CELEX: 51997PC0006
Language: en
Date: 1997-01-16
Title: Re-examined proposal for a COUNCIL REGULATION (EC) ON OPERATIONS TO AID UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN DEVELOPING COUNTRIES

COMMISSION OF THE EUROPEAN COMMUNITIES
                                           Brussels, 16.01.1997
                                           COM(97) 6 final
                                           95/0162(SYN)
                      Re-examined proposal for a
                   COUNCIL REGULATION (EC)
                     ON OPERATIONS TO AID
UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN DEVELOPING
                             COUNTRIES
      (presented by the Commission pursuant to Article 189 c (d)
                           of the EC Treaty)
 ---pagebreak---  ---pagebreak---                           EXPLANATORY MEMORANDUM
Subject;          Re-examined proposal for the adoption of Council Regulation (EC)
                  No .../96 on operations to aid uprooted people in Asian and Latin
                  American developing countries
  • The aim of this text is to establish a clear legal frame of reference to enable the
     Commission to continue its activities to help uprooted people such as refugees,
     displaced persons and returnees in Asia and Latin America. Special assistance will
     be afforded to people who, having left their country or region of origin following
     conflicts or domestic unrest, require, after humanitarian aid and before standard
     development measures are put in place, special assistance to enable them to achieve
     self-reliance and integration or reintegration into the socio-economic fabric of the
     host country or region to which they are returning
  • Provision is made for an extensive network of partners (UN agencies, NGOs both
     international and local, governments, local communities, etc.) and a wide range of
     measures (care and maintenance, training of health workers, repair of small-scale
     infrastructure, financing of credit systems to help revive economic activity,
     schemes specially aimed at women heads of households and schemes to protect the
     environment).
  • All this reflects the need to take action with the necessary flexibility to deal with
     fluctuating situations that all require an effective and rapid response on the part of
     the international community to avoid not only further suffering among the people
     concerned but also the risk that the tension thus created might prevent or slow
     down the establishment of peace in the countries concerned.
  • The Commission notes with satisfaction that for the most part Parliament shares
     this approach. It has therefore given its agreement to some of the amendments
     approved by Parliament on second reading.
  • This re-examined proposal incorporates amendments 1, 2 and 3, thus adding to the
     draft legislation references to principles such a non-discrimination,
     non-refoulement, the establishment of democratic structures and involvement of the
      groups concerned in the assessment of their needs. Amendments 7 and 11 are also
      incorporated: they make it possible for the Commission to take the measures
      necessary to ensure better coordination with implementing agencies and for
      evaluation reports to be made available to parliament.
   • Amendment 4, which extends the scope of this instrument to measures such as
      awareness of the risks of mines and basic health care, is also incorporated, with the
      exception of the adjective "voluntary" which qualifies "return" in the description of
      the measures to be supported. Whilst the choice to return should obviously be
      made freely by the people concerned, it vital that, in the event of forced
      repatriation, which unfortunately cannot be either ruled out or avoided, the
       Commission retain the possibility of using this instrument and the corresponding
      budget resources to assist the people who are victims of such a violation of
       fundamental principles.
   • Of amendment 5 on technical assistance and studies, only the part concerning the
       preference to be given to consultants who are citizens of the host country of the
       beneficiaries is incorporated. The imposition of a 3% ceiling of the overall cost of
       the studies audits, evaluations and monitoring has been dropped as such a measure
                                                      ACL
 ---pagebreak--- would be too restrictive. Studies, audits and evaluations required for the success of
the measures may sometimes cost more than this percentage.
The provision in amendment 6 providing for strengthened coordination with
Member States and other donors has been incorporated but not the part requiring
coordination and consultation with the Parliamentary Committee and the NGO
Liaison Committee since this requirement would be incompatible with the acute
lack of human and material resources available to the Commission.
Amendments 8 and 9 concerning committee procedures propose the abolition of the
obligation to submit projects costing ECU 2 million or more to a committee of the
Member States (type Ilia).
These amendments are not incorporated in this re-examined proposal as the
Council's position on this matter seems to be unwavering.
However, the compromise proposed by the rapporteur to revert to the initial
proposal of a financial ceiling of ECU 5 million warrants vigorous support on the
part of the Commission.
Finally, amendment 10, which provides that the Commission should consult the
authorities, partner organizations and recipients in the non-Community countries
where the schemes are to be carried out prior to discussion of the policy guidelines,
is also not included in the re-examined proposal. Such an obligation would be too
restrictive and would run the risk of holding up the discussions and consequently
the implementation of the annual aid programme for uprooted people.
This amendment also provides for committee meetings to be made public, for
summary records to be transmitted to Parliament and for a Member of Parliament to
take part in the committees' meetings as an observer with the right to speak. This
cannot be accepted because the organization of the work of each committee is a matter
for the committee itself, which also decides whether the discussions it holds should be
confidential or not. Regarding the involvement of a Member of Parliament, it should
be pointed out that the composition of committees is laid down in a standard manner
by the Council, is determined by interinstitutional balance and could be a matter for
discussion in other forums (Intergovernmental Conference).
 ---pagebreak---                                 REEXAMINED PROPOSAL
                                    FOR THE ADOPTION
      OF COUNCIL REGULATION (EC) No /96 ON OPERATIONS TO AID
    UPROOTED PEOPLE IN ASIAN AND LATIN AMERICAN DEVELOPING
                                         COUNTRIES
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 130w thereof,
Having regard to the proposal from the Commission ,'
Acting in accordance with the procedure referred to in Article 189c of the Treaty ,2
(l)Having regard to the Convention relating to the Status of Refugees adopted on
      28 July 1951 by the United Nations Conference on the Status of Refugees and
      Stateless Persons, as well as the New York Protocol adopted on 31 January 1967
      and other resolutions adopted by the United Nations on refugee policy;
(2)Having regard to the Universal Declaration of Human Rights of 1948, the
      International Covenant on Economic, Social and Cultural Rights of 1966, the
      Convention on the Elimination of All Forms of Discrimination against Women of
       1979 and the Convention on the Rights of the Child of 1989;
(3)Having regard to the Resolution of the European Parliament of 16 December 1993 on
      assistance to refugees in developing countries and its subsequent resolutions;
(4)Whereas both the European Parliament and the Council have called for greater effort
      on the part of the Community in this field;
(5) Whereas the effectiveness of aid programmes for uprooted people (refugees, displaced
      persons, returnees and demobilized soldiers) is dependent on the coordination of
      aid at European level and with other aid donors, non-governmental organizations
      (NGOs) and United Nations agencies;
(6)Whereas there is a need to step up efforts to prevent conflict and to promote peaceful
       solutions to political conflicts or wars that cause population displacements;
(6a) Whereas refugee status may arise from persecution of particular social groups and
       the principle of non-discrimination should be promoted;
 1
     OJC 237, 12.9.1995, p. 19.
 2
    Opinion of the European Parliament of 6 February 1996 (OJ C 65, 4.3.1996, p. 215); common
    position of the Council of 27 June 1996 (OJ ...); decision of the European Parliament of (not yet
    published in the OJ).
 ---pagebreak--- (6b) Whereas there is need to uphold the "non-refoulement" principle and the proper
      legal resolution of violations of human rights;
(7)Whereas specialized bodies and agencies and NGOs implementing such operations
      have gained considerable experience in providing assistance to uprooted people;
(8)Whereas the Community wishes aid for uprooted people to be provided in such a way
      as to help them move from subsistence to self-sufficiency, namely to make them
      less dependent, help them reintegrate or re-settle by means of operations to develop
      self-sufficiency through farming, livestock-rearing, fish-farming, the setting-up of
      credit systems, basic education and vocational training and decent standards of
      health and hygiene;
(9)Whereas this type of aid is a prerequisite for development and thus makes a major
      contribution towards achieving the Community's cooperation policy objectives
      under Article 13Ou of the Treaty;
(10) Whereas the budget authority has entered in the budget a heading intended to
      finance operations to aid uprooted people (refugees, displaced persons, returnees
      and demobilized soldiers) in developing countries;
(11) Whereas a financial reference amount, within the meaning of point 2 of the
      Declaration of the European Parliament, the Council and the Commission of
      6 March 1995,3 is entered in this Regulation for the period from 1996-1999,
      without affecting the powers of the budgetary authority defined by the Treaty;
(12) Whereas administrative rules and procedures applicable to cooperation operations
      to contribute to the self-sufficiency of uprooted people (refugees, displaced
      persons, returnees and demobilized soldiers) should be laid down,
HAS ADOPTED THIS REGULATION:
                                          Article 1
The Community shall implement a programme of support and assistance to uprooted
people referred to in Article 4 to contribute to the urgent requirements not covered by
humanitarian aid and for the longer term realization of projects and action programmes
aimed at the self-sufficiency and integration or reintegration of such people.
The establishment of democratic structures and the promotion of human rights will be an
integral part of assistance programmes to uprooted people in Asian and Latin American
developing countries. All affected groups and the local population hosting refugees and
displaced persons will be fully involved in the assessment of needs and implementation
of assistance programmes. Assistance will be targeted at and funds earmarked for
vulnerable groups, including women, children, indigenous people, the disabled and the
elderly.
3
    OJC 102,4.4.1996, p. 4.
 ---pagebreak---                                            Article 2
In this context, the Community shall implement viable projects for subsistence.,
self-sufficiency and reinsertion into the socio-economic fabric of refugees and displaced
persons, returnees and demobilized soldiers. To this end, operations shall cover inter alia
mine clearance, including information and safety campaigns about mines, combating
sexual violence, basic health care, including perinatal care, psychological aid and
treatment for victims of rape, aid to promote family unity, including family tracing and
reunification programmes, operations to aid people to reclaim their land and uphold their
property rights, aid for the legal resolution of human rights violations against displaced
persons, support to local host communities and areas to which refugees return to facilitate
acceptance and integration of such people and support for their return and settlement in
their places of origin or in third countries. Where appropriate, operations shall support
reconciliation.
                                           Article 3
Operations carried out under this Regulation shall be complementary to those provided
for by other Community instruments governing development cooperation.
                                           Article 4
 1. The final beneficiaries of the operations mentioned in Article 2 shall be uprooted
people (refugees, displaced persons, returnees and demobilized soldiers) in the
developing countries of Asia and Latin America and persons from one of these countries
provisionally settled in another developing country and, in duly justified, exceptional
cases, in another third country:
(a)    refugees, as defined in the Convention relating to the Status of Refugees adopted
       on 28 July 1951 by the United Nations Conference on the Status of Refugees and
       Stateless Persons;
(b)"displaced persons": persons who have been forced to seek refuge outside their region
       of origin owing to conflict situations but who do not enjoy refugee status as defined
       by the 1951 Convention;
 (c)   "returnees": persons who were formerly refugees or displaced persons who have
       returned to their country or region of origin.
 2. Aid shall also be available for:
 (a)   the local population of the host territories particularly affected, whose economic
       and administrative resources contribute to receiving and assisting refugee: and
 ---pagebreak---        displaced persons and to carrying out longer-term projects designed to bring about
       their self-sufficiency and integration or reintegration;
(b)former soldiers of regular armies and demobilized armed opposition movements, plus
       their families and, where appropriate, their local communities.
                                            Article 5
Partners in cooperation who may obtain financial support under this Regulation shall be
regional and international organizations, including United Nations agencies,
non-governmental organizations, national, provincial and local administrations and
official bodies, community-based organizations, public or private institutes and operators.
                                            Article 6
1. Community financing of the operations referred to in Article 1 shall cover a period of
four years (1996-99).
The financial reference amount for the implementation of this programme for the period
1996 to 1999 shall be ECU 240 million.
Annual appropriations shall be authorized by the budgetary authority within the limits of
the financial perspective.
2. The budget authority shall determine the appropriations available for each financial
year taking account of the principles of sound financial management referred to in
Article 2 of the Financial Regulation applicable to the general budget of the European
Communities.
                                            Article 7
1. The means deployed in implementing operations referred to in Article 1 shall include
studies (priority shall be given to consultants of the host country), technical assistance,
training and other services, supplies, works, and audits and evaluation and monitoring
missions.
2. Community financing may also cover investment expenditure, excluding the purchase
of real estate, and, in duly justified cases and taking into account the fact that the project
must, as far as possible, aim at medium-term viability, recurring expenditure (which
includes administrative expenditure, maintenance and running costs) so that maximum
use is made of the investments mentioned in paragraph 1, the operation of which
temporarily represents a burden for the person associated.
3. A financial contribution from the partners defined in Article 5 shall be sought for
each cooperation operation. This contribution will be requested within the limits of the
possibilities available to the partners concerned and depending on the nature of the
operation.      In specific cases and when the partner is either an NGO or a
community-based organization, the contribution may be made in kind.
 ---pagebreak--- 4.      Opportunities may be sought for cofinancing with other fund providers, and
especially with Member States.
5. The necessary measures shall be taken to emphasize the Community character of aid
provided under this Regulation.
6. In order to achieve the objectives of consistency and complementarity referred to in
the Treaty and with the aim of guaranteeing optimum effectiveness of all these
operations, the Commission may take all the necessary coordination measures, including
in particular:
(a)    the establishment of a system for the systematic exchange and analysis of
       information on the operations financed and those which the Community and the
       Member States propose to finance;
(b)on-the-spot coordination of the implementation of operations through regular meetings
       and exchanges of information between representatives of the Commission and of
       the Member States, those of other donors and partners operating in the target
       country.
7.      The Commission, in liaison with the Member States, may take any initiative
necessary for ensuring proper coordination with operational partners, in particular those
forming part of the United Nations system, including the High Commissioner for
Refugees.
                                           Article S
Financial aid under this Regulation shall take the form of grants.
                                           Article 9
 1. The Commission shall be responsible for appraising, deciding and administering the
 operations covered by this Regulation in accordance with the budgetary and other
 procedures in force, in particular those laid down by the Financial Regulation applicable
 to the general budget of the European Communities.
 2. Project and programme appraisal shall take into account the following factors:
 - effectiveness and viability of operations,
 - cultural, social, gender and environment aspects,
 - institutional development necessary to achieve project goals,
 - experience gained from operations of the same kind.
  3. Decisions relating to grants of more than ECU 2 million for individual operations
  financed under this Regulation shall be adopted in accordance with the procedure laid
  down in Article 10.
 ---pagebreak--- The Commission shall inform the Committee referred to in Article 10 succinctly of the
financing decisions which it intends to take with regard to projects and programmes of
less than ECU 2 million in value. This information shall be made available not later than
one week before the decision is taken.
4. The Commission shall be authorized to approve, without recourse to the opinion of
the Committee provided for in Article 10, any supplementary commitments needed for
covering expected or real cost overruns in connection with the operations, where the
overrun or additional requirement is less than or equal to 20% of the initial commitment
laid down by the financing decision.
Where the supplementary commitment referred to in the first subparagraph is less than
ECU 4 million, the Committee shall be informed of the decision taken by the
Commission. Where the supplementary commitment referred to in the first subparagraph
is greater than ECU 4 million but less than 20%, the Committee will be asked to give its
opinion.
5. All financing agreements or contracts concluded under this Regulation shall provide
for the Commission and the Court of Auditors to conduct on-the-spot checks according to
the usual procedures laid down by the Commission under the rules in force, in particular
those of the Financial Regulation applicable to the general budget of the European
Communities.
6. Where operations are the subject of financing agreements between the Community
and the recipient countries or countries of origin, such agreements shall stipulate that the
payment of taxes, duties and other charges is not to be covered by the Community.
7. Participation in invitations to tender and the award of contracts shall be open on equal
terms to all natural and legal persons of the Member States and of the recipient country
It may be extended to other developing countries and, in duly justified exceptional cases,
to other third countries.
 8.     Supplies shall originate in the Member States, the recipient country, or other
developing countries. In duly justified exceptional cases supplies may originate
elsewhere.
                                         Article 10
 1. The Commission shall be assisted by the Committee set up under Article 15 of
 Council Regulation No443/92/EEC of 25 February 1992 on financial and technical
 assistance to, and economic cooperation with, the developing countries in Asia and Latin
 America .4
 2. The representative 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 decisions which the Council is required to adopt on a proposal from the
 4
     OJ L 52, 27.2.1992, p. 1
 ---pagebreak--- Commission. The votes of the representatives 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 in accordance with the
opinion of the Committee.
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 one month from the date of referral to the Council, the
Council has not acted, the proposed measures shall be adopted by the Commission.
                                         Article 11
An exchange of views shall take place once a year on the basis of a presentation by the
representative of the Commission on the general guidelines for the operations to be
carried out in the year ahead, within the framework of the Committee mentioned in
Article 10(1).
After each budget year, the Commission shall submit an annual report to the European
Parliament and to the Council, summarizing the operations financed in the course of that
year and evaluating the implementation of this Regulation over that period.
The summary shall in particular provide information about those with whom contracts
have been concluded.
The report shall also summarize any independent evaluations of specific operations.
The Commission shall inform the Member States, within one month at the latest after
taking its decision, of operations and projects approved, with information as to the
amounts, nature, recipient countries and partners.
                                         Article 13
The Commission shall regularly assess operations financed by the Community with a
 view to establishing whether the objectives aimed at by such operations have been
 achieved and to provide guidelines for improving the effectiveness of future operations.
 The Commission shall submit to the Committee a summary of the assessments made
 which, if appropriate, may be examined by the Committee. The assessment reports shall
 be available to any Member States requesting them and Parliament.
                                         Article 14
 This Regulation shall enter into force on the third day following that of its publication in
 the Official Journal of the European Communities.
 ---pagebreak--- It shall apply until 31 December 1999.
This Regulation shall be binding in its entirety and directly applicable in all Member
States.
Done at
                                                                   For the Council
                                                                    The President
                                               10
 ---pagebreak---  ---pagebreak---                                                                   ISSN 0254-1475
                                                             COM(97) 6 final
                                              DOCUMENTS
EN                                                                            11
                                    Catalogue number : CB-CO-97-005-EN-C
                                                             ISBN 92-78-14964-0
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