Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EC) No 2130/2001 on operations to aid uprooted people in Asian and Latin American developing countries
Date: 2004-02-23
Institutions: European Commission
Subjects: Asia, Latin America, aid to refugees, cooperation policy, developing countries, development aid, humanitarian aid

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.02.2004 
COM(2004)126 final 

2004/0040(COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 2130/2001 on operations to aid uprooted people in Asian 
and Latin American developing countries 

(presented by the Commission) 

EN 

   EN 

 
 
 
  
EXPLANATORY MEMORANDUM 

The  European  Community  is  implementing  a  programme  in  favour  of  operations  to  aid 
uprooted people in Asian and Latin American developing countries under Regulation (EC) No 
2130/2001 of 29 October 2001. 

This Regulation expires on 31 December 2004. The Regulation foresees that its renewal will 
depend on the possibility for “integrating this Regulation into a single framework Regulation 
for Asia and Latin America”.  

In July 2002, the Commission adopted a proposal for a Regulation of the European Parliament 
and  of  the  Council  concerning  Community  co-operation  with  Asian  and  Latin  American 
countries  –  COM  (2002)  340  final  –  which  integrates  aid  to  uprooted  people  in  Asian  and 
Latin American developing countries and which provides for Regulation (EC) No 2130/2001 
to  be  repealed.  For  the  adoption  of  this  new  Regulation,  the  European  Parliament  and  the 
Council  act  in  accordance  with  the  procedure  laid  down  in  Article  251  of  the  Treaty  (co-
decision). In the context of this procedure, the European Parliament held the first reading of 
this Regulation in November 2003. 

The  interruption  of  the  sessions  of  the  European  Parliament  due  to  the  elections  which  will 
take place in June 2004 will very probably prevent the Regulation concerning Community co-
operation  with  Asian  and  Latin  American  countries  from  being  adopted  and  entering  into 
force  by  31  December  2004,  the  date  when  Regulation  (EC)  No  2130/2001  expires.  This 
could  jeopardise  the  continuity  and  smooth  implementation  of  operations  to  aid  uprooted 
people in Asian and Latin American developing countries. 

In order to avoid such a situation, the present proposal aims to extend the period of execution 
of Regulation (EC) No 2130/2001 indefinitely. This would guarantee its application until it is 
repealed by the future Regulation concerning Community co-operation with Asian and Latin 
American countries – COM (2002) 340 final. 

It  is  also  necessary  to  add  to  the  reference  to  the  financial  framework  for  the  years  2001– 
2004  which  appears  in  Regulation  (EC)  No  2130/2001  a  new  reference  applying  to  the 
remaining years of the current financial perspective (2005-2006). 

Finally, it is also necessary to provide for an independent evaluation of the implementation of 
this Regulation. 

2 

 
 
  
 
2004/0040 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 2130/2001 on operations to aid uprooted people in Asian 
and Latin American developing countries 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission, 

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

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

The European Community is implementing a programme in favour of operations to aid 
uprooted people in Asian and Latin American developing countries under Regulation 
(EC)  No  2130/2001  of  29  October  20011.  That  Regulation  expires  on  31  December 
2004. 

Regulation  (EC)  No  2130/2001  anticipates  that  its  renewal  will  depend  on  the 
possibility of it being integrated into a single framework Regulation for Asia and Latin 
America.  

In  July  2002,  the  Commission  adopted  a  proposal  for  a  Regulation  of  the  European 
Parliament  and  of  the  Council  concerning  Community  co-operation  with  Asian  and 
Latin American countries2 which integrates aid to uprooted people in Asian and Latin 
American  developing  countries  and  repeals  Regulation  (EC)  No  2130/2001.  That 
proposal might not be adopted in time for the new Regulation to enter into force by 31 
December  2004.  Such  a  situation  could  jeopardise  the  continuity  and  smooth 
implementation  of  operations  to  aid  uprooted  people  in  Asian  and  Latin  American 
developing countries. 

It  is  necessary  to  ensure  the  implementation  of  Regulation  (EC)  No  2130/2001  until 
the entry into force of the future Regulation. The latter would then constitute the new 
legal framework for operations to aid uprooted people in these two regions.  

It  is  necessary  to  indicate  the  financial  framework  for  the  remaining  years  of  the 
current financial perspective, namely 2005 and 2006. 

1 
2 

OJ L 287, 31.10.2001, p. 3. 
OJ C 331 E, 31.12.2002, p. 12.  

3 

 
 
  
 
                                                 
(6) 

It is also necessary to provide for an independent evaluation of the implementation of 
Regulation (EC) No 2130/2001. 

(7) 

Regulation (EC) No 2130/2001 should therefore be amended accordingly. 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 2130/2001 is amended as follows: 

(1) In Article 15, the following paragraph 1a is inserted:  

“1a.  The  financial  framework  for  the  implementation  of  this  Regulation  for  the 
period from 2005 to 2006 is hereby set at EUR 141 million.” 

(2) In Article 19, paragraph 3 is replaced by the following: 

“3.  By  the  end  of  2004,  the  Commission  shall  submit  an  independent  evaluation 
report on the implementation of this Regulation to the European Parliament and the 
Council  with  a  view  to  establishing  whether  its  objectives  have  been  achieved  and 
providing guidelines for improving the effectiveness of future operations. The report 
shall  assess  the  effectiveness  of  action  taken  following  performance  audits  and 
independent evaluations. ” 

(3) In Article 20, the second paragraph is deleted. 

Article 2 

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

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 

4 

 
 
  
 
LEGISLATIVE FINANCIAL STATEMENT 

Policy area(s): 19 

Activit(y/ies): 19 

TITLE  OF  ACTION:  AID  TO  UPROOTED  PEOPLE  IN  ASIAN  AND  LATIN  AMERICAN  DEVELOPING 

COUNTRIES 

1. 

BUDGET LINE(S) + HEADING(S) 

19 09 03 – AID TO UPROOTED PEOPLE IN LATIN AMERICA 

19 10 03 – AID TO UPROOTED PEOPLE IN ASIAN COUNTRIES 

ex. 19 10 06 – AID FOR THE REHABILITATION AND RECONSTRUCTION OF 
AFGHANISTAN  

2. 

OVERALL FIGURES  

2.1. 

Total allocation for action (Part B): € 141 million for commitment 

2.2. 

Period of application: 

The  Regulation  is  for  an  indefinite  period,  although  the  financial  framework  is 
defined for the period 2005 to 2006, the end of the current financial perspectives.  

2.3. 

Overall multiannual estimate of expenditure: 

(a) 

Schedule  of  commitment  appropriations/payment  appropriations 
intervention) (see point 6.1.1) 

(financial 

€ million (to three decimal places) 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

2006 

Year 
[n] 

2005 

Commitments 

70 

71 

Payments 

17.5 

52.5 

52.5 

18.5 

[n+5 
and 
subs. 
Years
] 

Total 

141 

141 

(b) 

Technical and administrative assistance and support expenditure (see point 6.1.2) 

Commitments 

Payments 

0.7 

0.2 

0.7 

0.5 

0.5 

0.2 

1.4 

1.4 

5 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Subtotal a + b 

Commitments 

Payments 

70.7 

17.7 

71.7 

53.0 

53.0 

18.7 

142.4 

142.4 

(c) 

Overall  financial  impact  of  human  resources  and  other  administrative  expenditure  
(see points 7.2 and 7.3) 

Commitments/ 
payments 

1.4 

1.4 

TOTAL a+b+c 

Commitments 

Payments 

72.1 

18.2 

73.1 

54.4 

53.5 

19.1 

2.8 

145.2 

145.2 

2.4. 

Compatibility with financial programming and financial perspective 

Proposal  is  compatible  with  existing  financial  programming  for  Asia  and  Latin 
America for 2005 and 2006. The appropriations proposed for these actions will not 
modify the overall financial framework for the activities concerned.  

2.5. 

Financial impact on revenue:3 

Proposal has financial impact – the effect on revenue is as follows: 

Budget line 

Revenue 

(€ million to one decimal place) 

Situation following action 

[Year 
n] 

[n+
1] 

[n+2] [n+3]  [n+4]  [n+5]

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

3. 

BUDGET CHARACTERISTICS 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
form applicant 
countries 

Heading in 
financial 
perspective 

Non-comp 

Diff  

NO 

NO 

NO 

No IV 

3 

For further information, see explanatory notes 

6 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
                                                 
4. 

LEGAL BASIS  

Article 179 (1) in conjunction with Article 251. 

5. 

DESCRIPTION AND GROUNDS 

5.1. 

Need for Community intervention4 

5.1.1.  Objectives pursued 

The general objective of the operation is to implement a programme of support and assistance 
to uprooted people to contribute to the urgent requirements not covered by humanitarian aid 
and  the  longer-term  realisation  of  projects  and  action  programmes  aimed  at  the  self-
sufficiency  and  integration  and  re-integration  of  such  people.  A  link  needs  to  be  provided 
between  humanitarian  aid  and  rehabilitation  or  development  operations  by  helping  these 
groups in the very delicate transitional phase often following an armed conflict. 

5.1.2.  Measures taken in connection with ex ante evaluation 

In  Latin  America,  the  Commission  is  proposing  an  increase  in  commitments  for  aid  to 
uprooted people from € 11 million in 2004 to € 20 million in 2005 and 2006. Colombia is the 
sole  recipient  of  assistance  from  the  uprooted  people  budget  line  in  Latin  America.  The 
requested  increase  in  the  budget  for  uprooted  people  for  2005  and  2006  derives  from  the 
following elements: 

The dynamics of the Colombian conflict: compared to the peak year of 2002, there seems to 
have been a relative diminution of new displacements in Colombia in 2003. In terms of EC 
response to the phenomenon, therefore, it is likely that a progressive shift will be needed from 
ECHO  interventions  to  interventions  through  the  uprooted  people  budget  line  in  order  to 
maintain  an  overall  amount  of  support  to  IDPs  commensurate  to  the  humanitarian  crisis  in 
Colombia  (the  third  largest  IDP  crisis  in  the  world),  in  keeping  with  the  “LRRD”  (Link 
between  Rehabilitation,  Reconstruction,  and  Development)  principle  of  seamless  transition 
from post-emergency instruments to mid- to long-term actions. In 2003, the total amount of 
support was over € 8 million from ECHO budget lines and € 10.5 million from the Uprooted 
People budget line, thus totalling almost € 19 million only for IDPs. 

In  addition  to  the  IDP  issue,  the  Regulation  (EC)  No  2130/2001  also  covers  support  to 
demobilised  soldiers,  an  issue  on  which  demand  to  the  European  Commission  is  likely  to 
increase  in  Colombia,  notably  regarding  child  soldiers.  Disarmament,  demobilisation  and 
reintegration  (“DDR”)  of  former  members  of  illegal  armed  groups  is  one  of  the  central 
objectives of the current Colombian administration, and in any case, addressing the issue of 
child soldiers (estimated at between 7,000 and 11,000 in Colombia) is of critical importance 
to help Colombia effectively apply the Convention on the Rights of the Child it has ratified. 
The EU is currently drafting a comprehensive policy towards the mainstreaming of the issue 
of children and armed conflict into its policies, actions and aid programmes, which will also 
be a further incentive to take action in this area in Colombia.  

4 

For further information, see explanatory notes 

7 

 
 
  
 
                                                 
In Asia, the Commission is proposing an increase in commitments for aid to uprooted people 
from € 25 million in 2004 to € 26 million in 2005 and € 27 million in 2006. This represents a 
slight increase in order to cater for crises involving refugees, IDPs and returnees in Asia. This 
increase is justified by the increased number of people needing continued assistance once they 
return home. 

5.1.3.  Measures taken following ex post evaluation 

An evaluation of Regulation (EC) No 2130/2001 is currently under way and will be presented 
to the European Parliament and the Council by the end of 2004. The results of this evaluation 
will  be  taken  into  consideration  by  the  Commission  in  the  discussions  with  the  legislative 
authority over the extension of this regulation. 

5.2. 

Action envisaged and budget intervention arrangements 

Actions are chosen in the light of the situations where it has been decided to intervene. It is 
essential that a high degree of flexibility be retained in this respect as the variation in recent 
years has already  shown  the  need  for  it. There are many factors of uncertainty which could 
affect the specific results of the operations. Significant changes in the security situation in the 
areas concerned could occur. 

Given  the  volatile  nature  of  the  situations  that  these  operations  seek  to  address,  it  is 
impossible  to  quantify  specific  objectives.  Shifts  from  ECHO  interventions  should  be 
envisaged in keeping with the “LRRD” principle of seamless transition from post-emergency 
instruments  to  mid-  to  long-term  actions.  This  would  be  in  conformity  with  the 
comprehensive policy on this matter. 

The  target  populations  are  uprooted  people  (refugees,  displaced  persons  and  returnees)  and 
demobilised soldiers, including child soldiers, in Asia and Latin America. 

5.3.  Methods of implementation 

Operations to aid uprooted people will be directly managed by the Commission using either 
official  or  temporary  staff.  Eligible  beneficiaries  will  receive  grants  which  will  be  awarded 
either  through  Calls  for  Proposals  or  in  duly-justified  cases  through  Direct  Awards.  These 
grants  will  be  mainly  managed  by  Commission  Delegations  under  the  policy  of 
deconcentration of the management of external assistance. 

8 

 
 
  
 
6. 

FINANCIAL IMPACT 

6.1. 

Total financial impact on Part B - (over the entire programming period) 

6.1.1.  Financial intervention 

Breakdown 

[Year 
n] 

2005 

Action 1 – Asia 

Action 2 – Afghanistan 

Action 3 – Latin America 

26 

24 

20 

TOTAL  70 

Commitments (in € million to three decimal places) 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

2006 

27 

24 

20 

71 

[n+5 and subs. 
Years] 

Total 

53 

48 

40 

141 

6.1.2.  Technical  and  administrative  assistance,  support  expenditure  and  IT  expenditure 

(commitment appropriations) 

[Year 
n] 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

[n+5 and subs. 
years] 

Total 

1) 
administrative assistance 

Technical 

and 

0.7 

0.7 

Technical 

a) 
offices 

assistance 

b)  Other 
administrative assistance: 

technical 

and 

0.7 

0.7 

- intra muros: 

- extra muros: 

of  which  for  construction 
and 
of 
maintenance 
computerised  management 
systems 

Subtotal 1  0.7 

2) Support expenditure 

Pm 

0.7 

Pm 

a) Studies 

b) Meetings of experts 

c) Information and 
publications 

Subtotal 2 

TOTAL  0.7 

0.7 

9 

1.4 

1.4 

1.4 

pm 

1.4 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
 
 
 
 
  
  
  
 
 
 
 
  
  
  
 
 
 
 
  
  
  
 
 
 
 
  
 
 
 
 
6.2. 

Calculation  of  costs  by  measure  envisaged  in  Part  B  (over  the  entire 
programming period)5 

The latest UNHCR figures available (January 2003), put the total number of uprooted people 
in the world at 20.5 million, an increase of about 750,000 from the previous year. Of these, 
almost  half  are  in  Asia  and  another  1.05  million  in  Latin  America.  The  countries  currently 
covered  by  the  Regulation  are  Afghanistan  (including  Pakistan  and  Iran),  Bangladesh, 
Burma/Myanmar,  Indonesia,  Nepal  (Bhutanese  refugees),  the  Philippines,  Sri  Lanka  and 
Thailand  in  Asia  and  Colombia  in  Latin  America.  However,  this  could  change  should  a 
refugee crisis emerge in other countries in the two regions. 

The commitments in the uprooted people budget lines have steadily increased between 2001 
and  2004.  The  credits  available  in  2001  and  2002  were  low  compared  to  the  financial 
framework defined in Regulation (EC) 2130/2001 but this shortfall was made up in 2003 and 
2004. The commitments are summarised in the following table: 

Asia 

Afghanistan 

Latin America 

TOTAL 

2001 

25.4 

13.9 

-.- 

39.3 

2002 

12.1  

24  

4.3 

40.4 

Commitments (in € million) 

2003 

2004 

23 

24 

10 

57 

25 

24 

11 

60 

For the years 2005 and 2006, the following commitments are planned (see also section 5.1.2 
for more information): 

5 

For further information, see separate explanatory note 

10 

 
 
  
 
 
 
                                                 
Commitments (in € million to three decimal places) 

Breakdown  

Action 1 Asia 

- Measure 1 

Type  
of outputs 
(projects, files ) 

1 

Projects 

Action 2 Afghanistan1 

Projects 

- Measure 1 

Action 3 Latin America 

Projects 

- Measure 1 

1Use  of  the  24M€  will  be  determined  at  a 
later stage 

TOTAL COST 

Number of 
outputs 

Average unit 
cost 

(total for years 
1…n)  

2 

Dependent on 
outcome of call 
for proposals 
Dependent on 
outcome of call 
for proposals 

Dependent 
on 
outcome  of  call 
for proposals 

3 

n.a 

n.a. 

n.a. 

Total cost 

(total for years 
1…n)  

4=(2X3) 

53 

48 

40 

141 

7.  IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE  

7.1. 

Impact on human resources 

Staff to be assigned to management of the 
action using existing and/or additional 
resources 

Number of 
permanent posts 

Number of 
temporary posts 

Total 

Description of tasks deriving from the 
action 

1 

3 

1 

5 

7 

If necessary, a fuller description of the 
tasks may be annexed. 

Types of post 

Officials 
temporary staff 

or 

A 

B 

C 

Other human resources 

(staff  already 

Total 
existing) 

7.2. 

Overall financial impact of human resources 

Type of human resources 

Amount (€) 

Method of calculation *  

Officials 

Temporary staff 

Other human resources 

540,000 

706,580 

0 

EUR 108,000 X 5  

EUR 100,940 (ALAT) X 7 

(specify budget line) 

Total  1,246,580 

The amounts are total expenditure for twelve months. 

11 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
7.3. 

Other administrative expenditure deriving from the action 

Budget line 

(number and heading) 

Amount € 

Method of calculation 

Overall allocation (Title A7) 

150,000 

A0701 – Missions 

A07030 – Meetings 
A07031 – Compulsory committees 1 
A07032 – Non-compulsory committees 1 

A07040 – Conferences 

A0705 – Studies and consultations 

Other expenditure (specify) 

Information systems (A-5001/A-4300) 

Other expenditure - Part A (specify) 

Total  150,000 

The amounts are total expenditure for twelve months. 

1 Specify the type of committee and the group to which it belongs. 

I. 

II. 

Annual total (7.2 + 7.3) 

Duration of action 

III. 

Total cost of action (I x II) 

€1,396,580 

2 years 

€2,793,160 

8. 

FOLLOW-UP AND EVALUATION 

8.1. 

Follow-up arrangements 

Operations  will  be  monitored  by  the  various  Commission  departments  in  Brussels 
(particularly the EuropeAid Co-operation Office) and the Delegations.  

8.2. 

Arrangements and schedule for the planned evaluation 

The Commission will be submitting an independent evaluation report on the implementation 
of Regulation (EC) No 2130/2001 to the European Parliament and the Council by the end of 
2004  with  a  view  to  establishing  whether  its  objectives  have  been  achieved  and  providing 
guidelines for improving the effectiveness of future operations. The results of this evaluation 
will  be  taken  into  consideration  by  the  Commission  in  the  discussions  with  the  legislative 
authority over the extension of this regulation.  

Independent evaluations of the Regulation on Community co-operation with Asian and Latin 
American countries will also cover operations to aid uprooted people once it enters into force. 

12 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
9. 

ANTI-FRAUD MEASURES 

The administrative monitoring of contracts and payments will be handled by the Commission 
Delegations  concerned  under  the  policy  of  deconcentration  of  the  management  of  external 
assistance. 

Project  implementation  will  be  monitored  at  all  stages  of  the  project  cycle  (selection, 
contracts,  performance  of  contracts,  payments)  by  the  Commission  in  Brussels  and  in 
Delegations. Checks will focus on the respect of contractual obligations and will be based on 
the principle of cost/benefit analysis and financial management. 

In addition, the EuropeAid Co-operation Office, DG Audit, OLAF and the Court of Auditors 
will  carry  out  audits  and  checks,  including  some  on-the-spot,  on  expenditures  authorised 
under  the  programme  and  the  satisfactory  implementation  of  operations.  Routine  financial 
audits,  particularly  those  conducted  in  the  lifetime  of  the  project,  will  be  carried  out  in 
addition to the fraud prevention measures.  

13