Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EC) No 975/1999 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 and Regulation (EC) No 976/1999 laying down the requirements for the implementation of Community operations, 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 {SEC(2003)1170}
Date: 2003-10-28
Institutions: European Commission
Subjects: cooperation policy, democracy, development aid, fundamental rights, human rights, rule of law

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 28.10.2003
COM(2003)639 final

2003/0250 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

amending Regulation (EC) No 975/1999
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 and Regulation (EC) No 976/1999
laying down the requirements for the implementation of Community operations, 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

{SEC(2003)1170}

(presented by the Commission)

1.

2.

3.

1

2

3

EXPLANATORY MEMORANDUM

In  order  to  create  the  necessary  legal  basis  for  external  action  promoting  human
rights  and democratic principles, and the  use  of  funds  under  Budget  Chapter  B7-7,
the  Council  on  29  April  1999  adopted  on  the  basis  of  Articles  130w  (now  Article
179) and 235 (now Article 308) TEC two Regulations1 determining the requirements
and conditions for  implementation of Community  funded operations  supporting the
development  and  consolidation  of  democracy  and  the  rule  of  law,  and  respect  for
human  rights  and  fundamental  freedoms  in  developing  and  other  third  countries.
Budget  line  B7-7,  entitled  European  Initiative  for  Democracy  and  Human  Rights
(EIDHR),  was  created  in  1994  by  an  initiative  of  the  European  Parliament,
amalgamating  all  budget  lines,  which  specifically  dealt  with  human  rights.  Both
Regulations have a period of validity until 31 December 2004.

Based on Article 179 (1) TEC2, which covers measures in the field of development
cooperation with developing countries, and on Article 181a (2) TEC3, which covers
measures  in  the  field  of  economic,  financial  and  technical  cooperation  with  third
countries other than developing countries, the proposed amending Regulation aims at
providing  a  continuing legal  basis  and a  financial framework  until  the  end  of  2006
for operations to defend and promote human rights and democratic principles under
budget  line  B7-7  (new  19.04  “Human  Rights  and  Democratisation”)  in  developing
countries  and  third  countries  other  than  developing  countries.  The  proposed
Regulation  amends  Council  Regulations  (EC)  No  975/1999  and  976/1999.  For
reasons of establishing the necessary coherence the two Regulations are amended by
one  Regulation,  which  is  subject  to  the  co-decision  procedure  under  Article  251
TEC.

The  Commission,  supported  by  the  Human  Rights  and  Democracy  Committee
established  under  Council  Regulations  (EC)  No  975/1999  and  976/1999,  considers
the  Regulations  to  have  proven  to  be  adequate  legal  instruments  to  implement  the
Community’s  technical  and  financial support  for  human  rights  and  democratisation
activities in developing and other third countries in pursuit of the overall objectives
in this field. Moreover, the Regulations have facilitated the development of focused
programming  and  refined  implementing  procedures.  The  Commission  and  the
Human Rights and Democracy Committee therefore are of the opinion that presently
no  major  overhaul  of  Council  Regulations  (EC)  No  975/1999  and  976/1999  are
necessary.  However,  the  role  of  the  Human  Rights  and  Democracy  Committee  in
programming  issues  will  be  enhanced  and  the  working  of  the  Committee  be
improved.

Council Regulation (EC) No 975/1999 of 29 April 1999, laying down the requirements for the implementation of
development  co-operation  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,  OJ  L  120  of
8.5.1999,  p.1;  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  co-operation,  which,  within  the
framework of Community co-operation 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,
OJ L 120 of 8.5.1999, p. 8
Previously Article 130w TEC on which Council Regulation (EC) No 975/1999 was based
Council Regulation (EC) No 976/1999 was originally based on Article 235 TEC

2

                                                
4.

The  proposal  to  extend  the  period  of  validity  of  Council  Regulations  (EC)  No
975/1999 and 976/1999 has been subject to an Extended Impact Assessment (EIA)4,
(SEC(2003)1170). The EIA confirms the adequacy of Council Regulations (EC) No
975/1999 and 976/1999 and the appropriateness of the underlying policy choice.

Past  evaluations  of  EIDHR  programme  elements  have  generally  acknowledged  the
positive contribution made by the Community towards the protection of human rights
and the development of democratic processes in third countries. These findings take
into  account  that  there  is  not  only  an  inherent  difficulty  in  assessing  the  impact  of
activities, which promote human rights and democracy, but also that EIDHR support
can be  considered only a small factor in  affecting  the human rights and  democracy
climate in targeted countries, taking into account the modest size of available grants
compared  to  the  scale  of  problems  in  the  countries  concerned,  and  the  scope  of
involvement of other donors. Moreover, effects of human rights and democratisation
projects can often only be observed in the medium and long term.

The  EIA  particularly  points  out  significant  positive  impacts  of  EIDHR  support  on
developing the capacity of human rights NGOs and civil society organisations. The
impact of micro-projects is seen by far more important than the financial magnitude
of  this  facility  would  suggest.  Successful  election  observation  and  assistance
operations  enhance  confidence  in  and  transparency  of  the  democratic  electoral
process in  the  targeted  countries.  The  EIA  concludes  that  the  overall  impact  of  the
policy  in  the  past  has  been  significantly  positive.  Improving  programming  and
implementation procedures can increase the positive impact in the future.

In June 2003, a survey was conducted among EIDHR beneficiaries and stakeholders
in third countries on their views on the relevance, the effectiveness and the impact of
the  EIDHR.  It  resulted  in  45%  of  the  responding  organisations  pleading  for  a
continuation  of  the  EIDHR  without  changes,  while  55%  advocated  a  continuation
with improvements in programming and implementation procedures.

The EIA expounds possible policy alternatives to the EIDHR, but discards them on
grounds of impracticability. The particular “added value” of the chosen policy option
compared to other Community instruments and donor support is decisive.

The  amendment  extends  the  period  of  validity  of  Council  Regulations  (EC)  No
975/1999  and  976/1999  for  two  years  from  1  January  2005  to  31  December  2006.
According to point 33 of the Interinstitutional Agreement of 6 May 1999 between the
European Parliament, the Council and the Commission on budgetary discipline and
improvement of the budgetary procedure5, a legislative act concerning a multiannual
programme  adopted  under  the  co-decision  procedure  has  to  contain  a  provision
laying down the financial framework for the programme for its entire duration. For
reasons  of  coherence  a  financial  reference  in  the  sense  of  point  34  of  the
Interinstitutional Agreement is also proposed for Council Regulation (EC) 976/1999
which is not subject to the co-decision procedure under Article 251 TEC.

The  proposed  amendments  include  adaptations  of  the  measures  necessary  for  the
implementation  of  Council  Regulations  (EC)  No  975/1999  and  976/1999  in
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the

Cf. Communication from the Commission on Impact Assessment, COM(2002)276 final
OJ C 172, 18.6.1999, p. 1

3

5.

6.

7.

4

5

                                                
procedures for the exercise of implementing powers conferred on the Commission6,
the Commission Guidelines on the Reform of External Aid, and Council Regulation
(EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable
to the general budget of the European Communities7. Particular amendments of the
Regulations’  provisions  on  the  procedures  for  the  implementation  of  aid  were
necessary in order to bring the arrangements for the recruitment of election observers
and core team members in EU Election Observation operations into line with the new
Financial Regulation.

In accordance with the criteria established in the aforementioned Council Decision,
the Human Rights  and  Democracy  Committee provided  for  in  Council  Regulations
(EC) No 975/1999 and 976/1999 will act according to the management procedure as
set out in Article 4 of the Council Decision.

On the basis of Article 7 of Council Decision 1999/468/EC, the Commission informs
the  European  Parliament  of  the  proceedings  of  the  Human  Rights  and  Democracy
Committee concerning implementation of Council Regulation (EC) No 975/1999 on
a  regular  basis.  According  to  Article  8  of  Council  Decision  1999/468/EC  the
European Parliament has the right to address the Commission by way of a resolution
if it deems a proposed measure to exceed the implementing powers provided for in
Council Regulation (EC) No 975/1999. For reasons of coherence these provisions are
equally  applied  in  the  case  of  implementation  of  Council  Regulation  (EC)  No
976/1999.

The  Commission  Guidelines  on  the  Reform  of  External  Aid  recommend  that  the
contribution of the committees should concentrate on the programming phase, rather
than on specific projects. Indeed, it is during the programming phase that the crucial
questions of policy and strategy have to be addressed. Thus, the Human Rights and
Democracy  Committee  will  be  consulted  on  multiannual  programmes  and  annual
programming  updates  and  on  the  the  annual  work  programme  established  in
accordance with Article 110 (1) of Council Regulation (EC, Euratom) No 1605/2002
of 25 June 2002 on the Financial Regulation applicable to the general budget of the
European  Communities.  The  Committee’s  opinion  on  the  annual  work  programme
covers all projects and programmes specified in the annual work programme.

The  simplified  framework  for  the  consultation  on  multiannual  programmes,  and
annual  programming  updates,  and  the  approval  of  annual  work  programmes  is
expected  to  result  in  a  significant  reduction  in  the  overall  number  of  financing
decisions  approved  by  the  Committee  and  adopted  by  the  Commission,  thereby
releasing  resources  for  redeployment  on  priority  tasks,  including  ensuring  effective
and timely delivery of external assistance.

8.

9.

10.

11.

It  is  therefore  proposed  that  the  European  Parliament  and  the  Council  adopt  the
attached proposal for the amending regulation.

6

7

OJ L 184, 17.7.1999, p. 23
OJ L 248, 16.9.2002, p. 1

4

                                                
2003/0250 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

amending Regulation (EC) No 975/1999
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 and Regulation (EC) No 976/1999
laying down the requirements for the implementation of Community operations, 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 EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Articles
179 (1) and 181a (2) thereof,

Having regard to the proposal from the Commission8,

Acting in accordance with the procedure laid down in Article 251 of the Treaty9,

Whereas:

(1)

Community action to promote human rights and democratic principles as set out in the
Communication of 8 May 2001 from the Commission to the Council and the European
Parliament  on  ‘The  European  Unions  Role  in  Promoting  Human  Rights  and
Democratisation in Third Countries’10 shall continue beyond 2004. Council Regulation
(EC)  No  975/1999  of  29  April  1999  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 freedoms11 and Council Regulation
(EC)  No  976/1999  of  29  April  1999  laying  down  the  requirements  for  the
implementation  of  Community  operations,  other 
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 fundamental
freedoms  in  third  countries12  proved  to  be  adequate  legal  instruments  for  the
implementation of the Community’s technical and financial support for human rights
and democratisation activities in developing and other third countries in pursuit of the

than 

8

9

10

11

12

OJ C […], […], p. […].
OJ C …
COM(2001)252 final
OJ L 120, 8.5.1999, p. 1
OJ L 120, 8.5.1999, p. 8

5

                                                
(2)

(3)

(4)

(5)

overall objectives in this field. The period of validity of those Regulations, however,
expires on 31 December 2004. It is, therefore, necessary to extend that period.

On  the  basis  of  the  ratio  of  the  financial  reference  amounts  included  in  Regulation
(EC) No 975/1999 and Regulation (EC) 976/1999, and the indicative human rights and
democratisation appropriations until 2006, an extended financial framework within the
meaning  of  points  33  and  34  of  the  Interinstitutional  Agreement  of  6  May  1999
between  the  European  Parliament,  the  Council  and  the  Commission  on  budgetary
discipline  and  improvement  of  the  budgetary  procedure13  should  be  included  in  the
Regulations for the extended duration of the programme.

The provisions of Regulation (EC) 975/1999 and Regulation 976/1999 on procedures
for the implementation of aid should be aligned with the legal requirements of Council
Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation
applicable to the general budget of the European Communities14 in the implementation
of EU Election Observation Missions.

The protection of the Community’s financial interests and the fight against fraud and
irregularities  form  an  integral  part  of  Regulation  (EC)  No  975/1999  and  Regulation
(EC)  976/1999.  In  particular,  agreements  and  contracts  concluded  pursuant  to  the
Regulations should authorise the Commission to carry out the measures provided for
in Council Regulation (EC, Euratom) No 2185/96 of 11  November  1996  concerning
on-the-spot checks and inspections carried out by the Commission in order to protect
the European Communities’ financial interests against fraud and irregularities15.

The measures necessary for the implementation of Regulation (EC) No 975/1999 and
Regulation (EC) No 976/1999 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 Commission16; Regulation (EC) No 975/1999
and Regulation (EC) No 976/1999 should, therefore, be amended accordingly,

HAVE ADOPTED THIS REGULATION:

Article 1

Council Regulation (EC) No 975/1999 is amended as follows:

1)

The following sentence is added at the end of the first paragraph of Article 4:

“In  duly  justified  cases  natural  persons  are  eligible  for  financing  under  this
Regulation.”

2)

The first sentence of Article 5 is replaced by the following:

“To  be  eligible  for  Community  aid,  the  partners  referred  to  in  Article  4  (1)  first
sentence  must  have  their  main  headquarters  in  a  third  country  eligible  for
Community aid under this Regulation or in a Member State of the Community.”

13

14

15

16

OJ C 172, 18.6.1999, p. 1
OJ L 248, 16.9.2002, p. 1
OJ L 292, 15.11.1996, p. 2
OJ L 184, 17.7.1999, p. 23

6

                                                
3)

The third paragraph of Article 7 is replaced by the following:

“3. Community  financing  under  this  Regulation  shall  take  the  form  of  grants  or
contracts.  Within  the  framework  of  operations  under  Article  2  members  of  EU
Election  Observation  Missions  paid  from  the  human  rights  and  democratisation
appropriations shall be recruited in accordance with the procedures laid down by the
Commission.”

4)

The first subparagraph of Article 10 is replaced by the following:

“The financial reference amount for the implementation of this Regulation during the
period 2005 to 2006 shall be EUR 134 million.”

5)

Articles 11 and 12 are replaced by the following:

"Article 11

The  Commission  shall  adopt  the  framework  for  the  programming  and

1.
identification of Community activities.

The framework shall consist, in particular, of

(a) multiannual indicative programmes and annual updates of these programmes,

(b)

annual work programmes.

In particular situations, specific measures not covered by an annual work programme
may be approved.

The  Commission  shall 

2.
this
Regulation  in  accordance  with  the  budgetary  and  other  procedures  in  force,  in
particular those laid down in Regulation (EC, Euratom) No 1605/2002.”

implement  Community  operations  under 

"Article 12

The  instruments  referred  to  in  Article  11  (1)  shall  be  adopted  in  accordance

1.
with the procedure referred to in Article 13 (2).

In cases where amendments to annual work programmes referred to in Article 11 (1)
(b) do not exceed 20% of the global amount allocated to them or do not substantially
change  the  nature  of  the  projects  or  programmes  contained  therein,  those
amendments  shall  be  adopted  by  the  Commission.  It  shall  inform  the  committee
referred to in Article 13 (1).

2. Without  prejudice  to  Article  14,  financing  decisions  on  projects  and
programmes not covered by annual work programmes and exceeding EUR 1 million
shall be adopted in accordance with the procedure referred to in Article 13 (2).”

6)

Article 13, paragraph 2 is replaced by the following:

7

"2. Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Council
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  30
days.”

7)

Article 17 is replaced by the following:

"Article 17

Any  agreement  or  contract  concluded  pursuant  to  this  Regulation  shall  expressly
provide  for  the  Commission  and  the  Court  of  Auditors  to  exercise  their  powers  of
control,  on  documents and  on the premises, over  all  contractors  and  subcontractors
who  have  received  Community  funds.  Council  Regulation  (Euratom,  EC)  No
2185/9617 shall apply.”

In the second subparagraph of Article 20, the date “31 December 2004” is replaced
by the date “31 December 2006”.

The second sentence of Article 15 is deleted.

Article 2

8)

9)

Council Regulation (EC) No 976/1999 is amended as follows:

1)

The following sentence is added at the end of the first paragraph of Article 5:

“In  duly  justified  cases  natural  persons  are  eligible  for  financing  under  this
Regulation.”

2)

The first sentence of Article 6 is replaced by the following:

“To  be  eligible  for  Community  aid,  the  partners  referred  to  in  Article  5  (1)  first
sentence  must  have  their  main  headquarters  in  a  third  country  eligible  for
Community aid under this Regulation or in a Member State of the Community.”

3)

The third paragraph of Article 8 is replaced by the following:

“3. Community  financing  under  this  Regulation  shall  take  the  form  of  grants  or
contracts.  Within  the  framework  of  operations  under  Article  2  members  of  EU
Election  Observation  Missions  paid  from  the  human  rights  and  democratisation
appropriations shall be recruited in accordance with the procedures laid down by the
Commission.”

4)

The first subparagraph of Article 11 is replaced by the following:

“The financial reference amount for the implementation of this Regulation during the
period 2005 to 2006 shall be EUR 78 million.”

17

OJ L 292 , 15.11.1996, p. 2

8

                                                
5)

Articles 12 and 13 are replaced by the following:

"Article 12

The  Commission  shall  adopt  the  framework  for  the  programming  and
1.
identification of Community activities. The framework shall consist, in particular, of

(a) multiannual indicative programmes and annual updates of these programmes,

(b)

annual work programmes.

In particular situations, specific measures not covered by an annual work programme
may be approved.

The  Commission  shall 

2.
this
Regulation  in  accordance  with  the  budgetary  and  other  procedures  in  force,  in
particular those laid down in Council Regulation (EC, Euratom) No 1605/2002.”

implement  Community  operations  under 

"Article 13

The  instruments  referred  to  in  Article  12  (1)  shall  be  adopted  in  accordance

1.
with the procedure referred to in Article 14 (2).

In cases where the amendments to the annual work programmes referred to in Article
12  (1)  (b)  do  not  exceed  20%  of  the  global  amount  allocated  to  them  or  do  not
substantially  change  the  nature  of  the  projects  or  programmes  contained  therein  ,
those  amendments  shall  be  adopted  by  the  Commission.  It  shall  inform  the
committee referred to in Article 14 (1).

2. Without  prejudice  to  Article  15,  financing  decisions  on  projects  and
programmes not covered by annual work programmes and exceeding EUR 1 million
shall be adopted in accordance with the procedure referred to in Article 14 (2).”

6)

Article 14 paragraph 2 is replaced by the following:

"2. Where reference is made to this paragraph, Articles 4 and 7 (1), (2), and (4), of
Council  Decision  1999/468/EC18  shall  apply,  having  regard  to  the  provisions  of
Article 8 thereof.

The period laid down in Article 4 (3) of the Decision 1999/468/EC shall be set at 30
days.”

7)

Article 18 is replaced by the following:

"Article 18

Any  agreement  or  contract  concluded  pursuant  to  this  Regulation  shall  expressly
provide  for  the  Commission  and  the  Court  of  Auditors  to  exercise  their  powers  of

18

OJ L 184, 17.7.1999, p. 23

9

                                                
control,  on  documents and  on  the  premises, over  all  contractors  and  subcontractors
who  have  received  Community  funds.  Council  Regulation  (Euratom,  EC)  No
2185/9619 shall apply.”

In the second  paragraph of  Article 21 the  date “31 December 2004” is  replaced by
the date “31 December 2006”.

The second sentence of Article 16 is deleted.

8)

9)

This Regulation shall enter into force on the 1 January 2005.

Article 3

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

Done at Brussels,

For the European Parliament
The President

For the Council
The President

19

OJ L 292 , 15.11.1996, p. 2

10

                                                
FINANCIAL STATEMENT

1.

TITLE OF OPERATION

The implementation of development co-operation 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

2.

– 

– 

– 

BUDGET HEADING(S) INVOLVED

19.04.03 (ex B7-7010) “Development and consolidation of Democracy and the  rule
of law – Respect for human rights and fundamental freedoms”

19.04.04  (ex  B7-702)  “Support  for  the  activities  of  international  criminal  tribunals
and the International Criminal Court”

19.01.04.11 (ex B7-7010A) “Development and consolidation of Democracy and the
rule of law – respect for human rights and fundamental  freedoms – Expenditure on
administrative management”

3.

LEGAL BASIS

Article  179  (1)  TEC  for  amending  Council  Regulation  (EC)  No  975/1999.  The  proposal  is
subject  to  the  co-decision  procedure  under  Article  251  TEC.  Article  181a  (2)  TEC  for
amending Council Regulation (EC) No 976/1999. The proposal is subject to the consultation
procedure.

4.

4.1

DESCRIPTION OF OPERATION

General objective

To contribute to the implementation of operations to develop and consolidate democracy and
the  rule  of  law,  including  good  governance,  and  respect  for  human  rights  and  fundamental
freedoms in third countries. According to the Commission Communication of 8 May 2001 on
The  European  Union’s  role  in  promoting  human  rights  and  democratisation  in  third
countries,  operations  within  the  framework  of  the  European  Initiative  for  Democracy  and
Human  Rights  (EIDHR)  focus  on  four  thematic  priorities,  namely  (I)  support  to  strengthen
democratisation, good governance and the rule of law, (ii) activities in support of the abolition
of  the  death  penalty,  (iii)  support  for  the  fight  against  torture  and  impunity  and  for
international  tribunals  and  the  International  Criminal  Court,  and  (iv)  combating  racism  and
xenophobia,  and  discrimination  against  minorities  and  indigenous  peoples.  The  EIDHR
support  concentrates  on  a  limited  number  of  identified  “focus  countries”,  while  also
supporting  global  and  regional  projects,  and  election  observation  and  assistance  in  selected
third countries.

4.2

Period covered and arrangements for renewal

The amendments cover the period from 1 January 2005 to 31 December 2006. New proposals
will be presented for continuing human rights and democratisation operations beyond 2006.

11

5.

5.1

CLASSIFICATION OF EXPENDITURE OR REVENUE

Compulsory/Non-compulsory expenditure

Non compulsory expenditure

5.2

Differentiated/Non-differentiated appropriations

Non-differentiated appropriations

Type of revenue involved

5.3

No

6.

TYPE OF EXPENDITURE OR REVENUE

7.

7.1

– 

– 

100% subsidy : yes

Subsidy  for  joint  financing  with  other  sources  in  the  public  and/or  private
sector

– 

Interest subsidy : no

FINANCIAL IMPACT

Method  of  calculating  total  cost  of  operation  (relation  between  individual  and
total costs)

The total cost of the operation for the period of extension of Council Regulation (EC)
No  975/1999  and  Council  Regulation  (EC)  No  976/1999  is  the  sum  of  the  budget
headings involved (cf. point 2 above) for 2005 and 2006. On the basis of the amounts
available  each  year,  the  relevant  Commission  services  carry  out  the  annual
commitments  for  operations  in  developing  and  other  third  countries  taking  into
account the multiannual programming of interventions and the annual programming
updates.

7.2

Itemised breakdown of cost

Breakdown

2005

2006

Total

Commitment appropriations EUR million (at current prices)

 19.04.03

 19.04.04

Total

 93

6

 99

93

6

99

186

12

198

12

7.3

Operational  expenditure  for  studies,  experts  etc.  included  in  Part  B  of  the
budget

Commitment appropriations EUR million (at current prices)

19.01.04.11

2005

 7

2006

7

Total

14

7.4

Schedule of commitment and payment appropriations

Not applicable

8.

FRAUD PREVENTION MEASURES

The  protection  of  the  Community’s  financial  interests  and  the  fight  against  fraud  and
irregularities form an integral part of Council Regulations (EC) No 975/1999 and 976/1999.

Each of the EIDHR operations will be supervised at all stages in the project cycle by either
the Delegations in beneficiary countries in the case of deconcentrated EIDHR operations, and
by  the  EuropeAid  Co-operation  Office  in  all  other  EIDHR  operations.  The  supervision  will
take account of contractual obligations as well as of the principles of cost/benefit analysis and
sound financial management.

Moreover,  the  revised  Article  17  of  Council  Regulation  (EC)  975/1999,  and  Article  18  of
Council Regulation (EC) No 976/1999, determine that any  agreement or  contract concluded
pursuant  to  the  Regulation  shall  expressly  provide  for  monitoring  of  spending  authorised
under the agreement or contract, the proper implementation of activities, and financial control
by the Commission, including the European Anti-Fraud Office (OLAF), as well as audits by
the  Court  of  Auditors,  if  necessary,  on  the  spot.  The  agreement  or  contract  concluded
pursuant to the Regulations shall authorise the Commission (OLAF) to carry out on-the-spot
checks and inspections in accordance with Council Regulation (EC, Euratom) No 2185/96 of
11 November 199620.

Particular  attention  will  be  paid  to  the  nature  of  expenditure  (eligibility  of  expenditure),  to
compliance with agreed budgets (actual expenditure), and to verifying supporting information
and relevant documentation (evidence of expenditure).

9.

9.1

ELEMENTS OF COST-EFFECTIVENESS ANALYSIS

Specific and quantified objectives; target population

The  specific  objectives  are  described  in  Council  Regulations  (EC)  No  975/1999  and
976/1999:

– 

20

promoting and defending the human rights and fundamental freedoms proclaimed in
the  Universal  Declaration  of  Human  Rights  and  other  international  instruments

OJ L 292 , 15.11.1996, p. 2

13

                                                
(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

(j)

– 

(a)

(b)

(c)

concerning the development and consolidation of democracy and the rule of law, in
particular:

the promotion and protection of civil and political rights;

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

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 for minorities, ethnic groups and indigenous peoples;

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

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

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

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

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

promoting  and  protecting  the  fundamental  freedoms  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;

supporting the processes of democratisation, in particular:

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;  support  for  constitutional  and  legislative  reform;  support  for  initiatives  to
abolish the death penalty;

promoting  the  separation  of  powers,  particularly  the  independence  of  the  judiciary
and the legislature from the executive, and support for institutional reforms;

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

14

(e)

(f)

(g)

– 

(a)

(b)

(c)

(d)

(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;

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

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

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:

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

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

supporting measures facilitating the peaceful conciliation of group interests,including
support 
rights  and
democratisation, in order to prevent conflict and to restore civil peace;

for  confidence-building  measures 

to  human 

relating 

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

supporting  international,  regional  or  local  organisations,  including  the  NGOs,
involved  in  preventing,  resolving  and  dealing  with  the  consequences  of  conflict,
including support 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.

9.2

Grounds for the operation

The  Treaty  on  European  Union  has  strengthened  Community  action  in  the  field  of  human
rights  and  democratic  principles  by  specifying  that  Community  policy  in  the  sphere  of
development  co-operation  “shall  contribute  to  the  general  objectives  of  developing  and
consolidating  democracy  and  the  rule  of  law,  and  to  that  of  respecting  human  rights  and
fundamental freedoms”. The Community’s human-centred development aid policy is closely
tied to the enjoyment of fundamental rights and freedoms, the recognition and application of
democratic  principles,  the  consolidation  of  the  rule  of  law  and  good  governance.  This
approach  is  founded  on  an  open  and  constructive  dialogue  with  the  governments  of  the
countries concerned  and  the  implementation  of  positive  measures  to  raise  awareness  of  and
promote  human  rights  and  democracy.  It  is  aimed  at  strengthening  the  link  between
development  aid,  human  rights  and  democratic  principles,  the  rule  of  law  and  good
governance.

Chapter 19.04 is one of the few instances of direct co-operation between the Commission and
civil society inside and outside the Community. The Extended Impact Assessment which was

15

established for the proposals to extend the period of validity of Council Regulations (EC) No
975/1999  and  976/1999  confirmed  the  overall  positive  impacts  of  EIDHR  support  on
developing the capacity of human rights NGOs and civil society organisations, the impact of
micro-projects,  which  is  seen  by  far  more  important  than  the  financial  magnitude  of  this
facility,  and  successful  election  observation  and  assistance  operations  enhancing  confidence
in and transparency of the democratic electoral process in the targeted countries.

9.3

Monitoring and evaluation of the operation

All  projects  are  evaluated  in  terms  of  the  technical,  logistical,  administrative  and  financial
capacity of the organisations presenting them. On the basis  of output  and  impact indicators,
evaluations will assess (i) the conformity with the general objectives of the Community  and
the budget title and chapter concerned, (ii) achievement of the projects objectives, (iii) cost-
effectiveness, (iv) quality of the organisation, (v) relevance to the situation on the ground, (vi)
impact and spin-offs of the project, and (vii) visibility of the Community’s contribution. The
EuropeAid  Co-operation  Office  and  the  Delegations  in  focus  countries  will  carry  out  these
evaluations. Annual reports established by the EuropeAid Co-operation Office take stock of
the use of the financial resources made available under budget line 19.04.

10.

ADMINISTRATIVE EXPENDITURE (SECTION III, PART A OF THE BUDGET) 21

Actual  mobilization  of  the  necessary  administrative  resources  will  depend  on  the
Commission’s annual decision on the allocation of resources, taking into account the number
of staff and additional amounts authorized by the budgetary authority.

21

The figures provided apply to implementations of operations under budget lines 19.04.03 and 19.04.04 covered by
Council Regulation (EC) No 975/1999 and Council Regulation (EC) No 976/1999

16

                                                
10.1

Effect on the number of posts

The  needs  for  human  and  administrative  resources  shall  be  covered  within  the
allocation  granted  to  the  managing  DG  in  the  framework  of  the  annual  allocation
procedure.

Type of post

Staff  to  be  assigned  to  managing  the
operation

Source

Duration

Officials
Or
Temporary Staff

Number 
permanent posts

of

Number 
temporary posts

of

(man/year)

(man/year)

Existing
resources  in  DG
RELEX  and  the
EuropeAid  Co-
operation Office

Additional resources necessary

(Deconcentration

Delegations)

DG
RELE
X

Europe
Aid

DG
RELE
X

Europe
Aid

Permanent
posts

Temporary posts

A – Headquarters

A – Delegations

6

-

B – Headquarters

1.5

B – Delegations

C – Headquarters

C – Delegations

ALAT-
Delegations

AL-Delegations

EI-Delegations

-

1

-

-

-

-

10

2

6

5

8

-

-

-

-

-

-

-

-

16

2

2.5

31(BA)

41

-

1

-

-

-

-

-

1

5

16

5 (BA)

-

-

23

23(BA)

18

18(BA)

3

3 (BA)

Total

8.5

31

3.5

91

124

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

17

10.2

Overall financial impact of human resources22

Amounts(in €)

Method of calculation

DG RELEX EuropeAid

Officials

Temporary 
AUX A

918,000

2,592,000

staff

-

-

1,511,496

-

€  108.000  (all  grades  HQ)
x man/year

€  215,928 
Delegation) x man/year

(all  grades

AUX B

AUX C

Other 
ALAT

AL

EI

134,940

1,673,256

€ 91,824 x man/year

42,252

253,512

€ 53,976 x man/year

resources

-

-

-

3,180,624

1,193,184

645,864

€ 42,252 x man/year

€ 138,288 x man/year

€ 66,288 x man/year

€ 215,288 x man/year

Total

1,095,192

11,049,936

The amounts are expenditure for twelve months.

22

Including  additional  resources  necessary  (Deconcentration  Delegations);  amounts  are  on  an  annual
basis

18

                                                
10.3

Other administrative expenditure as a result of the operation

Budget line

DG RELEX

EuropeAid

Amounts (in €)

Amounts (in€)

Overall allocations (ex A7)

-

-

Missions

Meetings

Human  Rights 

-
Democracy

Committee

-

Conferences

Studies 

-
consultations

-

Other expenditure

175,000

2.000

and

-

80,000

-

and

35,000

3,000

-

Information 
A24/A707)

systems 

(ex

Other  expenditure  (ex  Part
A)

60,000

-

25,000

-

-

-

(Headquarters) 305,000

(Delegations) 180,000

-

Total

295,000

570,000

The amounts are expenditure for twelve months.

19