave threat to
the fundamental rights and freedoms of the indiviudal.

all or part of

affecting

All contracts or financing agreements concluded under
this Regulation shall provide in particular that the
Commission and the Court of Auditors may conduct
checks on the spot and at the headquarters of the
partners referred to in Article 4(1) in accordance with
the usual procedures established by the Commission
under the rules in force, and in particular those of the
Financial Regulation applicable to the general budget
of the European Communities.

these conditions,

2. Where operations
the
fulfil
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 13, shall examine the
question at its next meeting.

Article 18

1. Within a month of its decision, the Commission
shall notify the Member States of operations and

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1.3.1999

projects approved, indicating the sums, the nature of
the operation, the recipient country and the partners
involved.

At

the

close of

each financial

the
2.
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.

year,

Article 19

Three years after this Regulation enters into force, the
Commission shall submit to the European Parliament
the
and to the Council an overall assessment of
operations financed by the Community under this
Regulation, which may
by
appropriate proposals concerning the future of this
Regulation.

accompanied

be

The summary shall contain information concerning
the partners with which the operations referred to in
Article 1 have been implemented.

The report shall also include a review of any external
evaluation exercises which may have been conducted
and may, if appropriate, propose specific operations.

Article 20

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 unti 31 December 2004.

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

Done at …

For the Council

The President

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THE COUNCIL’S REASONS

I.

INTRODUCTION

1. By letter of 20 August 1997 the Commission forwarded to the Council a
proposal (1) for a Regulation on the development and consolidation of democracy
and the rule of law and respect for human rights and fundamental freedoms.

2. On 16 July 1998, Coreper decided that it would be more legally correct to adopt
two separate regulations, one based on Article 130w of the EC Treaty and
covering activities related to developing countries, and the other, referring to
actions linked to third countries, on Article 235 of the Treaty.

3. On 17 December 1998 the European Parliament delivered its opinion (2) on the

proposal based on Article 130w at first reading.

4. On 25 January 1999 the Council adopted its common position pursuant to

Article 189c of the Treaty.

II. AIM OF PROPOSAL

The aim of the proposal is to create a legal basis for implementing the appropriations
entered in the Commission budget to finance operations which contribute to the
general objective of developing and consolidating democracy and the rule of law and
to that of respecting human rights and fundamental freedoms.

III. ANALYSIS OF THE COMMON POSITION

The common position retains — fully, or in part, and in some cases with certain
adaptations — a considerable number of the amendments proposed by the European
Parliament in its opinion (amendments 7, 11, 13, 15, 22, 24, 27, 29, 34 and 38).

However, the Council was not in a position to retain a series of other amendments
that relate to institutional aspects such as comitology and information procedures, or
to budgetary aspects (for example, amendment 22 suggesting the deletion of the
financial reference amount), nor could the Council agree to amendment 36 providing
for an unlimited duration, all these aspects being elements of an overall compromise
and reflecting moreover decisions made by the Council in the past, with regard to
other regulations in the field of development cooperation.

Also, the Council did not retain amendments 1 to 4 and 9 that would introduce the
concept of good governance into the title, certain recitals and the body of the text, as
the exact definition of the title and the scope of the Regulation was the result of
difficult negotiations as well.

(1) Not yet published in the Official Journal.
(2) Not yet published in the Official Journal.