Council Regulation (EC) No 976/1999 of 29 April 1999 laying down the requirements for the implementation of Community operations, other than those of development cooperation, which, within the framework of Community cooperation policy, contribute to the general objective of developing and consolidating democracy and the rule of law and to that of respecting human rights and fundamental freedoms in third countries
Date: 1999-04-29
Institutions: Council of the European Union
Subjects: cooperation policy, democracy, fundamental rights, human rights, rule of law, third country

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COUNCIL REGULATION (EC) No 976/1999

of 29 April 1999

laying down the requirements for the implementation of Community operations,
other than those of development cooperation, which, within the framework of
Community cooperation policy, contribute to the general objective of developing
and consolidating democracy and the rule of law and to that of respecting
human rights and fundamental freedoms in third countries

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular, Article 235 thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Parlia-
ment (2),

(1) Whereas procedures should be laid down for the
implementation of Community operations, other
than those of development cooperation which,
within the framework of Community cooperation
policy in third countries, contribute to the general
objective of developing and consolidating demo-
cracy and the rule of law and to that of respecting
human rights and fundamental freedoms in third
countries;

(2) Whereas the Council has adopted simultaneously
with this Regulation, Council Regulation (EC) No
975/1999 of 29 April 1999 laying down the
requirements for the implementation of develop-
ment cooperation operations which contribute to
the general objective of developing and consoli-
dating democracy and the rule of law and to that of
respecting human rights and fundamental
free-
doms (3);

(3) Whereas, within the

framework of

existing
programmes relating to cooperation with third
countries, including TACIS, PHARE, MEDA and
the Regulation on reconstruction in Bosnia and
Herzegovina, as well as future such cooperation
implemented on the basis of Article 235 of the EC
Treaty, action is necessary to contribute to the
general objective of developing and consolidating
law and to that of
democracy and the rule of
respecting human rights and fundamental
free-
doms in third countries;

Convention for the Protection of Human Rights
and Fundamental Freedoms signed in Rome on 4
November 1950 and as they result from the consti-
tutional traditions common to the Member States,
as general principles of law;

(5) Whereas Community action to promote human
rights and democratic principles is guided by belief
in the universality and indivisibility of 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 recognises the interde-
pendence of all human rights, and that progress in
economic and social development and in the
achievement of civil and political rights are mutu-
ally supportive;

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

(4) Whereas Article F.2 of the Treaty on European
Union stipulates that the Union respects funda-
rights, as guaranteed by the European
mental

(1) OJ C 282, 18.9.1997, p. 14.
(2) Opinion delivered on 14 April 1999 (not yet published in the

Official Journal).

(3) See page 1 of this Official Journal.

(9) Whereas the resolution on human rights, demo-
cracy 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;

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Official Journal of the European Communities

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and constructive

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

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

(11) Whereas this positive approach should be reflected
by the implementation of measures in support of
democratisation, the strengthening of the rule of
law and the development of a pluralist and demo-
cratic civil
society and by confidence-building
measures aimed at preventing conflicts, supporting
peace initiatives
and addressing the issue of
impunity;

(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 develop-
ment instruments to maximise their impact and
effectiveness;

(18) Whereas the Community needs to be able to
respond rapidly to emergencies or situations of
particular importance in order to enhance the cred-
ibility and effectiveness of its commitment to the
promotion of human rights and democratic princi-
ples in countries where such situations arise;

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

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

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

(14) Whereas these operations should 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 Community support for democratisation
and observance of the principles of the rule of law
within a political system respecting the individual’s
fundamental freedoms helps fulfil the objectives
laid down in the agreements concluded by the
Community with its partners, in which respect for
human rights and democratic principles is an
essential element of relations between the parties;

(21) Whereas decisions to fund projects to promote
human rights and democratic principles must be
taken impartially, without racial, religious, cultural,
social or ethnic discrimination between bodies
receiving Community support and persons or
groups targeted by the projects supported, and must
not be guided by political considerations;

(22) Whereas procedures should be established for the
implementation and administration of aid for the
promotion of human rights and democratic princi-
ples financed from the general budget of the Euro-
pean Communities;

(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 partner-
ship with the authorities of the country concerned,
taking account of its specific needs;

(23) Whereas implementation of

these operations is
likely to help achieve the Community’s objectives;
whereas the Treaty does not provide, for the adop-
tion of this Regulation, powers other than those set
out in Article 235;

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

pean Community shall provide technical and financial
aid for operations aimed at:

1. promoting and defending the human rights and funda-
mental freedoms proclaimed in the Universal Declara-
tion of Human Rights and the other international
instruments concerning the development and consoli-
dation of democracy and the rule of law, in particular:

HAS ADOPTED THIS REGULATION:

CHAPTER 1

Objectives

Article 1

The purpose of this Regulation is to lay down the proced-
ures for the implementation of Community operations,
other than those of development cooperation which,
within the framework of Community cooperation policy
in third countries, contribute to the general objective of
developing and consolidating democracy and the rule of
law and to that of respecting human rights and funda-
mental freedoms.

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

Article 2

The procedures laid down in this Regulation apply to
operations in the fields covered by Articles 3 and 4 imple-
mented within the framework of existing programmes
relating to the cooperation with third countries, including
TACIS (2), PHARE (3), MEDA (4) and the Regulations
relating to Bosnia and Herzegovina (5), as well as to any
future operations of Community cooperation relating to
third countries in these fields, other than those of devel-
opment cooperation, implemented on the basis of Article
235 of the Treaty establishing the European Community.

Article 3

Within the limits of Articles 1 and 2, and consistent with
the European Union’s foreign policy as a whole, the Euro-

(1) OJ C 102, 4.4.1996, p. 4.
(2) Council Regulation (EEC) No 2157/91 (OJ L 201, 24.7.1991,
p. 2). Regulation as last amended by Regulation (EC) No
1279/96 (OJ L 165, 4.7.1996, p. 1).

(3) Council Regulation (EEC) No 3906/89 (OJ L 375, 23.12.1989,
p. 11). Regulation as last amended by Regulation (EC) No
753/96 (OJ L 103, 26.4.1996, p. 5).

(4) Council Regulation (EEC) No 1763/92 (OJ L 181, 1.7.1992,
p. 5). Regulation as last amended by Regulation (EC) No
1488/96 (OJ L 189, 30.7.1996, p. 1).

(5) Council Regulation (EC) No 753/96 (OJ L 103, 26.4.1996,

p. 5).

(a) the promotion and protection of civil and political

rights;

(b) the promotion and protection of economic, social

and cultural rights;

(c) 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;

(d) support

for minorities, ethnic groups and indi-

genous peoples;

(e) supporting local, national, regional or international
institutions,
involved in the
including NGOs,
protection, promotion or defence of human rights;

(f) support

for

for

torture
rehabilitation centres
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 their liberty in order to prevent torture
or ill-treatment;

(g) support for education, training and consciousness-

raising in the area of human rights;

(h) supporting action to monitor human rights,

including the training of observers;

(i) the promotion of equality of opportunity and non-
to

including measures

discriminatory practices,
combat racism and xenophobia;

(j) promoting and protecting the fundamental free-
doms mentioned in the International Covenant on
Civil and Political Rights, in particular the freedom
of opinion, expression and conscience, and the
right to use one’s own language;

2. supporting the processes of democratisation, in par-

ticular:

(a) promoting and strengthening the rule of law, in
particular upholding the independence of the judi-
for a
ciary and strengthening it, and support
humane prison system; support for constitutional
and legislative reform; support
for initiatives to
abolish the death penalty;

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(b) promoting the separation of powers, particularly
the independence of the judiciary and the legisla-
ture from the executive, and support for institu-
tional reforms;

(c) promotion of pluralism both at political level and
at the level of civil society by strengthening the
institutions needed to maintain the pluralist nature
of that society, including non-governmental organ-
isations (NGOs), and by promoting independent
and responsible media and supporting a free press
and respect for the rights of freedom of association
and assembly;

(d) promoting

good

by
governance,
supporting administrative accountability and the
prevention and combating of corruption;

particularly

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

(f) support

for electoral processes,

in particular by
supporting independent electoral commissions,
granting material, technical and legal assistance in
preparing
electoral
censuses, taking measures to promote the participa-
tion of specific groups, particularly women, in the
electoral process and by training observers;

including

elections,

for

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

3. support

for measures

to promote the 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, including the estab-

lishment of local early warning systems;

(b) supporting measures aimed at balancing opportun-
ities and at bridging existing dividing lines among
different identity groups;

(c) supporting measures facilitating the peaceful conci-
liation of group interests,
including support for
confidence-building measures relating to human
rights and democratisation,
in order to prevent
conflict and to restore civil peace;

(d) promoting international humanitarian law and its

observance by all parties to a conflict;

resolving

including

the NGOs,

(e) supporting international, regional or local organ-
involved
in
isations,
dealing with the
preventing,
consequences of conflict,
for
establishing ad hoc international criminal tribunals
and setting up a permanent international criminal
court, and support and assistance for the victims of
human rights violations.

including support

and

Article 4

Community support
financing of:

for these aims may include the

1. campaigns to increase awareness, inform and train the

agencies involved and the general public;

2. the measures needed for the identification and prepa-

ration of projects, namely:

(a) identification and feasibility studies;

(b) the exchange of technical know-how and experi-
ence between European organisations and bodies
in third countries;

(c) the costs arising from tendering procedures,

in
particular the evaluation of tenders and the prepa-
ration of project documents;

(d) the financing of general studies concerning the
Community’s action within the scope of this Regu-
lation;

3. the implementation of projects:

(a) technical assistance and expatriate and local staff to

help implement the projects;

(b) purchasing and/or delivering any product or equip-
ment strictly necessary for the implementation
of operations,
in exceptional circum-
stances, and when duly justified, the purchasing or
leasing of premises;

including,

(c) where appropriate, actions for the purpose of high-
lighting the Community character of the opera-
tions;

4. measures to monitor, audit and evaluate Community

operations.

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

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CHAPTER II

Article 8

Procedures for the implementation of aid

Article 5

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

and official

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

Article 6

To be eligible for Community aid, the partners referred to
in Article 5(1) must have their main headquarters in a
third country eligible for 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 this Regulation.
Exceptionally, the headquarters may be in another third
country.

Article 7

Without prejudice to the institutional and political envir-
onment in which the partners referred to in Article 5(1)
operate, the following factors shall in particular be consid-
ered when determining a body’s suitability for Com-
munity funding:

(a) its

commitment

and
promoting human rights and democratic principles in
a non-discriminatory manner;

defending,

respecting

to

(b) its experience in the field of promoting human rights

and democratic principles;

(c) its administrative and financial management capaci-

ties;

(d) its technical and logistical capacity in relation to the

planned operation;

(e) the results, where relevant, of any previous operations
those financed by the

in particular

carried out,
Community;

1.
Aid shall not be allocated to the partners referred to
in Article 5(1) unless they undertake to comply with the
allocation and implementation conditions laid down by
the Commission, to which they shall be contractually
bound.

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

Community financing under this Regulation shall

3.
take the form of grants.

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

Article 9

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

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

Article 10

1.
In the interests of consistency 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.

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

2.
Commission shall encourage:

(a) the introduction of a system for the exchange and
information on operations
the
financing

systematic analysis of
financed
or
Community and the Member States;

considered

for

by

(b) the coordination of the implementation of operations
on the spot by means of regular meetings for the
exchange of information between the representatives
of the Commission and the Member States in the
recipient country;

(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 organ-
isations accountable to civil society.

(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.

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CHAPTER III

Procedures for the implementation of operations

Article 11

The financial reference amount for the implementation of
this Regulation during the period 1999 to 2004 shall be
EUR 150 million.

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

Article 12

The Commission shall appraise, decide upon and admin-
ister, monitor and evaluate operations under this Regula-
tion in accordance with the budgetary and other proced-
ures in force. It shall lay down the conditions for allo-
this
cating, mobilising and implementing aid under
Regulation.

Article 13

1.
The following shall be adopted by the Commission
according to the procedure laid down in Article 14(2):

(cid:190) decisions on operations for which financing under
this Regulation exceeds EUR 1 million and any modi-
fication to such operations leading to an increase of
more than 20 % in the sum initially agreed,

(cid:190) programmes intended to provide a coherent frame-
work for action in a given country or region or in a
specific field where the scale and complexity of the
needs identified are such that they seem likely to
continue.

The Commission shall notify

2.
committee
referred to in Article 14 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.

the

decisions which the Council is required to adopt on a
proposal from the Commission. The votes of the repre-
sentatives 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
the
committee.

in accordance with the opinion of

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 Commis-
sion.

Article 15

1.
The Commission may finance emergency measures
up to a maximum of EUR 2 million. Emergency meas-
ures 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 affecting all or
part of the population of a country and posing a grave
threat to the fundamental rights and freedoms of the
individual.

these

conditions,

the
fulfil
2. Where operations
Commission shall act after consulting the Member States
by the most efficient means. Five working days shall be
allowed to the Member States in which to put forward any
objections. If there are any objections, the committee,
referred to in Article 14, shall examine the question at its
next meeting.

The Commission shall

committee
3.
referred to in Article 14, at its next meeting, of all emer-
gency measures financed under these provisions.

inform the

Article 14

1.
The Commission shall be assisted by the ‘Human
Rights and Democracy Committee', hereinafter referred
to as ‘the Commitee', set up by Article 13 of the Regula-
tion (EC) No 975/1999.

2. Where reference is made to this Article the repres-
entative 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

Article 16

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

it will examine the planning for

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Article 17

1.
The Commission shall regularly evaluate operations
financed by the Community under this Regulation in
order to establish whether they have achieved their objec-
tives and to produce guidelines for improving the effec-
tiveness 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.

2.
At the request of the Member States, the Commis-
sion may, with them, also evaluate the results of the
Community’s operations and programmes under
this
Regulation.

Article 18

All contracts or financing agreements concluded under
this Regulation shall provide in particular
the
Commission and the Court of Auditors may conduct
checks on the spot and at the headquarters of the partners
referred to in Article 5(1) according to the usual proced-
ures 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.

that

Article 19

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

approved, indicating the sums, the nature of the opera-
tion, the recipient country and the partners involved.

2.
At the close of each financial year, the Commission
shall submit an annual report to the European Parliament
and to the Council with a summary of the operations
financed in the course of that year.

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

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

Article 20

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

Article 21

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

It shall apply until 31 December 2004.

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

Done at Luxembourg, 29 April 1999.

For the Council

The President

W. M(cid:154)LLER