Explanatory Memorandum to COM(2011)844 - Financing instrument for the promotion of democracy and human rights worldwide - Main contents
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| dossier | COM(2011)844 - Financing instrument for the promotion of democracy and human rights worldwide. |
|---|---|
| source | COM(2011)844  |
| date | 07-12-2011 |
The European Union is founded on the values of respect for human dignity, freedom, democracy, equality, the rule of law and respect for human rights (Article 2 of the Treaty on European Union). Furthermore, as also provided in the Treaty, the Union's action on the international scene “shall be guided by the principles which have inspired its own creation, development and enlargement, and which it seeks to advance in the wider world: democracy, the rule of law, the universality and indivisibility of human rights and fundamental freedoms, respect for human dignity, the principles of equality and solidarity, and respect for the principles of the United Nations Charter and international law.” (Article 21).
Therefore, the promotion of democracy and human rights is an essential aspect of the EU’s external action. In promoting human rights and democracy worldwide, the EU is using a wide range of measures, from political dialogue and diplomatic initiatives to financial and technical cooperation and assistance.
The Regulation on establishing a European Instrument for Democracy and Human Rights (EIDHR) constitutes a corner stone of this political strategy and is a unique and visible expression of the EU’s strong commitment to democracy and human rights. The instrument has generated genuine results and numerous success stories, providing support to civil society and human rights institutions worldwide as well as election observation. Due to its independence from Government consent and its flexibility, the EIDHR represents a key added value to the EU’ policy toolbox.
The general objectives and the scope of the EIDHR which are to contribute to the development and consolidation of human rights and fundamental freedoms, democracy and the rule of law worldwide, must be preserved in the new Regulation.
The Regulation builds on the strong linkage between democracy and human rights. In recent years the EU's agenda on democracy support has constantly evolved and has grown towards a comprehensive approach. In particular the November 2009 Council Conclusions on democracy support constitute the first strategic, concrete orientation for a broader and more coherent democracy support policy in the EU’s external relations. In December 2010, the Commission presented a first report on the follow-up to the Conclusions and new conclusions were adopted including the identification of ten pilot countries where the Agenda of Action is to be implemented and immediate action to be taken.
It is therefore deemed essential that the future EIDHR keeps a large scope encompassing the existing wide array of activities of advocacy, core support and field operations, including election observation, supporting all fundamental rights inherent to democracy together will all other human rights and fundamental freedoms. It is a guarantee for policy rationality, comprehensiveness of approach, coherence of operations and economies of scale.
· Enhancing respect for human rights and fundamental freedoms in countries where they are most at risk;
· Strengthening the role of civil society in promoting human rights and democratic reform, in supporting the peaceful conciliation of group interests and, in consolidating political participation and representation;
· Supporting actions on human rights and democracy issues in areas covered by EU Guidelines, including on human rights dialogues, on human rights defenders, on the death penalty, on torture, on children and armed conflict, on the rights of the child, on violence against women and girls and combating all forms of discrimination against them, on International Humanitarian Law and on possible future guidelines;
· Supporting and strengthening the international and regional framework for the protection and promotion of human rights, justice, the rule of law and the promotion of democracy;
· Building confidence in and enhancing the reliability and transparency of democratic electoral processes, in particular through election observation.
The response strategy under the EIDHR builds on working predominantly with and through civil society organizations, aimed at defending the fundamental freedoms which form the basis for all democratic processes and helping civil society to become an effective force for political reform and defence of human rights. This specificity of the response strategy will be fully preserved in the new Regulation. In this way, it complements the new generation of geographical programmes, which increasingly mainstream democracy and human rights, though focusing primarily on public institution-building.
Furthermore, the new EIDHR regulation will enhance the EU toolbox to address more efficiently the situation in difficult countries or in emergency situations where human rights and fundamental freedoms are most at risk. Recent developments in the European Neighbourhood, in particular the Arab Spring, have shown that there is a strong home-grown demand for increased freedoms and rights together with democracy that the EU needs to support. In such cases, the European Union will have the possibility to fund directly ad hoc actions through direct grants or low value grants. This will be the case where the procedural modalities could affect negatively the effectiveness of the actions or could subject the beneficiaries to serious intimidation, retaliation or other types of risks. Ad hoc actions would, in principle, be included in the Strategy Papers and Annual Programmes. However, in exceptional circumstances, ad hoc actions could be adopted through special measures outside of the programming cycle.
From a wider perspective, the proposed EIDHR regulation should be viewed in the context of all proposed financial instruments for the 2014-2020 Multi-annual Financial Framework as outlined in the Communication “A Budget For Europe 2020”. Together with the instruments under the Heading 4 (Global Europe) and with the European Development Fund, the new EIDHR will ensure more coherence and effectiveness to the EU’s external action.
In accordance with the Council decision establishing the organisation and functioning of the European External Action Service (EEAS) , the High Representative/Vice-President shall ensure overall political coordination of the Union’s external action, including through the EIDHR. In particular, the EEAS shall contribute to the programming and management cycle of the EIDHR as outlined in Article 9 of the above mentioned Council Decision.
Contents
- RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS
- LEGAL ELEMENTS OF THE PROPOSAL
- BUDGETARY IMPLICATION
- Impact assessment
- The scope of the EIDHR covers five objectives since 2007:
- The Commission carried out an Impact Assessment (IA) that considered 3 main policy alternatives (with some sub-options):
The European Commission held a public consultation on future funding for EU external action between 26 November 2010 and 31 January 2011. This process was based on an online questionnaire accompanied by a background paper What funding for EU external action after 2013? prepared by Commission and EEAS services involved. The 220 contributions received to the public consultation reflected a broad and diverse spectrum representing the variety of structures, views and traditions characterising the external action community.
A majority of the respondents (around 70%) confirmed that EU financial intervention provided substantial added value in the main policy areas supported through EU Financial Instruments for external action. The criterion of EU added value was put forward by many respondents as the main driver for the future: they considered that the EU should exploit its comparative advantage linked to its global field presence, its wide-ranging expertise, its supranational nature, its role as facilitator of coordination, and exploit economies of scale.
Nearly all respondents (92%) support a more differentiated approach, tailored to the situation of the beneficiary country, based on sound criteria and efficient data collection, to be used as a way to increase the impact of EU financial instruments. Over two thirds of respondents believe that EU interests are sufficiently taken into account in its external action, and that the latter should be based to a larger extent on EU values and principles, and on development objectives of the partner countries. Inversely, a minority considers that EU external action should concentrate more on EU's own interests in the global economy, particularly towards emerging economies.
Regarding simplification of instruments and the balance between geographic and thematic instruments, opinions are mixed regarding a review of EU thematic programmes and a possible reduction in number. Many fear that this could imply a decrease in the overall amount available for thematic action, and rather call for a simplification of the rules governing access and implementation of thematic funding. Several thematic issues are highlighted as important such as the reinforcement of the European Instrument for Democracy and Human Rights, climate financing or the current DCI thematic programmes. Increased flexibility of the geographic limits of EU instruments is supported by a significant majority of respondents as a way to respond to interregional challenges.
A majority of respondents agree that joint programming and co-financing with Member States can increase the impact and the coherence of EU external action, simplify the delivery of aid and reduce overall transaction costs.
Regarding like-mindedness and conditionality, there is wide support among respondents for exploring conditionality based on the beneficiary country's respect for human rights, minorities, good governance and diversity of cultural expressions (78%), or on the quality of its policies and of its ability and willingness to implement sound policies (63%). A majority of respondents is critical towards basing external cooperation on the EU's own interests.
Regarding EU external action on human rights and democracy, all respondents highlighted the need to further promote and support these objectives worldwide both by mainstreaming them within all EU policies and actions and by upholding them in a dedicated, separate but complementary, financial instrument. The European Instrument for Democracy and Human Rights is highly valued and all stakeholders asked the EU to enhance its potential, safeguard its added value and further develop its speed of delivery, in particular for the most difficult and urgent cases.
The Commission carried out an Impact Assessment (IA) that considered 3 main policy alternatives (with some sub-options):
No separate EIDHR Regulation and mainstream human rights and democracy under other instruments;
No change to the current regulation with only an increase in the budget allocation that will provide for additional activities under the current framework;
Building a better enabling regulation, while preserving the key features of the existing Regulation.
The first option was not retained as it appeared clearly that the suppression of a self standing instrument for human rights and democracy would send a negative political signal and would lead to the abolition of specific, valuable working principles such as the absence of consent of the host country or the targeting of civil society actors. This in turn would reduce efficiency in delivery and create a strong loss of EU visibility and reputation.
The second option was also discarded as it would not allow seizing the opportunity of facing new challenges adequately, correcting some lessons learned and answering new demands.
The third option was retained as it would allow preserving the political and operational benefits of the instruments, while allowing for a better adaptation of the regulation. Under this option, the new draft should be built as a better enabling regulation. The revised instrument set up would offer a process oriented tool focusing on four different windows:
· thematic campaigns, mixing advocacy and field operations for great causes(e.g. democracy support) and addressing serious violations of rights (e.g. torture, death penalty, discrimination, etc..), as well as providing core support to key actors and related civic education;
· targeted support to the development of thriving civil societies empowering it in its quest for and defence of democracy and human rights and to their specific role as actors for positive change;
· reinforced capacity for the EU to be able to react quickly to human rights urgencies and establishment of a comprehensive EU Human Rights Defender mechanism;
· strengthened and better integrated approach to democratic cycles, through election observation and other types of support to democratic and electoral processes;
The instrument proposed is based on Article 209 of the Treaty on the Functioning of the European Union which provides the legal basis for development cooperation within the framework of the principles and objectives of the Union’s external action. In addition, Articles 2 and 21 of the Treaty on European Union further underpin the importance for the European Union to support democracy and human rights as part of its external action.
Since the objectives of the proposed Regulation cannot be sufficiently achieved by the Member States alone and can therefore, by reason of the scale and coverage of the action, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. The EU is in a unique position to deliver part of the external assistance on behalf of and with Member States, giving it enhanced credibility in the countries where it operates. Many Member States have not the capacity and/or the willingness to develop global external instruments. Therefore, an intervention at EU level is the only possibility to promote EU values globally and ensure a worldwide EU presence.
The proposed regulation also strengthens the coordination capacity and facilitates joint programming with the Member States, ensuring efficient labour division and effective aid delivery. The Union assistance shall focus where it has more impact, worldwide promotion of democracy, good governance, human rights and the rule law, its long-term and predictable engagement in development assistance and its role in coordinating with its Member States. In accordance with the principle of proportionality, as set out in Article 5 of the Treaty, the proposed Regulation does not go beyond what is necessary to achieve its objectives.
The instrument proposed is part of the measures to be implemented under the Heading IV 'Global Europe' of the European Union's Multiannual Financial Framework. The financial envelope for the implementation of this Regulation for the period 2014-2020 shall be EUR 1 578 000 000 (current prices). It corresponds to an approximate average annual envelope of EUR 225 000 000.