Regulation (EC) No 2130/2001 of the European Parliament and of the Council of 29 October 2001 on operations to aid uprooted people in Asian and Latin American developing countries
Date: 2001-10-29
Institutions: Council of the European Union, European Parliament
Subjects: Asia, EU aid, Latin America, aid to refugees, developing countries, financial aid

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I

(Acts whose publication is obligatory)

REGULATION (EC) No 2130/2001 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on operations to aid uprooted people in Asian and Latin American developing countries

of 29 October 2001

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(6)

Having regard to the Treaty establishing the European
Community, and in particular Article 179(1) thereof,

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

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

Whereas:

(1)

(2)

(3)

(4)

(5)

In the context of refugee policy, the United Nations have
adopted the Convention concluded in Geneva on 28 July
1951 relating to the Status of Refugees, the New York
Protocol of 31 January 1967 and many resolutions in
this field and in the fields of human rights and humani-
tarian law.

The Universal Declaration of Human Rights of 10
December 1948, the International Covenant on Civil
and Political Rights of 16 December 1966, the Inter-
national Covenant on Economic, Social and Cultural
Rights of 16 December 1966, the Convention on the
Elimination of all Forms of Discrimination against
Women of 18 December 1979 and the Convention on
the Rights of the Child of 20 November 1989 also
address the issue of refugees.

The European Parliament has adopted several resolutions
in this area, including the Resolution of 16 December
1983 on assistance to refugees in developing coun-
tries (3).

Both the European Parliament and the Council have
called for greater effort by the Community in this field.

An integrated, consistent and effective strategy must be
devised for Community action in respect of humani-
tarian aid, rehabilitation, aid to uprooted people and
development cooperation, with a view to pursuing a
sustainable European Community development policy.

(7)

(8)

(9)

It is particularly necessary to integrate aid for uprooted
peoples with the development strategy of the countries
and population groups for whom the aid is destined;
Community action should therefore facilitate the move
from the emergency stage to that of development,
encouraging the socio-economic integration or reinte-
gration of the people affected and, given the need to
eliminate the causes of armed conflict, encourage the
establishment or strengthening of democratic structures
the population in the development
and the role of
process.

Support programmes for uprooted people and demobi-
lised former soldiers are an integral part of an overall
rehabilitation strategy for Asian and Latin American
developing countries. For the programmes to be effec-
tive, aid must be coordinated at Community level and
with other donors, non-governmental organisations
(NGOs) and United Nations bodies, particularly the
United Nations High Commissioner
for Refugees
(UNHCR). The Commission should take responsibility
both for monitoring and ensuring the visibility of funds
channelled through NGOs and the United Nations. The
Commission is moreover politically responsible for the
ways in which its funds are spent by NGOs and the
United Nations.

effectiveness

The
and consistency of Community,
national and international prevention and intervention
mechanisms should be ensured, both in order to prevent
conflicts and to encourage all peaceful solutions to polit-
ical conflicts and wars which result
in population
displacement.

The specialised bodies and agencies and NGOs have
acquired considerable experience of helping uprooted
people from implementing operations of this kind in the
past.

(1) OJ C 120 E, 24.4.2001, p. 163.
(2) Opinion of

the European Parliament of 5 July 2001 (not yet
published in the Official Journal), and Decision of the Council of 16
October 2001.

(3) OJ C 10, 16.1.1984, p. 278.

(10)

Ideally, action to help uprooted people should form part
of an approach that aims to move on from so-called
subsistence to a stage in which they become self-suffi-
cient or less dependent.

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(11)

Effective, flexible and expeditious procedures need to be
guaranteed for aid operations
the
Community should also ensure maximum transparency
in the granting of aid, and strict controls on the use of
appropriations.

in this

sphere;

The objectives of the assistance programmes shall include the
establishment of democratic structures and the promotion of
human rights.

(12) Until 31 December 2000, the legal basis for Community
action in this field was Council Regulation (EC) No
443/97 of 3 March 1997 on operations to aid uprooted
people in Asian and Latin American developing coun-
tries (1). The experience acquired during its application
should be reflected in this Regulation.

Article 2

For the purposes of this Regulation:

(a) ‘uprooted people’ means:

(13)

This Regulation lays down, for its entire duration, a
financial
framework constituting the prime reference,
within the meaning of point 33 of the Interinstitutional
Agreement between the European Parliament,
the
Council and the Commission of 6 May 1999 on budg-
the budgetary
etary discipline and improvement of
procedure (2), for the budget authority during the annual
budgetary procedure.

(i) refugees, as defined in the Convention on the Status of
Refugees concluded in Geneva on 28 July 1951 and
the New York Protocol of 31 January 1967, or

(ii) displaced persons, who have been forced to seek refuge
outside their region of origin owing to conflict situa-
tions but who do not enjoy refugee status, or

(iii) former

refugees or displaced persons who have

returned to their country or region of origin;

(14)

The measures necessary for the implementation of this
Regulation should be adopted in accordance with
Council Decision 1999/468/EC of 28 June 1999 laying
down the procedures for the exercise of implementing
powers conferred on the Commission (3).

(b) ‘demobilised former soldiers’ means former members of
armed forces, be they regular or opposition forces, who
have agreed to lay down their arms and reintegrate into
civilian life.

(15)

The protection of the Community's financial
interests
and the fight against fraud and irregularities form an
integral part of this Regulation,

Article 3

The Community shall give financial support to operations

1.
aimed in particular at:

HAVE ADOPTED THIS REGULATION:

CHAPTER I

Purpose, scope and definitions

Article 1

The Community shall implement a programme of support and
assistance to uprooted people in Asian and Latin American
developing countries. The programme shall apply to the
uprooted people and other persons referred to in Article 4 and
contribute to their requirements not covered by humanitarian
aid and carry out long-term activities aimed at the self-suffi-
ciency and integration or reintegration of such persons.
In
particular, this programme must provide for the basic needs of
those persons
from the time a humanitarian emergency
subsides to the adoption of a long-term solution to resolve
their status.

(1) OJ L 68, 8.3.1997, p. 1. Regulation as amended by Regulation (EC)
No 1880/2000 of the European Parliament and of the Council (OJ
L 227, 7.9.2000, p. 1).
(2) OJ C 172, 18.6.1999, p. 1.
(3) OJ L 184, 17.7.1999, p. 23.

(a) the

self-sufficiency and reintegration into the

socio-
economic fabric of uprooted people and demobilised
former soldiers; aid to secure their integration or reintegra-
tion must have as its objective the promotion of sustainable
production processes, and could include actions such as
providing food aid, developing self-sufficiency by means of
agricultural production, cattle farming and fish farming,
developing infrastructure, setting up credit systems, basic
education and vocational training and ensuring satisfactory
health and hygiene standards;

(b) aid to local host communities and resettlement areas to
foster acceptance and integration of uprooted people and
demobilised former soldiers;

(c) helping those people voluntarily return to and settle in
their countries of origin or other countries of their choice,
if conditions permit;

(d) supporting, where applicable, any measures to prevent

conflict and/or reconcile parties to a conflict;

(e) helping persons to recover their belongings or property
rights and aid for the settlement of human rights violations
against the people in question.

Particular attention should be paid to especially vulner-

2.
able groups such as women and children.

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All groups concerned, including local host communities,
3.
shall be involved in evaluating needs and implementing the
assistance programmes.

Article 4

The ultimate beneficiaries of
Article 3(1) shall be:

the operations referred to in

(a) uprooted people in Asian and Latin American developing
countries and persons from one of these countries provi-
sionally settled in another developing country and, in duly
substantiated exceptional cases,

in another country;

(b) demobilised former soldiers, in Asian and Latin American
developing countries, plus their families and, where appro-
priate, their local communities;

the host
economic

(c) the local population of
social,

territories particularly
and administrative
affected whose
resources contribute to receiving and assisting uprooted
people and demobilised former soldiers, for the purposes of
longer-term projects designed to bring about the self-suffi-
ciency,

integration or reintegration of such persons.

Article 5

Operations carried out under this Regulation shall complement
those provided for by other Community instruments governing
short-term humanitarian aid and long-term development
cooperation.

Article 6

1.
In the context of the operations referred to in Article 3,
Community support may include the financing of action to
services,
provide technical assistance,
supplies, works, studies (which should, as far as possible, be
entrusted to or involve collaboration with consultants either of
the host country or stationed there, and involve universities
and research institutes), audits and evaluation and monitoring
missions.

training and other

the direct

2.
Community financing may cover investment expenditure,
including the purchase of real estate, when the latter is neces-
sary for
the operation and
implementation of
provided that ownership is transferred to the beneficiary's local
partners or the final beneficiaries of the operation once the
latter has come to an end. It may also cover, in duly substan-
tiated cases and taking into account the fact that the project
must, as far as possible, aim at medium-term viability, recur-
ring expenditure (including administrative expenditure, mainte-
nance and running costs), so that maximum use is made of the
investments referred to in paragraph 1, the operation of which
temporarily represents a burden for the partner.

CHAPTER II

Procedures for the implementation of the aid

Article 7

A financial contribution from the partners referred to in
2.
Article 10 shall be sought for each cooperation operation. This
contribution will be requested having regard to the capacity of
the partners concerned and the nature of each operation. In
specific cases and when the partner is either a non-govern-
mental organisation (NGO) or a community-based organ-
isation, the contribution may be made in kind.

Opportunities may be sought for cofinancing with other

3.
donors, and especially with the Member States.

Article 8

The Commission shall be responsible for appraising,
1.
deciding or administering the operations covered by this Regu-
lation in accordance with the budgetary and other procedures
in force, in particular those laid down in Articles 2, 116 and
the Financial Regulation applicable to the general
118 of
budget of the European Communities (1).

All operations backed by Community aid shall be imple-
in the

2.
mented in accordance with the objectives set out
Commission's financing decision.

Article 9

Operations financed by the Community under this Regulation
shall be implemented by the Commission, either at the request
of the partners or on its own initiative.

Article 10

1.
Partners eligible for financial support under this Regula-
tion shall be regional and international organisations, including
United Nations agencies, NGOs, national, provincial and local
administrations and agencies, community-based organisations,
and public or private institutes and operators.

Community assistance is available to partners who have
2.
their main office in a Member State or a third country that is a
recipient of Community assistance under
this Regulation,
provided that this office is the actual centre directing opera-
tions relating to their business activities. In exceptional cases,
this office may be located in another third country.

Article 11

Without prejudice to the institutional and political context in
which the partners conduct
the following
elements shall be taken into consideration for determining
whether a partner may have access to Community financing:

their activities,

(a) its experience in the field of assistance to uprooted people;

(b) its administrative and financial management capacity;

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

planned operation;

Community financing under this Regulation shall take the

1.
form of grants.

(1) OJ L 356, 31.12.1977, p. 1. Regulation as last amended by Council
L 111,

Regulation (EC, ECSC, Euratom) No 762/2001 (OJ
20.4.2001, p. 1)

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(d) where applicable,

the results of operations previously
carried out, particularly those that received Community
financing;

(e) its capacity to develop cooperation with other actors from

civil society in the third countries concerned;

(f) its commitment to defending, respecting and promoting
human rights, democratic principles and humanitarian law.

coordination and shall form an integral part of the country
strategy process.

2.
The Commission, in liaison with the Member States, may
take any initiative necessary for ensuring proper coordination
with the other donors concerned, in particular those forming
part of the United Nations system, including the Office of the
High Commissioner for Refugees.

Article 12

1.
Assistance shall be granted to partners only if they under-
take in writing to comply with the allocation and implementa-
tion conditions laid down by the Commission.

2. Where operations are the subject of financing agreements
between the Community and countries which benefit from
operations financed under this Regulation, the agreements shall
stipulate that the payment of taxes, duties and charges shall not
be financed by the Community.

Any financing agreement or contract concluded under
3.
this Regulation shall stipulate that the Commission, the Court
of Auditors and the European Anti-Fraud Office (OLAF) may
carry out,
if necessary, on-the-spot checks according to the
usual arrangements laid down by the Commission under the
provisions in force, particularly those in the Financial Regula-
tion applicable to the general budget of
the European
Communities.

The necessary measures shall be taken to emphasise the
4.
Community character of aid provided under this Regulation.

Article 13

Participation in invitations to tender and the award of
1.
contracts shall be open on equal terms to all natural and legal
persons of the Member States and of the host country. It may
be extended to operators in other developing countries and, in
exceptional cases, to other third countries.

CHAPTER III

Implementation of operations

Article 15

1.
The financial framework for the implementation of this
Regulation for the period from 2001 to 2004 is hereby set at
EUR 200 million.

2.
The annual appropriations shall be authorised by the
budgetary authority within the limits of the financial perspec-
tive.

Article 16

Decisions concerning operations for which financing under this
Regulation exceeds EUR 4 million and any changes to these
operations that entail a cost overrun of more than 20 % of the
amount initially fixed for the operation concerned shall be
adopted in accordance with the procedure referred to in Article
18(2).

Article 17

The Commission shall be authorised to approve, without
1.
recourse to the procedure referred to in Article 18(2), any
supplementary commitments needed for covering expected or
real cost overruns in connection with the operations, where the
overrun or additional requirement is 20 % or less of the initial
commitment laid down by the financing decision.

2.
The Commission shall inform the committee referred to
in Article 18(1) succinctly of the financing decisions which it
intends to take with regard to operations of less than EUR 4
million in value. This information shall be made available not
later than one week before the decision is taken.

Article 18

2.
Supplies shall originate in the host country, other devel-
oping countries or the Member States. In exceptional cases
supplies may originate elsewhere.

1.
The Commission shall be assisted by the committee insti-
tuted under Article 15 of Council Regulation (EEC) No 443/
92 (1).

Article 14

1.
In order to secure the objectives of consistency and
complementarity referred to in the Treaty and to ensure
maximum effectiveness of the operations provided for in this
Regulation, these shall be subject to on-the-spot operational

2. Where reference is made to this paragraph, Articles 4 and
7 of Decision 1999/468/EC shall apply having regard to the
provisions of Article 8 thereof.

The period laid down in Article 4(3) of Decision 1999/468/EC
shall be set at one month.

3.

The Committee shall adopt its rules of procedure.

(1) OJ L 52, 27.2.1992, p. 1.

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CHAPTER IV

Reporting and final provisions

Article 19

1.
An exchange of views shall take place once a year on the
basis of a presentation by the representative of the Commission
of the strategic guidelines for the operations to be carried out
in the years ahead, within the Committee referred to in Article
18(1). The guidelines shall include, as far as possible, measur-
able objectives and deadlines for specific actions. These guide-
lines shall be drawn up following consultation with depart-
ments responsible, in the field or at headquarters, for program-
ming,

implementation and evaluation.

2.
After each budget year, the Commission shall submit, in
its annual report on Community development policy to the
European Parliament and to the Council, information on the
operations financed in the course of that year and the Commis-
sion's conclusions on the implementation of this Regulation
over the previous budget year. The summary shall in particular
provide information about the strengths and weaknesses of
operations, those with whom contracts have been concluded as

well as the results of any independent evaluations of specific
operations.

3.
At the latest one year before the expiry of this Regulation,
the Commission shall submit an independent overall assess-
ment report on the implementation of this Regulation to the
European Parliament and the Council with a view to estab-
lishing whether its objectives have been achieved and providing
guidelines for improving the effectiveness of future operations.
The report
the effectiveness of action taken
following performance audits and independent evaluations.

shall assess

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 until 31 December 2004.

The renewal of this Regulation will be dependent on the results
of the independent overall assessment report referred to in
Article 19(3) and the possibilities for integrating this Regula-
tion into a single framework Regulation for Asia and Latin
America.

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

Done at Luxembourg, 29 October 2001.

For the European Parliament

The President

N. FONTAINE

For the Council

The President

L. MICHEL