Proposal for a Council Regulation (EC) on measures to promote the conservation and sustainable management of tropical forests and other forests in developing countries
Date: 1999-02-03
Institutions: European Commission
Subjects: developing countries, forest, forest conservation, sustainable development, tropical forest

29.3.1999

EN

Official Journal of the European Communities

C 87/97

Proposal for a Council Regulation (EC) on measures to promote the conservation and
sustainable management of tropical forests and other forests in developing countries

(1999/C 87/03)

COM(1999) 41 final — 99/0015 (SYN)

(Submitted by the Commission on 3 February 1999)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

Having regard to the opinion of the Economic and
Social Commitee,

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

(5) Whereas the Community and its Member States
are signatories to the Rio Declaration and the
Agenda 21 action programme and are committed
to the Ungass resolution (cid:28)Programme for the
further implementation of Agenda 21’;

(6) Whereas the Community and its Member States
are members of the World Trade Organisation
Environment
to Multi-lateral
and
parties
Agreements,
on
notably
Biological Diversity, the Framework Convention
on Climate Change and the Convention to
Combat Desertification; whereas they are thus
committed to take into account the common but
differentiated responsibilities of developed parties
and developing parties on these subjects;

the Convention

(1) Whereas forests have a variety of functions and
values for mankind and can contribute to the
achievement of Community development and
as
environment
poverty
reduction,
and social
development and protection of the environment;

such
economic

sustainable

objectives

(2) Whereas, in numerous resolutions, the European
Parliament has expressed its concern over the
destruction of forests and the consequences for
forest peoples;

(3) Whereas, in reply to the request by the European
Parliament in its Resolution on the European
Union’s forestry strategy (1) the Commission has
adopted, in …, Communication (cid:28)…’ setting out a
strategy for Community action on the promotion
of the conservation and sustainable management
of forests in developing countries;

in

the

(4) Whereas the objectives of this strategy are to be
pursued
broader
context
Community aim to promote the conservation
and sustainable use of
in whatever
geographical area or climate zone they may be
situated;

forests,

the

of

(7) Whereas, in its 1997 Special Session, the United
Nations General Assembly has endorsed the
proposals
the
framework of the Intergovernmental Panel on
Forests (IPF); whereas the Community and its
Member States are fully committed to the
implementation of these proposals;

formulated

action

for

in

forests (2) set out

(8) Whereas Council Regulation (EC) No 3062/95
of 20 December 1995 on operations to promote
the framework of
tropical
Community assistance in this area; whereas
Regulation (EC) No 3062/95 was applicable
until 31 December 1999; whereas the experience
of
acquired
Regulation (EC) No 3062/95 should be reflected
in this regulation;

implementation

during

the

(9) Whereas,

in its Resolution of 30 November
1998, the Council acknowledges the role that
forest peoples play in managing the environment,
in particular with regard to the conservation and
sustainable use of forests in developing countries;

(10) Whereas existing financial instruments available
to
the
conservation and sustainable development of
forests could usefully be supplemented;

the Community

supporting

for

(1) OJ C 55, 24.2.1997, p. 22.

(2) OJ L 327, 30.12.1995, p. 9.

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Official Journal of the European Communities

29.3.1999

(11) Whereas provision should be made for funding
the operations referred to in this Regulation;

4.

(12) Whereas rules for implementation, in particular
recipients of aid and
laid
should be

the
form of action,
decision-making procedures,
down,

the standard of

(cid:28)Sustainable development’ means the improvement
the
of
living and welfare of
relevant populations within the limits of
the
capacity of the ecosystems by maintaining naturals
assets and their biological diversity for the benefit
of present and future generations.

HAS ADOPTED THIS REGULATION:

Article 1

The Community shall provide financial assistance and
technical expertise to promote the conservation and
sustainable management of tropical forests and other
forests in developing countries so as to meet
the
economic, social and environmental demands placed
on forests at local, national and global levels.

5.

(cid:28)Forest peoples’ means the indigenous peoples who
inhabit the forest or claim it as their home and any
people who live in or near the forest and have
traditionally been directly and to a large extent
dependent on the forest.

Article 3

Activities to be carried out pursuant to this Regulation
shall aim at:

— raising the status of forests in national policies and
integrating forest policies in development planning;

financial assistance and technical
complement

expertise
This
shall
assistance
provided through other instruments of development
cooperation.

reinforce

and

the

— promoting the production and use of wood and
from sustainably

products

non-wood
forest
managed resources;

Article 2

— contributing to the adequate valuation of forest

resources and services.

For the purposes of this Regulation:

1.

2.

3.

(cid:28)Tropical forests and other forests in developing
countries’ means
the natural and semi-natural
forest ecosystems, whether primary or secondary,
whether closed or open forests, in both dry and
humid areas. The areas concerned are those found
within the territories of African, Caribbean and
Pacific countries, the Mediterranean countries and
the countries of Latin America and Asia.

(cid:28)Conservation’ means all operations to preserve
in particular operations
and rehabilitate forests,
the biological
designed to protect or
the forest
diversity and ecological
ecosystem, while securing as far as possible their
current and future value for mankind and in
particular for forest peoples.

restore
functions of

diversity,

forest management’ means

(cid:28)Sustainable
the
management and use of forests and wooded lands
that maintains their
in a way, and at a rate,
biological
regeneration
capacity, vitality and their potential to fulfil, now
and in the future, relevant ecological, economic
and social functions, at local, national, and global
levels, without causing any damage to other
ecosystems.

productivity,

Article 4

In the provision of

1.
financial assistance and
technical expertise aimed at attaining the objectives set
out in Article 3, the Community shall give special
consideration to the promotion of:

a) development

of

national

appropriate

and
international forest policy frameworks based on
realistic valuation of forests,
including land use
planning, equitable trade in sustainably produced
forest
fiscal measures,
institution building, support to the private sector
and taking into account other sectoral policies
which impact on forests and the interests and
customary rights of forest peoples;

products,

legal

and

b) conservation of forests which are recognised as
being of high ecological
value as well as
restoration of degraded forest areas, which are
considered to be of importance due to their local
impacts such as the protection of
and global
hydrographic basins,
soil
erosion, climate change and the preservation of
biological diversity;

the prevention of

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Official Journal of the European Communities

C 87/99

c)

economic,

sustainable forest management and utilisation to
provide
and environmental
social
benefits and including inter alia forest certification
and environmentally sound harvesting of both
wood and non-wood forest products and natural
and assisted forest regeneration;

d) economic

viability

sustainable

forest
of
management through more efficient utilisation of
forest products and technical
improvements of
downstream activities related to the forest sector
such as small and medium scale processing and
marketing of wood and non-wood forest products,
the sustainable use of wood as energy source and
the development of alternatives to agricultural
practices based on forest clearing;

e) knowledge

and

information

and
and
forest
management
products,
in order to provide a sound scientific
basis for realising the priorities listed under a)
to d).

generation
services

concerning

2.

Priorities shall be determined in accordance with:

— the needs of each country as reflected in regional
and
environment
development
policies relating to forests, considering National
Forest Plans, and

national

and

— Community cooperation objectives as established

in jointly agreed country strategy papers.

3.

Particular attention shall be given to:

— encouraging private entrepreneurship in the forest
in the
products processing and marketing chain,
context of agreed policies
sector
for private
development and taking into account existing
social
systems and community-based economic
activities;

— encouraging the direct participation of developing
country public and private organisations, ensuring
appropriate scale of interventions and adaption of
administrative procedures to locally manageable
level;

— participation of forest peoples in operations carried

out pursuant to this Regulation;

— sustainability of any proposed activity,

social,

economic as well as environmental.

out

carried

pursuant

4. Operations
this
Regulation shall be preceded by environmental and
social
impact assessments, as well as analysis of
financial and economic feasibility. These operations
relevant
shall also be preceded by provision of
information to forest peoples and be conditional on
their support.

to

Operations carried out will be evaluated using specific
quantitative and qualitative indicators
in the
reference conditions.

set

out

carried

support

this
pursuant
5. Operations
coordinated with, and may
Regulation shall be
provide
and international
for, national
programmes and operations on the conservation and
sustainable management of forests, in particular the
proposals for action formulated in the context of the
IPF/IFF process.

to

6. When appropriate, operations shall be carried
out within the framework of regional organisations
and international programmes of cooperation and
shall form part of a global policy on the conservation
and sustainable management of forests.

out

carried

7. Operations
this
Regulation shall concentrate on pilot projects in the
field, innovative programmes, studies and research, the
results of which will enable the EC to develop, adjust
and implement its forest sector cooperation policies.

pusuant

to

Article 5

Aid recipients and cooperation partners shall include
not only States and regions but also international
regional
organisations, decentralised departments,
and
bodies,
local
agencies,
communities,
industries,
including cooperatives and NGOs and associations
representing local people.

traditional
and

operators

private

public

Article 6

cover

studies,
financing may
1.
Community
training or other
education,
technical assistance,
services, supplies and works, small grant funds as well
as appraisals, audits and evaluation and monitoring
missions. It may cover technical and administrative
assistance costs, to the benefit of the Commission and
the beneficiary, related to operations other than the
permanent tasks of the public administration, linked
to
preparation, management,
monitoring, auditing and control of programmes or
projects.

identification,

the

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Official Journal of the European Communities

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Community financing may cover both investment,
linked to a specific programme or project, with the
exception of the purchase of real estate, and, recurring
expenditure (including administrative, maintenance
and operation expenditure).

However, with the exception of training, education
costs may
and research programmes, operating
normally be covered only during the start-up phase
and on a gradually decreasing basis.

Article 7

Financial support pursuant to this Regulation shall
take the form of grants.

Article 8

A contribution shall be

from the
2.
beneficiaries defined in Article 5. Their contribution
shall depend on their means and the nature of the
operation concerned.

sought

3. Opportunities may be sought
for cofinancing
with other donors, especially with Member States and
the international organisations concerned.
In this
respect, a coordination with the measures taken by
other donors shall be sought.

The necessary measures

4.
emphasise
provided pursuant to this Regulation.

the Community character of

shall be

taken to
the aid

5.
In order to attain the objectives of consistency
and complementarity laid down in the Treaty and with
the aim of guaranteeing optimum efficiency for the
totality of these operations, the Commission may take
including in
all coordination measures necessary,
particular:

a)

the establishment of a system for the systematic
and
exchange
on
operations
financed or being considered for
financing by the Community and the Member
States;

information

analysis

of

b) on-the-spot coordination of these operations by
regular meetings and exchanges of
means of
the
information between the representatives of
Commission and Member States in the beneficiary
countries.

6.
In order to obtain the greatest possible impact at
global, national and local levels, the Commission, in
liaison with the Member States, may take any
initiative necessary for ensuring proper coordination
especially regarding the
and close
exchange
beneficiary
countries, donors and international organisations,
funds and programmes involved,
in particular those
forming part of the United Nations system.

collaboration,
of

information, with

the

shall be

The Commission

1.
for
appraising, deciding on and administering operations
covered by this Regulation according to the budgetary
and other procedures in force, and in particular those
laid down in the Financial Regulation applicable to
the general budget of the European Communities.

responsible

2. Decisions relating to grants of more than EURO 2
million for individual operations financed pursuant to
this Regulation shall be adopted under the procedure
laid down in Article 9.

3.
The Commission shall be authorised to approve,
without seeking the opinion of the Committee referred
to in Article 9, any extra commitments needed for
in
covering any expected or
real cost overruns
connection with the operations, provided that
the
overrun or additional requirement is less than or equal
fixed by the
the initial commitment
to 20 % of
financing decision.

All financing agreements or contracts concluded
4.
to this Regulation shall provide for the
pursuant
Commission and the Court of Auditors to conduct
on-the-spot checks
in accordance with the usual
procedures laid down by the Commission under the
rules in force,
in particular those of the Financial
Regulation applicable to the general budget of the
European Communities.

5. Where operations are the subject of financing
agreements between the Community and the recipient
country,
the
payment of taxes, duties or any other charges is not to
be covered by the Community.

such agreements

stipulate that

shall

6.
Participation in invitations to tender and the
award of contracts shall be open on equal terms to all
natural and legal persons of the Member States and of
the recipient country. It may be extended to other
developing countries and, in exceptional cases which
are fully justified, to other third countries.

7.
Supplies shall originate in the Member States, the
recipient country or other developing countries. In
exceptional
circumstances warrant,
cases, where
supplies may originate in other countries.

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Official Journal of the European Communities

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8.

Particular attention will be given to:

— the pursuit of cost-effectiveness and sustainable

impact in project design,

— the clear definition and monitoring of objectives
and indicators of achievement for all projects.

Article 9

1.
The Commission shall be assisted by the
geographically determined Committee competent for
development.

The representative of

2.
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
if
necessary by taking a vote.

the matter,

The opinion shall be recorded in the minutes;
in
addition each Member State shall have the right to ask
to have its position recorded in the minutes.

The Commission shall take the utmost account of the
opinion delivered by the Committee. It shall inform
the Committee of the manner in which its opinion has
been taken into account.

Article 10

An exchange of views shall take place once a year on
the basis of a presentation by the representative of the
Commission of
the
general
operations to be carried out in the year ahead, in the
framework of a joint meeting of
the Committees
referred to in Article 9.

guidelines

the

for

Article 11

1.
After each budget year, the Commission shall
submit an annual report to the European Parliament
and the Council, summarising the operations financed

in the
implementation of this Regulation over that period.

that year and evaluating the

course of

The summary shall in particular provide information
about the nature and quantity of the projects financed
and about
those with whom contracts have been
concluded. The report shall also indicate the number
of external assessments carried out, if any, regarding
specific activities.

The Commission shall regularly assess operations
2.
financed by
view to
the Community with a
establishing whether the objectives aimed at by those
operations have been achieved and to providing
guidelines for improving the effectiveness or future
operations. The Commission shall
to the
Committee referred to in Article 9a summary of the
assessment made which may,
if appropriate, be
examined by the Committee. The assessement reports
shall be available to any Member States requesting
them.

submit

The Commission shall

3.
inform the Member
States, at the latest one month after its decision of the
operations and projects that have been approved,
stating their cost and nature, the recipient country and
partners.

4.
The financing guide specifying the guidelines and
criteria applicable to the selection of projects shall be
published and communicated to the interested parties
by the Commission services,
including Commission
delegations in beneficiary countries.

Article 12

This Regulation shall enter into force on the
its publication in the

1.
third day following that of
Official Journal of the European Communities.

Four years after the entry into force of

2.
this
to the
Regulation the Commission shall
European Parliament and to the Council an overall
assessment of
the
Community under
together with
suggestions concerning the future of this Regulation.

this Regulation,

the operations

financed by

submit

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