Anno XIV° - Numero 5/57 del 1° giugno 2018 · Gestione a livello locale - La politica di coesione...

Anno XIV° - Numero 5/57 del 1° giugno 2018

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_____________________________________________________________________________________ Regione Abruzzo - Attività di Collegamento con l’U.E. a Bruxelles - Speciale n. 5/57 del 1° giugno 2018

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SS OO MM MM AA RR II OO

Presentazione……………………………………...…….………………………....…………... p.3

1. Bilancio UE 2021/2027 - Sviluppo regionale e politica di coesione oltre il 2020. Con tabella:

Criteri di eleggibilità su base regionale delle risorse per la Coesione Post-2020 [Fiche

informativa 29.5.2018]….………………….…………....…………………………….…………p. 5

2. Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE

COUNCIL on the European Regional Development Fund and on the Cohesion Fund

[COM(2018) 372 final] ………………..…………..……………………..…………...….….....p. 10

3. ANNEX to the Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT

AND OF THE COUNCIL on the European Regional Development Fund and on the

Cohesion Fund [COM(2018) 372 final - ANNEX 1]……………………………….….……..p. 38


AND OF THE COUNCIL on the European Regional Development Fund and on the

Cohesion Fund [COM(2018) 372 final - ANNEX 2]……………………………….….……..p. 51


COUNCIL on specific provisions for the European territorial cooperation goal (Interreg)

supportedby the European Regional Development Fund and external financing instruments

[COM(2018) 374 final]………………………………………………….…..………...………..p. 57


AND OF THE COUNCIL on specific provisions for the European territorial cooperation

goal (Interreg) supportedby the European Regional Development Fund and external

financing instruments [COM(2018) 374 final]…………………………...………...………..p. 128


COUNCIL on a mechanism to resolve legal and administrative obstacles in a cross-border

context [COM(2018) 373 final]………………………….………………...………...………..p. 151


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PP RR EE SS EE NN TT AA ZZ II OO NN EE

Il 29 maggio u.s. la Commissione ha proposto il nuovo Quadro Normativo e Finanziario

della Politica di Coesione per il periodo 2021-2027.

La proposta intende corrispondere ai bisogni e alle esigenze di tutte le regioni,

introducendo elementi di flessibilità e semplificazione, pur mantenendo un legame stretto

con la governance economica a livello di ciascuno Stato membro.

*****

Alla proposta della Commissione sulla nuova Politica di Coesione dedichiamo uno Speciale

di approfondimento che si compone di due distinti fascicoli.

Nel presente fascicolo troverete i testi ufficiali dei Regolamenti settoriali ed una scheda

escplicativa di carattere generale.

*****

Con il nuovo contributo la Regione Abruzzo si propone di fornire un compendio agile delle

nuove direttrici politiche di cui tenere conto nella disamina puntuale che verrà espletata dal

Consiglio regionale e dai diversi settori della Giunta, per quanto di rispettiva pertinenza.


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La Sede di Bruxelles rimane a disposizione di tutti gli interlocutori istituzionali per ogni utile

collaborazione e approfondimento.

Il Presidente

Dott. Luciano D'ALFONSO


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CRITERI DI ELEGGIBILITA’ SU BASE REGIONALE DELLE RISORSE PER LA COESIONE POST-2020

Le risorse del FESR e dell'FSE+ verrebbero ripartite fra 3 categorie di regioni, con tasso di

cofinanziamento compreso tra il 40 e il 70%. La Regione Abruzzo verrebbe ricompresa nella categoria

intermedia delle “Regioni in Transizione”, con PIL pro-capite compreso tra il 75 e il 100% e tasso di

cofinanziamento pari al 55%. La tabella si riferisce alla media del PIL pro-capite, calcolato in standard del

potere d'acquisto, rilevato nelle regioni di livello NUTS2 nel periodo 2014-2015-2016.

BILANCIO UE 2021/2027:

SVILUPPO REGIONALE E POLITICA DI COESIONE OLTRE IL 2020


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1. Introduzione

Per il prossimo bilancio a lungo termine dell'UE (2021-2027) la Commissione propone di rendere

moderna la politica di coesione, vale a dire la principale politica di investimenti dell'UE e una delle sue

più concrete espressioni di solidarietà.

L'economia dell'UE è in ripresa, ma per rimediare agli squilibri che persistono tra gli Stati membri e al

loro interno è necessario un ulteriore impegno in termini di investimenti. Gli investimenti a titolo della

futura politica di coesione, forte di una dotazione di 373 miliardi di €[1] in impegni per il periodo 2021-

2027, possono contribuire a ridurre tali squilibri. Le risorse continueranno ad essere indirizzate verso le

regioni che più necessitano di mettersi alla pari con il resto dell'UE e contemporaneamente la politica di

coesione sarà ancora l'emblema di un collegamento forte e diretto tra l'UE e le sue regioni e città.

Jyrki Katainen, Vicepresidente responsabile per l'Occupazione, la crescita, gli investimenti e la

competitività, ha dichiarato: "Nel prossimo decennio la politica di coesione aiuterà tutte le regioni ad ammodernare le

loro industrie e ad investire nell'innovazione e nella transizione verso un'economia circolare a basse emissioni di carbonio.

La nostra proposta apporterà un ulteriore contributo a un contesto favorevole all'attività imprenditoriale in Europa,

ponendo le basi necessarie alla crescita, alla creazione di posti di lavoro e agli investimenti."

Corina Crețu, Commissaria responsabile per la Politica regionale, ha dichiarato: "Proponiamo oggi una

politica di coesione a favore di tutte le regioni, che non trascuri nessuno. L'abbiamo resa più flessibile per adattarla alle

nuove priorità e per meglio proteggere i nostri cittadini. Abbiamo inoltre semplificato le norme e ciò comporterà benefici per

tutti, dalle piccole imprese e dai piccoli imprenditori alle scuole e agli ospedali, che potranno accedere più facilmente ai

finanziamenti."

Le principali caratteristiche della proposta avanzata dalla Commissione per una moderna politica di

coesione sono indicate di seguito.

1. Una particolare attenzione alle priorità di investimento fondamentali nei settori in cui l'UE

può realizzare i massimi risultati La maggior parte degli investimenti a valere sul Fondo europeo di

sviluppo regionale e sul Fondo di coesione sarà destinata all'innovazione, al sostegno delle piccole

imprese, alle tecnologie digitali e alla modernizzazione industriale. Contribuirà inoltre alla transizione

verso un'economia circolare a basse emissioni di carbonio e alla lotta contro i cambiamenti climatici,

rispettando gli impegni assunti con l'accordo di Parigi.

2. Una politica di coesione per tutte le regioni e un approccio più mirato allo sviluppo

regionale

Investire in tutte le regioni - Le regioni ancora in ritardo in termini di crescita o di reddito,

principalmente situate nell'Europa meridionale e orientale, continueranno a beneficiare di un

https://webgate.ec.europa.eu/PRD/PressReleaseDatabase/remote/%22#_ftn1


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considerevole sostegno dell'UE. Gli investimenti a titolo della politica di coesione proseguiranno in

tutte le regioni dell'Europa in quanto molte di esse, anche situate negli Stati membri più ricchi, hanno

difficoltà a realizzare la transizione industriale, a contrastare la disoccupazione e ad affermarsi in

un'economia globalizzata.

Un approccio mirato - Nell'ambito della politica di coesione si distinguono tre categorie di

regioni: le regioni meno sviluppate, quelle in transizione e quelle più sviluppate. Al fine di ridurre le

disparità e di contribuire al recupero delle regioni a basso reddito e a bassa crescita, il PIL pro capite

resta il criterio predominante per l'assegnazione dei fondi. Inoltre nuovi criteri mirano a rispecchiare

più fedelmente la realtà: disoccupazione giovanile, istruzione, basso livello di istruzione, cambiamenti

climatici come pure accoglienza e integrazione dei migranti.

Gestione a livello locale - La politica di coesione per il periodo 2021-2027 è il simbolo di

un'Europa che conferisce autonomia e responsabilità sostenendo le strategie di sviluppo gestite a

livello locale. Le autorità competenti a livello locale, urbano e territoriale saranno maggiormente

coinvolte nella gestione dei fondi dell'UE, mentre l'aumento dei tassi di cofinanziamento accrescerà la

titolarità dei progetti finanziati con fondi dell'UE nelle regioni e nelle città.

3. Meno regole, più chiare e più concise, e un quadro più flessibile

Accesso più semplice ai fondi - La Commissione propone di ridurre la complessità delle

norme nel prossimo bilancio a lungo termine dell'UE, diminuendo la burocrazia e alleggerendo i

controlli per le imprese e gli imprenditori che beneficiano del sostegno dell'UE.

Un corpus unico di norme - Un unico insieme di regole disciplina ora 7 fondi dell'UE,

attuati in collaborazione con gli Stati membri ("gestione concorrente"), facilitando così l'attività dei

gestori dei programmi finanziati tramite fondi dell'UE. Il corpus unico agevolerà inoltre le sinergie, ad

esempio tra i fondi della politica di coesione e i finanziamenti a titolo del Fondo Asilo e migrazione,

nello sviluppo di strategie locali per l'integrazione dei migranti. Il quadro consente anche collegamenti

più efficienti con altri fondi che rientrano negli strumenti di bilancio dell'UE. Gli Stati membri

possono, ad esempio, scegliere di trasferire parte delle risorse della politica di coesione al programma

InvestEU.

Adeguamento alle esigenze - Il nuovo quadro abbina anche la stabilità necessaria per la

pianificazione degli investimenti a lungo termine al giusto livello di flessibilità per far fronte agli

imprevisti. Un riesame intermedio determinerà l'eventuale necessità di modificare i programmi per gli

ultimi 2 anni del periodo di finanziamento e la possibilità di trasferire risorse limitate nell'ambito dei

programmi finanziati grazie ai fondi dell'UE.

4. Un collegamento più saldo con il semestre europeo per migliorare il contesto degli

investimenti in Europa La Commissione propone di rafforzare il collegamento tra la politica di


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coesione e il semestre europeo per creare in Europa un contesto propizio alla crescita e all'attività

imprenditoriale, in modo da realizzare appieno il potenziale degli investimenti nazionali e dell'UE. Il

maggiore sostegno della politica di coesione alle riforme strutturali garantirà il massimo livello di

complementarità e di coordinamento con il nuovo e migliorato programma di sostegno alle riforme.

Prossime tappe

All'insegna di una trasparenza senza precedenti, il 2 maggio la Commissione europea ha presentato per

la prima volta la sua proposta relativa al nuovo bilancio dell'UE a lungo termine sia a prezzi correnti sia

a prezzi costanti 2018. Nella stessa ottica, la Commissione pubblica oggi le dotazioni nazionali degli

Stati membri a favore della politica di coesione a prezzi correnti e a prezzi costanti 2018 (cfr. allegato).

Un accordo in tempi brevi sul bilancio complessivo a lungo termine dell'UE e sulle relative proposte

settoriali è fondamentale per garantire che i fondi dell'UE comincino a produrre risultati concreti

quanto prima possibile.

In caso di ritardi analoghi a quelli verificatisi all'inizio dell'attuale periodo di bilancio 2014-2020,

100 000 progetti finanziati con fondi dell'UE potrebbero non essere avviati nei tempi previsti; molte

scuole non potrebbero avviare i necessari lavori di ristrutturazione; le attrezzature mediche verrebbero

consegnate in ritardo agli ospedali e le piccole imprese dovrebbero pianificare investimenti senza la

necessaria certezza.

Un accordo nel 2019 sul prossimo bilancio a lungo termine consentirebbe una transizione agevole tra

l'attuale bilancio a lungo termine (2014-2020) e quello successivo, garantendo la prevedibilità e la

continuità dei finanziamenti a beneficio di tutti.

ALLEGATO

Dotazioni a favore della politica di coesione per il periodo 2021-2027

La Commissione ha dato prova di una trasparenza senza precedenti presentando per la prima volta, il 2

maggio, la sua proposta relativa al nuovo bilancio dell'UE a lungo termine sia a prezzi correnti sia a

prezzi costanti 2018. Nella stessa ottica, la Commissione pubblica tutti i dati pertinenti relativi ai vari

programmi di spesa sia a prezzi correnti sia a prezzi costanti 2018.


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[1] Prezzi correnti, tenendo conto dell'inflazione.

Testi giuridici e schede informative:

https://ec.europa.eu/commission/publications/regional-development-and-cohesion_en

F.A.Q.:

http://europa.eu/rapid/press-release_MEMO-18-3866_en.htm

(Fonte: Commissione Europea, 29 maggio 2018)

https://webgate.ec.europa.eu/PRD/PressReleaseDatabase/remote/%22#_ftnref1

https://ec.europa.eu/commission/publications/regional-development-and-cohesion_en

http://europa.eu/rapid/press-release_MEMO-18-3866_en.htm


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Council of the European Union

Brussels, 31 May 2018 (OR. en) 9522/18 FSTR 23 REGIO 31 FC 24 CADREFIN 50 IA 151 CODEC 897

Interinstitutional File: 2018/0197 (COD)

PROPOSAL

From: Secretary-General of the European Commission, signed by Mr Jordi AYET PUIGARNAU, Director

date of receipt: 30 May 2018

To: Mr Jeppe TRANHOLM-MIKKELSEN, Secretary-General of the Council of the European Union

No. Cion doc.: COM(2018) 372 final

Subject: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the European Regional Development Fund and on the Cohesion Fund

Delegations will find attached document COM(2018) 372 final.

Encl.: COM(2018) 372 final


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EUROPEAN COMMISSION

Strasbourg, 29.5.2018

COM(2018) 372 final

2018/0197 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the European Regional Development Fund and on the Cohesion Fund

{SEC(2018) 268 final} - {SWD(2018) 282 final} - {SWD(2018) 283 final}


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EXPLANATORY MEMORANDUM

1. CONTEXT OF THE PROPOSAL

On 2 May 2018, the Commission adopted a proposal for the next multi-annual financial

framework for the period 2021-20271. This includes the European Regional Development

Fund ('ERDF') and the Cohesion Fund.

Administrative simplification has been defined as a key objective in reflection paper on EU

finances as well as the ex post evaluation and the public consultation. Experience suggests

that the rules are overcomplex and fragmented, leading to an unnecessary burden on

programme managers and final beneficiaries.

To enable consistency2 with other EU policies under shared management, the rules on

delivery and implementation of ERDF and the Cohesion Fund are governed as far as possible

by the Common Provisions Regulation ('CPR'). This sets out common provisions for seven

shared management funds at the EU level:

CF: Cohesion Fund

EMFF: European Maritime and Fisheries Fund3

ERDF: European Regional Development Fund

ESF+: European Social Fund Plus4

AMIF: Asylum and Migration Fund5

ISF: Internal Security Fund6

BMVI: Border Management and Visa Instrument7

To enable consistency with Horizon Europe, this latter will focus on "European excellence"

(the generation and exploitation of new knowledge) while ERDF will focus on "regional

relevance" (diffusion of existing knowledge and technology to places that need it, embedding

it locally via smart specialization strategies).

1 COM(2018) 322 final, 2.5.2018. 2 For a more comprehensive discussion of synergies, coherence and consistency with

other EU policies, see the impact assessment. 3 [Reference]. 4 [Reference]; except the 'Union Programme for Employment and Social innovation' and

the 'Union Programme for Health'. 5 [Reference]; only shared management components. 6 [Reference].


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To enable consistency with the Connecting Europe Facility (CEF), there is enhanced synergy

and complementarity where the CEF will focus in particular on the "core network" while the

the ERDF and the Cohesion Fund will also provide support for the "comprehensive network",

including ensuring regional and local access thereto as well as transport connections within

urban areas.

To simplify and clarify the legislation, this Regulation defines provisions applicable to both

ERDF and Cohesion Fund intervening under the "Investment for jobs and growth" goal and,

with regard to the ERDF, under the "European territorial cooperation" goal (Interreg).

However, due to the specific nature of programmes under the "European territorial

cooperation" goal (Interreg) which involve several Member States and third countries, a

specific regulation on the "European territorial cooperation" goal (Interreg) Regulation sets

out specific rules additional to the Common Provisions Regulation and this Regulation.

This proposal provides for a date of application as of 1 January 2021 and are presented for a

Union of 27 Member States, in line with the notification by the United Kingdom of its

intention to withdraw from the European Union and Euratom based on Article 50 of the

Treaty on European Union received by the European Council on 29 March 2017.

2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

EU action is justified by Article 174 of The Treaty on the Functioning of the European Union

('TFEU'): "The Union shall develop and pursue its actions leading to the strengthening of its

economic, social and territorial cohesion. In particular, the Union shall aim at reducing

disparities between the levels of development of the various regions and the backwardness of

the least favoured regions".

The aims of the ERDF are set out in Article 176 TFEU: "The European Regional

Development Fund is intended to help to redress the main regional imbalances in the Union

through participation in the development and structural adjustment of regions whose

development is lagging behind and in the conversion of declining industrial regions".

The aims of the Cohesion Fund are set out in Article 177 TFEU: "A Cohesion Fund set up in

accordance with the same procedure shall provide a financial contribution to projects in the

fields of environment and trans-European networks in the area of transport infrastructure".

In addition, Article 174 TFEU mandates particular attention to rural areas, areas affected by

industrial transition, and regions which suffer from severe and permanent natural or

7 [Reference], except the 'Customs Control Equipment Programme'.


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demographic handicaps such as the northernmost regions with very low population density

and island, cross-border and mountain regions.

Article 349 TFEU mandates specific measures to take account of the structural social and

economic situation of the outermost regions, which is compounded by certain specific

features that severely restrain their development.

Subsidiarity and proportionality

The impact assessment8 identified various reasons why action at EU level adds value to action

at national level. These include:

In many countries, the ERDF and the Cohesion Fund represent at least 50% of public

investment – these Member States would not otherwise have the financial capacity

to make such investments.

There are significant potential spillovers across national and regional boundaries, for

example for investments in innovation and SMEs. The EU level has an important

role in delivering these spillovers and preventing underinvestment. Moreover,

investments need to be designed to maximise spillovers.

In most regions, including more developed ones, smart specialisation strategies

(RIS3) represent a consistent strategic framework for investments and bring about

high added value. These were triggered by the strategic programming requirement

for ERDF support and the corresponding pre-condition. In fact, the benefits of such

strategies tend to be highest in the most developed regions (particularly in the Nordic

countries, Austria, Germany, Benelux and France).

Promotion of EU priorities, including structural reforms of labour market,

transport, environment, climate change adaptation and mitigation, energy, education

and social policies and programmes, as well as administrative modernisation.

The ERDF and the Cohesion Fund deliver tangible results in areas which matter

to European citizens - "The EU budget helps to deliver on the things that matter for

Europeans"9. Helping regions adapt to the challenge of globalisation, creating

420,000 jobs and supporting 1.1 million SMEs10, tackling urban poverty – all these

are priorities for Europeans. It is noteworthy that many of these results are

particularly evident outside the cohesion countries.

Moreover, the policy choices in the Regulation are proportionate, for reasons including:

Shared management: programmes are not managed directly by the European Commission, but instead implemented in partnership with the Member States.

8 For more details, see the accompanying Impact Assessment SWD(2018) 282, Chapter

3.1 on subsidiarity and added value of the ERDF and the Cohesion Fund. 9 See the Commission's Reflection Paper on the Future of EU Finances:

https://ec.europa.eu/commission/publications/reflection-paper-future-eu-finances_en. 10 Targets for 2014-20

https://ec.europa.eu/commission/publications/reflection-paper-future-eu-finances_en


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The combined rules (the associated CPR plus this Regulation) are substantially simpler and consolidated compared to the previous period.

3. RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER

CONSULTATIONS AND IMPACT ASSESSMENTS

Ex post evaluation

In terms of the strategy, priorities and impact of the policy, the ex post evaluation noted:

Support to SMEs has high potential impact. However, support should focus more on helping dynamic SMEs grow, on smart specialisation strategies and facilitating regions to move up the economic chain, rather than trying to maintain the economy of the past.

Certain activities tend to have low impact, such as support to large enterprises (the most effective strategy to attract large enterprises is not through financial incentives but by improving local conditions such as the local business environment, etc.). Similarly, airport investments have tended to perform poorly – only in the outermost regions can a strong case be made.

High added value contributions in themes such as the low carbon economy, sustainable urban development and regional co-operation.

These issues have been taken on board in the present ERDF and the Cohesion Fund

Regulation which:

Maintains thematic concentration, with the top priorities: support to innovation, digital economy and SMEs delivered through a smart specialisation strategy; the low carbon and circular economy in line with the overall 25 % commitment for the climate objective.

Makes a list of activities not to be supported, including direct support to large enterprises, airport infrastructure (outside the outermost regions) and some waste management operations (e.g. landfills).

Further develops regional cooperation and sustainable urban development.

In addition, the ex post evaluation had various lessons for the delivery system (including

simplification, flexibility, financial instruments). These are taken on board in the CPR.

Stakeholder consultation

An online public consultation took place between 10 January and 9 March 2018. The

consultation covered cohesion policy, i.e. ERDF and the Cohesion Fund combined with ESF.

In terms of the most important challenges, the largest proportion (94% of respondents) identified ‘reducing regional disparities’ as very important or rather important, followed by ‘reducing unemployment, quality jobs and labour mobility’ and ‘promoting social inclusion and combating poverty’ (91%).


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On the challenges, ‘Fostering research and innovation’ was regarded as the most successfully addressed (by 61%), followed by ‘territorial cooperation’ (59%).

Some 76% of respondents considered that the funds add value to a large or fairly large extent and under 2% that they have no added-value at all.

For preventing the achievement of objectives, complex procedures were seen by a long way as the most important obstacle (86%), followed by audit and control procedures (68%), and lack of flexibility to react to unforeseen circumstances (60%).

For simplification, the most frequent choice was ‘fewer, clearer, shorter rules’ (90%), followed by ‘alignment of rules between EU funds’ (79%) and ‘increased flexibility’, in terms of allocating resources both to and within a programme area (76-77%).

In answering the open questions, respondents on balance strongly supported:

Cohesion policy for all regions (though with a continued focus on the less developed).

Policy innovation, including smart specialisation strategies and smart investment more generally.

The continuation and development of thematic concentration.

A focus on local challenges (especially sustainable urban development).

Interregional cooperation, both cross-border and across Europe. Co-operation at the EU level is essential for smart specialisation – innovation in high tech sectors often depends on exchanges and spill-overs from cooperation between clusters or knowledge hubs across Europe.

These issues are addressed in the ERDF and the Cohesion Fund Regulation which:

Continues to focus on tackling regional disparities and the challenges facing regions across Europe.

Continues and enhances thematic concentration on smart growth via smart specialisation strategies and on the low-carbon and circular economy.

Maintains support for inter-regional cooperation, extending this to smart specialisation.

Promotes local development based on integrated territorial and local strategies and encourages sustainable urban development as well as capacity building in this field.

In addition, the CPR Regulation will provide a framework for the ERDF and the Cohesion

Fund to:

Simplify the complex procedures associated with the ERDF and Cohesion Fund.

Increase flexibility to respond to emerging challenges.

Align rules between the various EU funds covered.


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Impact assessment

This proposal is supported by an impact assessment. However, the main options and preferred

option can only be finalised and the economic impacts assessed once the financial envelopes

and allocation mechanism are decided.

The options deal with a 7% reduction in the budget by:

Option 1: A cut across the board

Option 2: Reducing the contribution to the more developed regions.

Option 3: Maintaining support in key areas (thematic concentration) and reduction in other themes.

Option 3 is the preferred option, for reasons including:

To maintain a focus on the themes of highest EU added value, where evaluation evidence suggests the policy has had the highest impact.

Many of the greatest challenges (globalisation and economic transformation, transition to the low carbon and circular economy, environmental challenges, migration and pockets of urban poverty) increasingly affect many regions across the EU, including more developed ones. EU investment is both necessary and a sign of solidarity.

Maintaining critical mass - investments in the more developed regions are already small in per capita terms.

A vast majority of stakeholders in the public consultation support ERDF in all regions. This scenario ensures also better visibility of cohesion policy funds in all Member States.

The report was submitted twice to the Regulatory Scrutiny Board and received the following

comments:

RSB opinion How addressed

Round 1: Negative opinion

(1) The report does not consider

implications of reducing ERDF and CF

funding capacities.

(2) The report does not explain how

changed objectives and allocation criteria

would redirect the programme.

(3) It does not consider possible (sub-)

options for geographic coverage, regional

(1) A 10% cut in funding is now modelled

in section 3.2, using three different options.

(2) The text and graphs of section 3.2 show

how the programme would be redirected

under the various options.

(3) Three options for geographic and

thematic allocations are outlined in section

3.2, with indications of the main line of


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eligibility and means for financial

allocations under the ERDF/CF.

(4) The report does not sufficiently

explore implications of changes to the

delivery mechanisms.

redirection.

(4) The chapter on delivery mechanisms

has been developed along the lines

requested by the RSB (see section on

comment 8 below).

Round 2: positive opinion, with the

following reservations:

(1) The content and the implications of the

preferred option (thematic concentration)

are not sufficiently clear. The revised

report does not provide sufficient evidence

that thematic concentration will contribute

to reducing regional and national

disparities.

(2) The report does not spell out future

modalities for the implementation of the

'Berlin method' for financial allocation and

reasons for not considering alternative

options.

(3) The report does not describe the scope

and the potential impacts of a European

cross-border mechanism.

(4) The report does not clarify the

consistency/complementarity between the

ERDF/CF and the new Reform Support

Programme.

(1) The content of all options is now

spelled out on pages 28-29 and compared

in tabular form in table 7. Figure 5

considers the thematic impact of the

preferred option by Member State. The

impacts of the various options on regional

and national growth rates are examined and

compared by the QUEST macroeconomic

model in the text on pages 30-31 as well as

in the numbers in table 9 and figures 6 and

7.

(2) The Berlin method is now described in

a box on page 29, along with the reasons

for retaining this method and not

considering alternative options.

(3) The cross-border mechanism is

described on pages 41-42. A report on

potential impacts is quoted and the source

footnoted.

(4) The relationship with the reform

support programme is now detailed on

page 60.

Simplification


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There is evidence of substantial administrative costs associated with the ERDF and the

Cohesion Fund, estimated in a recent study11 at 3% of average programme costs for the ERDF

and 2.2% for the Cohesion Fund. The administrative burden on beneficiaries (including

SMEs) are higher.

Most of the measures simplifying ERDF and Cohesion Fund will be created by the CPR.

Many are difficult to quantify financially in advance, but the study estimated that:

Greater use of simplified cost options (or payments based on conditions) for the ERDF and the Cohesion Fund could substantially reduce total administrative costs – by 20-25% if these options are applied across the board.

The more proportionate approach to control and audits would imply a major reduction in the number of verifications and the audit burden for 'low risk' programmes. This would reduce total administrative costs of the ERDF and the Cohesion Fund by 2-3% and costs for affected programmes by a much greater amount.

E-cohesion and data exchange

The 2014-2020 programmes required a system of electronic data exchange between

beneficiaries and managing authorities as well as between different authorities of the

management and control system. This Regulation builds on this and develops further certain

aspects in terms of gathering data. All data necessary for monitoring progress in

implementation including results and performance of programmes will now be transmitted

electronically and every two months, meaning the open data platform will be updated in

almost real time.

Beneficiary and operations data will similarly be made public in electronic form, on a website

run by the managing authority.

4. BUDGETARY IMPLICATIONS

The Commission's proposal for a multi-annual financial framework foresees an amount of

EUR 273 billion for the ERDF and the Cohesion Fund for the period 2021-2027.

ERDF and CF envelope for 2021-2027 in millions

ERDF and CF total 241 978

European Regional Development Fund (ERDF) 200 629

11 Spatial Foresight & t33, New assessment of administrative costs and burden in ESI

Funds, preliminary results.


20

Investment for jobs and growth 190 752

European territorial cooperation 8 430

Outermost regions and sparsely populated areas 1 447

Cohesion Fund (CF) 41 349

of which contribution to CEF Transport 10 000

5. SUMMARY OF THE CONTENT OF THE REGULATION

Much of the delivery and implementation of the ERDF and the Cohesion Fund is covered in

the CPR. This Regulation should therefore be seen in that context and the main focus is on

key strategic issues, notably:

The main priorities and themes targeted.

The indicator framework to track this.

The approach to specific territories, including sustainable urban development, as well as the outermost regions.

Chapter I – Common provisions

Intervention approach

The ERDF and the Cohesion Fund Regulation takes the policy objectives set in the CPR and

develops them into specific objectives of relevance to the ERDF and the Cohesion Fund,

which can be tracked with appropriate indicators.

It also defines a limited list of non-eligible activities that fall outside the intervention scope of

the Funds. The scope of the Funds and the list of non-eligible activities aim to ensure that

investment support is consistent with evaluation evidence and with the political and

sustainability objectives of the European Union: landfills, airport infrastructure, the tobacco

industry, decommissioning of nuclear facilities will not be supported.

Thematic concentration

In order to ensure that, in a context of budget reduction, there is still a critical mass of

investment, the ERDF and the Cohesion Fund Regulation maintains requirements for thematic

concentration. The majority (65% to 85%) of resources will be concentrated on contributing


21

to the policy objectives which evaluation evidence and the impact assessment suggest have

the highest added value, as well as the greatest contribution to EU priorities:

PO1:"a smarter Europe by promoting innovative and smart economic transformation";

PO2: "a greener, low-carbon Europe by promoting clean and fair energy transition, green and blue investment, the circular economy, climate adaptation and risk prevention and management".

In order to enable flexibility, thematic concentration criteria will apply at national level.

For countries with: minimum % "PO1" minimum % "PO2"

GNI below 75% 35% 30%

GNI 75-100% 45% 30%

GNI above 100% 60% not applicable

PO1 and PO2 min. 85%

Indicators

In order to ensure consistent monitoring of progress towards performance the Regulation also

maintains and refines the common set of output indicators, while adding for the first time a

common set of results indicators. These latter enable reporting results in real time on the Open

Data Platform and comparison across programmes and Member States. They will also feed

into discussions on performance and successful evaluations and facilitate tracking for

obligations related to EU legislation.

Evaluations will be carried out in line with paragraphs 22 and 23 of the Interinstitutional

Agreement of 13 April 201612, where the three institutions confirmed that evaluations of

existing legislation and policy should provide the basis for impact assessments of options for

further action. The evaluations will assess programme effects on the ground based on the

programme indicators/targets and a detailed analysis of the degree to which the programme is

relevant, effective, efficient, provides EU added value and is coherent with other EU policies.

Evaluations will include lessons learned, problems and opportunities to further improve the

actions and their impacts.

12 Interinstitutional Agreement between the European Parliament, the Council of the

European Union and the European Commission on Better Law-Making of 13 April

2016 (OJ L 123, 12.5.2016, p. 1).


22

Chapter II – Specific provisions on the treatment of particular territorial features

The Regulation also provides for an increased focus on sustainable urban development by

dedicating 6% of ERDF resources to this area, delivered through territorial instruments.

Integrated territorial and local development strategies are expected to ensure coherence in

interventions. In order to facilitate and support capacity building of actors, innovative actions,

knowledge, policy development and communication in the area of sustainable urban

development, the Regulation also provides for the setting up of a European Urban Initiative to

be managed by the Commission.

All urban tools are combined in a single programme (the European Urban Initiative)

implemented under direct or indirect management to provide a coherent product to cities. This

includes exchanges, capacity building, pilot actions, and communication.

The Regulation also sets out special measures to accommodate the specific situation of

outermost regions. These include schemes to offset transport costs and investments. The

thematic concentration requirements are also less stringent for these regions than the

nationally applicable rates would suggest.


23

2018/0197 (COD)

Proposal for a



THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular the second

paragraph of Article 177, Article 178 and Article 349 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee13,

Having regard to the opinion of the Committee of the Regions14,

Acting in accordance with the ordinary legislative procedure,

Whereas:

(1) Article 176 of the Treaty on the Functioning of the European Union ('TFEU') provides that

the European Regional Development Fund ('ERDF') is intended to help to redress the main

regional imbalances in the Union. Under that Article and the second and third paragraphs of

Article 174 of the TFEU, the ERDF is to contribute to reducing disparities between the

levels of development of the various regions and to reducing the backwardness of the least

favoured regions, among which particular attention is to be paid to regions which suffer

from severe and permanent natural or demographic handicaps such as the northernmost

regions with very low population density and island, cross-border and mountain regions.

(2) The Cohesion Fund was set up in order to contribute to the overall objective of

strengthening economic, social and territorial cohesion of the Union by providing financial

contributions in the fields of environment and trans-European networks in the area of

transport infrastructure ('TEN-T'), as set out in Regulation (EU) No 1315/2013 of the

European Parliament and of the Council15.

(3) Regulation (EU) 2018/XXX of the European Parliament and of the Council [new CPR]16

sets out common rules applicable to various funds including the European Regional

Development Fund ('ERDF'), the European Social Fund Plus ('ESF+'), the Cohesion Fund,

the European Maritime and Fisheries Fund ('EMFF'), the Asylum and Migration Fund

13 OJ C , , p. . 14 OJ C , , p. . 15 Regulation (EU) No 1315/2013 of the European Parliament and of the Council of 11

December 2013 on Union guidelines for the development of the trans-European transport

network and repealing Decision No 661/2010/EU (OJ L 348, 20.12.2013, p. 1). 16 [Full reference - new CPR].


24

('AMIF'), the Internal Security Fund ('ISF') and the Border Management and Visa

Instrument ('BMVI') which operate under a common framework ('the Funds').

(4) In order to simplify the rules applicable to both the ERDF and the Cohesion Fund for the

2014-2020 programming period, a single Regulation should set out the applicable rules

covering both funds.

(5) Horizontal principles as set out in Article 3 of the Treaty on European Union ('TEU') and in

Article 10 of the TFEU, including principles of subsidiarity and proportionality as set out in

Article 5 of the TEU, should be respected in the implementation of the ERDF and the

Cohesion Fund, taking into account the Charter of Fundamental Rights of the European

Union. Member States should also respect the obligations of the UN Convention on the

Rights of Persons with Disabilities and ensure accessibility in line with its article 9 and in

accordance with the Union law harmonising accessibility requirements for products and

services. Member States and the Commission should aim at eliminating inequalities and at

promoting equality between men and women and integrating the gender perspective, as well

as at combating discrimination based on sex, racial or ethnic origin, religion or belief,

disability, age or sexual orientation. The Funds should not support actions that contribute to

any form of segregation. The objectives of the ERDF and the Cohesion Fund should be

pursued in the framework of sustainable development and the Union's promotion of the aim

of preserving, protecting and improving the quality of the environment as set out in Articles

11 and 191(1) of the TFEU, taking into account the polluter pays principle. In order to

protect the integrity of the internal market, operations benefitting undertakings shall comply

with State aid rules as set out in Articles 107 and 108 of the TFEU.

(6) It is necessary to cover provisions for the ERDF for its support both to the Investment for

jobs and growth goal and the European territorial cooperation goal (Interreg)

(‘ETC/Interreg’).

(7) In order to identify the type of activities which can be supported by the ERDF and the

Cohesion Fund, specific policy objectives for providing support from those funds should be

laid down to ensure that they contribute to one or more of common policy objectives set out

in Article 4(1) of Regulation (EU) 2018/xxx [new CPR] .

(8) In an increasingly interconnected world and in view of the demographic and migration

dynamics, it is clear that Union migration policy requires a common approach that relies on

the synergies and complementarities of the different funding instruments. In order to ensure

coherent, strong and consistent support for solidarity and responsibility-sharing efforts

between Member States in managing migration, the ERDF should provide support to

facilitate the long-term integration of migrants.

(9) In order to support the efforts of Member States and regions in facing new challenges and

ensuring a high level of security for their citizens as well as the prevention of radicalisation,

while relying on the synergies and complementarities with other Union policies, investments

under the ERDF should contribute to security in areas where there is a need to ensure safe

and secure public spaces and critical infrastructure, such as transport and energy.

(10) In addition, investments under the ERDF should contribute to the development of a

comprehensive high-speed digital infrastructure network, and to promoting clean and

sustainable multimodal urban mobility.


25

(11) As a result of the overall aim of the Cohesion Fund provided for in the TFEU, it is necessary

to set out and limit the specific objectives to which the Cohesion Fund should support.

(12) In order to improve the overall administrative capacity of institutions and governance in

Member States implementing programmes under the Investment for jobs and growth goal, it

is necessary to enable supporting measures under all of the specific objectives.

(13) In order to encourage and boost cooperation measures, within programmes implemented

under the Investment for jobs and growth goal, it is necessary to enhance cooperation

measures with partners within a given Member State or between different Member States in

relation to support provided under all of the specific objectives. Such enhanced cooperation

is additional to the cooperation under ETC/Interreg and should in particular support

cooperation among structured partnerships with a view to implementing regional strategies

as referred to in the Communication from the Commission ‘Strengthening Innovation in

Europe's Regions: Strategies for resilient, inclusive and sustainable growth’17. Partners may

therefore come from any region in the Union, but may also include cross-border regions and

regions which are all covered by a macro-regional or sea-basin strategy or a combination of

the two.

(14) Reflecting the importance of tackling climate change in line with the Union's commitments

to implement the Paris Agreement and the United Nations Sustainable Development Goals,

the Funds will contribute to mainstream climate actions and to the achievement of an overall

target of 25 % of the EU budget expenditure supporting climate objectives. Operations

under the ERDF are expected to contribute 30 % of the overall financial envelope of the

ERDF to climate objectives. Operations under the Cohesion Fund are expected to contribute

37% of the overall financial envelope of the Cohesion Fund to climate objectives.

(15) In order to enable the ERDF to provide support under ETC/Interreg in terms of both

investments in infrastructure and the associated investments, training and integration

activities, it is necessary to provide that the ERDF may also provide support for activities

under the specific objectives of the ESF+, set up under Regulation (EU) 2018/XXX of the

European Parliament and of the Council [new ESF+]18.

(16) In order to concentrate the use of limited resources in the most efficient way, the support

given to by the ERDF to productive investments under the relevant specific objective,

should be limited to only micro, small and medium-sized enterprises ('SMEs') within the

meaning of Commission Recommendation 2003/361/EC19, except where investments

involve cooperation with SMEs in research and innovation activities.

(17) The ERDF should help to redress the main regional imbalances in the Union and to reduce

disparities between the levels of development of the various regions and the backwardness

of the least favoured regions including those facing challenges due to the decarbonisation

commitments. ERDF support under the Investment for jobs and growth goal should

therefore be concentrated on key Union priorities in line with policy objectives laid down in

17 Communication from the Commission to the European Parliament, the Council, the European

Economic and Social Committee and the Committee of Regions of 8 July 2017 -

COM(2017) 376 final. 18 [Full reference - new ESF+]. 19 Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of

micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).


26

Regulation (EU) 2018/xxx [new CPR]. Therefore support from the ERDF should be

concentrated on the policy objectives of 'a smarter Europe by promoting innovative and

smart economic transformation' and 'a greener, low-carbon Europe by promoting clean and

fair energy transition, green and blue investment, the circular economy, climate adaptation

and risk prevention and management'. That thematic concentration should be attained at

national level while allowing for flexibility at the level of individual programmes and

between the three groups of Member States formed according to respective gross national

income. In addition, the methodology to classify Member States should be set out in detail

taking into account the specific situation of the outermost regions.

(18) In order to concentrate the support on key Union priorities, it is also appropriate that

thematic concentration requirements should be respected throughout the programming

period, including in the case of transfer between priorities within a programme or between

programmes.

(19) This Regulation should set out the different types of activities the costs of which may be

supported by means of investments from the ERDF and the Cohesion Fund, under their

respective objectives as set out in the TFEU. The Cohesion Fund should be able to support

investments in the environment and in TEN-T. With regard to the ERDF, the list of activities

should be simplified and it should be able to support investments in infrastructure,

investments in relation to access to services, productive investments in SME's, equipment,

software and intangible assets, as well as measures with regard to information,

communication, studies, networking, cooperation, exchange of experiences and activities

involving clusters. In order to support the programme implementation, both funds should

also be able to support technical assistance activities. Finally, in order to support provide for

a broader range of interventions for Interreg programmes, the scope should be enlarged to

also include the sharing a broad range of facilities and human resources and costs linked to

measures within the scope of the ESF+.

(20) Trans-European transport networks projects in accordance with Regulation (EU) No

1316/2013 shall continue to be financed from the Cohesion Fund via both shared

management and the direct implementation mode under the Connecting Europe

Facility ('CEF').

(21) At the same time, it is important to clarify those activities which fall outside the scope of the

ERDF and the Cohesion Fund, including investments to achieve the reduction of greenhouse

gas emissions from activities listed in Annex I to Directive 2003/87/EC of the European

Parliament and of the Council20 in order to avoid duplication of available financing, which

already exists as part of that Directive. In addition, it should be explicitly set out that the

overseas countries and territories listed in Annex II of the TFEU are not eligible for support

from the ERDF and the Cohesion Fund.

(22) Member States should regularly transmit to the Commission information on the progress

made using the common output and result indicators set out in Annex I. Common output and

result indicators could be complemented, where necessary by programme-specific output

and result indicators. The information provided by the Member States should be the basis on

which the Commission should report on the progress towards the achievement of specific

20 Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003

establishing a scheme for greenhouse gas emission allowance trading within the Community

and amending Council Directive 96/61/EC (OJ L 275, 25.10.2003, p. 32).


27

objectives over the whole programming period using for this purpose a core set of indicators

set out in Annex II.

(23) Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making

of 13 April 2016, there is a need to evaluate the Funds on the basis of information collected

through specific monitoring requirements, while avoiding overregulation and administrative

burdens, in particular on Member States. These requirements, where appropriate, can

include measurable indicators, as a basis for evaluating the effects of the Funds on the

ground.

(24) In order to maximise the contribution to territorial development, actions in this field should

be based on integrated territorial strategies including in urban areas. Therefore, the ERDF

support should be delivered through the forms set out in Article 22 of Regulation (EU)

2018/xxxx [new CPR] ensuring appropriate involvement of local, regional and urban

authorities.

(25) Within the framework of sustainable urban development, it is considered necessary to

support integrated territorial development in order to more effectively tackle the economic,

environmental, climate, demographic and social challenges affecting urban areas, including

functional urban areas, while taking into account the need to promote urban-rural linkages.

The principles for selecting the urban areas where integrated actions for sustainable urban

development are to be implemented, and the indicative amounts for those actions, should be

set out in the programmes under the Investment for jobs and growth goal with a minimum

target of 6% of the ERDF resources allocated at national level for that purpose. It should

also be established that this percentage should be respected throughout the programming

period in the case of transfer between priorities within a programme or between

programmes, including at the mid-term review.

(26) In order to identify or provide solutions which address issues relating to sustainable urban

development at Union level, the Urban Innovative Actions in the area of sustainable urban

development should be replaced by a European Urban Initiative, to be implemented under

direct or indirect management. That initiative should cover all urban areas and support the

Urban Agenda for the European Union21.

(27) Specific attention should be paid to outermost regions, namely by adopting measures under

Article 349 of the TFEU providing for an additional allocation for the outermost regions to

offset the additional costs incurred in these regions as a result of one or several of the

permanent restraints referred to in Article 349 of the TFEU, namely remoteness, insularity,

small size, difficult topography and climate, economic dependence on a few products, the

permanence and combination of which severely restrain their development. This allocation

can cover investments, operating costs and public service obligations aimed at offsetting

additional costs caused by such restraints. Operating aid may cover expenditure on freight

transport services and start-up aid for transport services as well as expenditure on operations

linked to storage constraints, the excessive size and maintenance of production tools, and the

lack of human capital in the local market. In order to protect the integrity of the internal

market, and as is the case for all operations co-financed by the ERDF and the Cohesion

Fund, any ERDF support to the financing of operating and investment aid in the outermost

regions should comply with State aid rules as set out in Articles 107 and 108 of the TFEU.

21 Council Conclusions on an Urban Agenda for the EU of 24 June 2016.


28

(28) In order to amend certain non-essential elements of this Regulation, the power to adopt acts

in accordance with Article 290 of the TFEU should be delegated to the Commission in

respect of making adjustments, where justified, to the Annex II which sets out list of

indicators used as a basis to provide information to the European Parliament and to the

Council on performance of programmes. It is of particular importance that the Commission

carry out appropriate consultations during its preparatory work, including at expert level,

and that those consultations be conducted in accordance with the principles laid down in the

Interinstitutional Agreement on Better Law-Making of 13 April 201622. In particular, in

order to ensure equal participation in the preparation of delegated acts, the European

Parliament and the Council receive all documents at the same time as Member States’

experts, and their experts systematically have access to meetings of Commission expert

groups dealing with the preparation of delegated acts.

(29) Since the objective of this Regulation, namely to reinforce economic, social and territorial

cohesion by redressing the main regional imbalances in the Union, cannot be sufficiently

achieved by the Member States but can rather, by reason of the extent of the disparities

between the levels of development of the various regions and the backwardness of the least

favoured regions and the limit on the financial resources of the Member States and regions,

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 TEU. In accordance with the principle

of proportionality, as set out in that Article, this Regulation does not go beyond what is

necessary in order to achieve that objective,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

Common provisions

Article 1

Subject matter

1. This Regulation sets out the specific objectives and the scope of support from the European

Regional Development Fund ('ERDF') with regard to the Investment for jobs and growth

goal and the European territorial cooperation goal (Interreg) referred to in Article [4(2)] of

Regulation (EU) 2018/xxxx [new CPR].

2. This Regulation also sets out the specific objectives and the scope support from the

Cohesion Fund with regard to the Investment for jobs and growth goal ('the Investment for

jobs and growth goal') referred to in [point (a) of Article 4(2)] of Regulation (EU)

2018/xxxx [new CPR].

22 Interinstitutional Agreement between the European Parliament, the Council of the European

Union and the European Commission on Better Law-Making (OJ L 123, 12.5.2016, p. 1).


29

Article 2

Specific objectives for the ERDF and the Cohesion Fund

1. In accordance with the policy objectives set out in Article [4(1)] of Regulation (EU)

2018/xxxx[new CPR], the ERDF shall support the following specific objectives:

(a) 'a smarter Europe by promoting innovative and smart economic transformation'

('PO 1') by:

(i) enhancing research and innovation capacities and the uptake of advanced

technologies;

(ii) reaping the benefits of digitisation for citizens, companies and governments;

(iii) enhancing growth and competitiveness of SMEs;

(iv) developing skills for smart specialisation, industrial transition and

entrepreneurship;

(b) 'a greener, low-carbon Europe by promoting clean and fair energy transition, green

and blue investment, the circular economy, climate adaptation and risk prevention

and management ('PO 2') by:

(i) promoting energy efficiency measures;

(ii) promoting renewable energy;

(iii) developing smart energy systems, grids and storage at local level;

(iv) promoting climate change adaptation, risk prevention and disaster resilience;

(v) promoting sustainable water management;

(vi) promoting the transition to a circular economy;

(vii) enhancing biodiversity, green infrastructure in the urban environment, and

reducing pollution;

(c) 'a more connected Europe by enhancing mobility and regional ICT connectivity'

('PO 3') by:

(i) enhancing digital connectivity;

(ii) developing a sustainable, climate resilient, intelligent, secure and intermodal

TEN-T;

(iii) developing sustainable, climate resilient, intelligent and intermodal national,

regional and local mobility, including improved access to TEN-T and cross-

border mobility;

(iv) promoting sustainable multimodal urban mobility;

(d) 'a more social Europe implementing the European Pillar of Social Rights' ('PO 4') by:


30

(i) enhancing the effectiveness of labour markets and access to quality

employment through developing social innovation and infrastructure;

(ii) improving access to inclusive and quality services in education, training and

life long learning through developing infrastructure;

(iii) increasing the socioeconomic integration of marginalised communities,

migrants and disadvantaged groups, through integrated measures including

housing and social services;

(iv) ensuring equal access to health care through developing infrastructure,

including primary care;

(e) 'a Europe closer to citizens by fostering the sustainable and integrated development

of urban, rural and coastal areas and local initiatives' ('PO 5') by:

(i) fostering the integrated social, economic and environmental development,

cultural heritage and security in urban areas;

(ii) fostering the integrated social, economic and environmental local development,

cultural heritage and security, including for rural and coastal areas also through

community-led local development.

2. The Cohesion Fund shall support PO 2 and specific obejctives under PO 3 set out in points

(ii), (iii) and (iv) of paragraph 1(c).

3. With regard to the specific objectives set out in parargraph 1, the ERDF or the Cohesion

Fund, as appropriate, may also support activities under the Investment for jobs and growth

goal, where they either:

(f) improve the capacity of programme authorities, and bodies linked to the

implementation of the Funds;

(g) enhance cooperation with partners both within and outside a given Member State.

Cooperation referred to in point (b) shall include cooperation with partners from cross-border

regions, from non-contiguous regions or from regions located in the territory covered by a

macro-regional or sea-basin strategy or a combination thereof.

Article 3

Thematic concentration of ERDF support

1. With regard to programmes implemented under the Investment for jobs and growth goal,

the total ERDF resources in each Member State shall be concentrated at national level in

accordance with paragraphs 3 and 4.

2. With regard to the thematic concentration of support for Member States comprising

outermost regions, the ERDF resources allocated specifically to programmes for the

outermost regions and those allocated to all other regions shall be treated separately.

3. Member States shall be classified, in terms of their gross national income ratio, as follows:


31

(a) those with a gross national income ratio equal to or above 100 % of the EU average

('group 1');

(b) those with a gross national income ratio equal to or above 75 % and below 100 % of

the EU average ('group 2');

(c) those with a gross national income ratio below 75 % of the EU average ('group 3').

For the purposes of this Article, the gross national income ratio means the ratio between the

gross national income per capita of a Member State, measured in purchasing power standards

and calculated on the basis of Union figures for the period from 2014 to 2016, and the average

gross national income per capita in purchasing power standards of the 27 Member States for

that same reference period.

With regard to programmes under the Investment for Jobs and growth goal for the outermost

regions, they shall be classified as falling within group 3.

4. Member States shall comply with the following thematic concentration requirements:

(d) Member States of group 1 shall allocate at least 85 % of their total ERDF resources

under priorities other than for technical assistance to PO 1 and PO 2, and at least

60 % to PO 1;

(e) Member States of group 2 shall allocate at least 45 % of their total ERDF resources

under priorities other than for technical assistance to PO 1, and at least 30 % to PO 2;

(f) Member States of group 3 shall allocate at least 35 % of their total ERDF resources

under priorities other than for technical assistance to PO 1, and at least 30 % to PO 2.

5. The thematic concentration requirements set out in paragraph 4 shall be complied with

throughout the entire programming period, including when ERDF allocations are

transferred between priorities of a programme or between programmes and at the mid-term

review in accordance with Article [14] of Regulation (EU) 2018/xxxx [new CPR].

6. Where the ERDF allocation with regard to PO 1 or PO 2 or both of a given programme is

reduced following a decommitment under Article [99] of Regulation (EU) 2018/xxxx [new

CPR], or due to financial corrections by the Commission in accordance with Article [98] of

that Regulation, compliance with the thematic concentration requirement set out in

paragraph 4 shall not be re-assessed.

Article 4

Scope of support from the ERDF

1. The ERDF shall support the following:

(a) investments in infrastructure;

(b) investments in access to services;

(c) productive investments in SMEs;

(d) equipment, software and intangible assets;


32

(e) information, communication, studies, networking, cooperation, exchange of

experience and activities involving clusters;

(f) technical assistance.

In addition, productive investments in enterprises other than SMEs can be supported when

they involve cooperation with SMEs in research and innovation activities supported under

point (a)(i) of Article 2 (1).

In order to contribute to the specific objective under PO 1 set out in point (a) (iv) of

Article 2(1), the ERDF shall also support training, life long learning and education activities.

2. Under the European territorial cooperation goal (Interreg), the ERDF may also support:

(a) sharing of facilities and of human resources;

(b) accompanying soft investments and other activities linked to PO 4 under the

European Social Fund Plus as set out in Regulation (EU) 2018/xxxx [new ESF+].

Article 5

Scope of support from the Cohesion Fund

1. The Cohesion Fund shall support the following:

(a) investments in the environment, including investments related to sustainable

development and energy presenting environmental benefits;

(b) investments in TEN-T;

(c) technical assistance.

Member States shall ensure an appropriate balance between investments under points (a) and

(b).

2. The amount of the Cohesion Fund transferred to the Connecting Europe Facility23 shall be

used for TEN-T projects.

Article 6

Exclusion from the scope of the ERDF and the Cohesion Fund

1. The ERDF and the Cohesion Fund shall not support:

(a) the decommissioning or the construction of nuclear power stations;

(b) investment to achieve the reduction of greenhouse gas emissions from activities

listed in Annex I to Directive 2003/87/EC of the European Parliament and of the

Council24;;

23 Reference


33

(c) the manufacturing, processing and marketing of tobacco and tobacco products;

(d) undertakings in difficulty, as defined in point 18 of Article 2 of Commission

Regulation (EU) No 651/201425;

(e) investment in airport infrastructure except for outermost regions;

(f) investment in disposal of waste in landfill;

(g) investment in facilities for the treatment of residual waste;

(h) investment related to production, processing, distribution, storage or combustion of

fossil fuels, with the exception of investment related to clean vehicles as defined in

Article 4 of Directive 2009/33/EC of the European Parliament and of the Council26;

(i) investment in broadband infrastructure in areas in which there are at least two

broadband networks of equivalent category;

(j) funding for the purchase of rolling stock for use in rail transport, except if it is linked

to the:

(i) discharge of a publicly tendered public service obligation under Regulation

1370/2007 as amended;

(ii) provision of rail transport services on lines fully opened to competition, and the

beneficiary is a new entrant eligible for funding under Regulation (EU)

2018/xxxx [Invest EU regulation].

2. In addition, the Cohesion Fund shall not support investment in housing unless related to

the promotion of energy efficiency or renewable energy use.

3. Overseas countries and territories shall not be eligible for support from the ERDF or the

Cohesion Fund, but may participate in Interreg programmes in accordance with the

conditions set out in Regulation (EU) 2018/xxxx [ETC (Interreg].

Article 7

Indicators

1. Common output and result indicators, as set out in the Annex I with regard to the ERDF

and to the Cohesion Fund, and, where necessary, programme-specific output and result

indicators shall be used in accordance with point (a) of the second subparagraph of

24 Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003

establishing a scheme for greenhouse gas emission allowance trading within the Community

and amending Council Directive 96/61/EC. 25 Commission Regulation (EU) No 651/2014 of 17 June 2014 declaring certain categories of

aid compatible with the internal market in application of Articles 107 and 108 of the Treaty

(OJ L 187, 26.6.2014, p. 1). 26 Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the

promotion of clean and energy-efficient road transport vehicles (OJ L 120, 15.5.2009, p. 5).


34

Article [12(1)], point (d)(ii) of Article [17(3)] and point (b) of Article [37(2)] of Regulation

(EU) 2018/xxxx [new CPR].

2. For output indicators, baselines shall be set at zero. The milestones set for 2024 and targets

set for 2029 shall be cumulative.

3. In compliance with its reporting requirement pursuant to Article [38(3)(e)(i)] of the

Financial Regulation, the Commission shall present to the European Parliament and the

Council information on performance in accordance with Annex II.

4. The Commission is empowered to adopt delegated acts in accordance with Article 13 to

amend Annex I in order to make the necessary adjustments to the list of indicators to be

used by Member States and to amend Annex II in order to make the necessary adjustments

to the information on performance to be provided to the European Parliament and the

Council.

CHAPTER II

Specific provisions on the treatment of particular territorial features

Article 8

Integrated territorial development

1. The ERDF may support integrated territorial development within programmes under both

goals referred to in Article 4(2) of Regulation (EU) 2018/xxxx [new CPR] in accordance

with Chapter II of Title III of that Regulation[new CPR].

2. Member States shall implement integrated territorial development, supported by the ERDF,

exclusively through the forms referred to in Article [22] of Regulation (EU)

2018/xxxx [new CPR].

Article 9

Sustainable urban development

1. The ERDF shall support integrated territorial development based on territorial strategies in

accordance with Article [23] of Regulation (EU) 2018/xxxx [new CPR] focused on urban

areas ('sustainable urban development') within programmes under both goals referred to in

Article 4(2) of that Regulation.

2. At least 6% of the ERDF resources at national level under the Investment for jobs and

growth goal, other than for technical assistance, shall be allocated to sustainable urban

development in the form of community-led local development, integrated territorial

investments or another territorial tool under PO5.

The programme or programmes concerned shall set out the planned amounts for this purpose

under point (d)(vii) of Article [17(3)] of Regulation (EU) 2018/xxxx [new CPR].

3. The percentage allocated to sustainable urban development under paragraph 2 shall be

complied with throughout the entire programming period when ERDF allocations are


35

transferred between priorities of a programme or between programmes, including at the

mid-term review in accordance with Article [14] of Regulation (EU) 2018/xxxx [new

CPR].

4. Where the ERDF allocation is reduced following a decommitment under Article [99] of

Regulation (EU) No [new CPR], or due to financial corrections by the Commission in

accordance with Article [98] of that Regulation, compliance with paragraph 2 shall not be

re-assessed.

Article 10

European Urban Initiative

1. The ERDF shall also support the European Urban Initiative, implemented by the

Commission in direct and indirect management.

This initiative shall cover all urban areas and shall support the Urban Agenda of the Union.

2. The European Urban Initiative shall consist of the following three strands, all with regard

to sustainable urban development:

(a) support of capacity-building;

(b) support of innovative actions;

(c) support of knowledge, policy development and communication.

Upon request from one or more Member States, the European Urban Initiative may also

support inter-governmental cooperation on urban matters.

Article 11

Outermost regions

1. The specific additional allocation for the outermost regions shall be used to offset the

additional costs incurred in these regions as a result of one or several of the permanent

restraints to their development listed in Article 349 of the TFEU.

2. The allocation referred to in paragraph 1 shall support:

(a) the activities within the scope as set out in Article 4;

(b) by way of derogation from Article 4, measures covering operating costs with a view

to offsetting the additional costs incurred in the outermost regions as a result of one

or several of the permanent restraints to their development listed in Article 349 of the

TFEU.

The allocation referred to in paragraph 1 may also support expenditure covering compensation

granted for the provision of public service obligation and contracts in the outermost regions.

3. The allocation, referred to in paragraph 1, shall not support:

(a) operations involving products listed in Annex I to the TFEU;


36

(b) aid for the transport of persons authorised under point (a) of Article 107(2) of the

TFEU;

(c) tax exemptions and exemption of social charges

(d) public services obligations not discharged by undertakings and where the State acts

by exercising public power.

CHAPTER III

Final provisions

Article 12

Transitional provisions

Regulations (EC) No 1300/2013 and 1301/2013 or any act adopted thereunder shall continue to

apply to programmes and operations supported by the ERDF or the Cohesion Fund under the 2014-

2020 programming period.

Article 13

Exercise of the delegation

1. The power to adopt delegated acts is conferred on the Commission subject to the

conditions laid down in this Article.

2. The power to adopt delegated acts referred to in Article 7(4) shall be conferred on the

Commission for an indeterminate period of time from the date of the entry into force of

this Regulation.

3. The delegation of power referred to in Article 7(4) may be revoked at any time by the

European Parliament or by the Council. A decision to revoke shall put an end to the

delegation of the power specified in that decision. It shall take effect the day following the

publication of the decision in the Official Journal of the European Union or at a later date

specified therein. It shall not affect the validity of any delegated acts already in force.

4. Before adopting a delegated act, the Commission shall consult experts designated by each

Member State in accordance with the principles laid down in the Interinstitutional

Agreement on Better Law-Making of 13 April 201627.

5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the

European Parliament and to the Council.

6. A delegated act adopted pursuant to Article 7(4) shall enter into force only if no objection

has been expressed either by the European Parliament or by the Council within a period of

two months of notification of that act to the European Parliament and the Council or if,

27 OJ L 123, 12.5.2016, p. 13.


37

before the expiry of that period, the European Parliament and the Council have both

informed the Commission that they will not object. That period shall be extended by two

months at the initiative of the European Parliament or of the Council.

Article 14

Entry into force

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 Strasbourg,

For the European Parliament For the Council

The President The President


38


Brussels, 30 May 2018 (OR. en) 9522/18 ADD 1 FSTR 23 REGIO 31 FC 24 CADREFIN 50 IA 151 CODEC 897


PROPOSAL




No. Cion doc.: COM(2018) 372 final - ANNEX 1

Subject: ANNEX to the Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the European Regional Development Fund and on the Cohesion Fund

Delegations will find attached document COM(2018) 372 final - ANNEX 1.

Encl.: COM(2018) 372 final - ANNEX 1


39

EUROPEAN COMMISSION


COM(2018) 372 final

ANNEX 1

ANNEX

to the

Proposal for a





40

ANNEX I

Common output and result indicators for the ERDF and the Cohesion Fund - Article 7(1)28

Table 1: Common output and result indicators for ERDF (Investment for jobs and growth and Interreg) and the Cohesion Fund** Policy objective Outputs Results

(1) (2) (3)

1. A smarter

Europe by

promoting

innovative and

smart economic

transformation

RCO2901 - Enterprises supported (of which: micro, small, medium,

large)*

RCO 02 - Enterprises supported by grants*

RCO 03 - Enterprises supported by financial instruments*

RCO 04 - Enterprises with non-financial support*

RCO 05 - Start-ups supported*

RCO 06 - Researchers working in supported research facilities

RCO 07 - Research institutions participating in joint research

projects

RCO 08 - Nominal value of research and innovation equipment

RCO 10 - Enterprises cooperating with research institutions

RCO 96 – Interregional investments in EU projects*

RCR3001 - Jobs created in supported entities*

RCR 02 - Private investments matching public support (of which: grants, financial

instruments)*

RCR 03 – SMEs introducing product or process innovation*

RCR 04 - SMEs introducing marketing or organisational innovation*

RCR 05 - SMEs innovating in-house*

RCR 06 - Patent applications submitted to European Patent Office*

RCR 07 - Trademark and design applications*

RCR 08 - Public-private co-publications

28 To be used, for the Investment for jobs and growth and Interreg in accordance with point (a) of the second subparagraph of Article [12(1)], and point (b) of Article [36(2) [data transmission] of

Regulation (EU) [new CPR] and, for Investment for jobs and growth in accordance with point (d)(ii) of Article [17 (3)] of the Regulation (EU) [new CPR] and, for Interreg, in accordance with

point (e)(ii) of Article 17 (4) of the of the Regulation (EU) [new ETC regulation]

29 RCO: Regional Policy Common Output Indicator. 30 RCR: Regional Policy Common Result Indicator.


41

RCO 12 - Enterprises supported to digitise their products and

services

RCO 13 - Digital services and products developed for enterprises

RCO 14 - Public institutions supported to develop digital services

and applications

RCR 11 - Users of new public digital services and applications*

RCR 12 - Users of new digital products, services and applications developed by

enterprises*

RCR 13 - Enterprises reaching high digital intensity*

RCR 14 - Enterprises using public digital services*

RCO 15 - Capacity of incubation created*

RCR 16 - High growth enterprises supported*

RCR 17 - 3-year-old enterprises surviving in the market*

RCR 18 - SMEs using incubator services one year after the incubator creation

RCR 19 - Enterprises with higher turnover

RCR 25 - Value added per employee in supported SMEs*

RCO 16 - Stakeholders participating in entrepreneurial discovery

process

RCO 17 - Investments in regional/ local ecosystems for skills

development

RCO 101 – SMEs investing in skills development

RCO 102 - SMEs investing in training management systems*

RCR 24 - SMEs benefiting from activities for skills development delivered by a local/

regional ecosystem

RCR 97 – Apprenticeships supported in SMEs

RCR 98 – SMEs staff completing Continuing Vocational Education and Training

(CVET) (by type of skill: technical, management, entrepreneurship, green, other)

RCR 99 – SMEs staff completing alternative training for knowledge intensive service

activities (KISA) (by type of skills: technical, management, entrepreneurship, green,

other)

RCR 100 – SMEs staff completing formal training for skills development (KISA) (by

type of skills: technical, management, entrepreneurship, green, other)*


42

2. A greener,

low-carbon

Europe by

promoting clean

and fair energy

transition,

green and blue

investment, the

circular

economy,

climate

adaptation and

risk prevention

and

management

RCO 18 - Households supported to improve energy performance of

their dwelling

RCO 19 - Public buildings supported to improve energy

performance

RCO 20 - District heating network lines newly constructed or

improved

RCR 26 - Annual final energy consumption (of which: residential, private non-

residential, public non-residential)

RCR 27 - Households with improved energy performance of their dwellings

RCR 28 - Buildings with improved energy classification (of which: residential,

private non-residential, public non-residential)

RCR 29 - Estimated greenhouse gas emissions*

RCR 30 - Enterprises with improved energy performance

RCO 22 - Additional production capacity for renewable energy (of

which: electricity, thermal)

RCO 97 – Number of energy communities and renewable energy

communities supported*

RCR 31 - Total renewable energy produced (of which: electricity, thermal)

RCR 32 – Renewable energy: Capacity connected to the grid (operational)*

RCO 23 - Digital management systems for smart grids

RCO 98 – Households supported to use smart energy grids

RCR 33 - Users connected to smart grids

RCR 34 - Roll-out of projects for smart grids

RCO 24 - New or upgraded disaster monitoring, preparedness,

warning and response systems*

RCO 25 - Coastal strip, river banks and lakeshores, and landslide

protection newly built or consolidated to protect people, assets and

the natural environment

RCO 26 - Green infrastructure built for adaptation to climate change

RCO 27 - National/ regional/ local strategies addressing climate

change adaptation

RCR 35 - Population benefiting from flood protection measures

RCR 36 - Population benefiting from forest fires protection measures

RCR 37 - Population benefiting from protection measures against climate related

natural disasters (other than floods and forest fires)

RCR 96 – Population benefiting from protection measures against non-climate related

natural risks and risks related to human activities*

RCR 38 - Estimated average response time to disaster situations*


43

RCO 28 - Areas covered by protection measures against forest fires

RCO 30 - Length of new or consolidated pipes for household water

connections

RCO 31 - Length of sewage collection networks newly constructed

or consolidated

RCO 32 - New or upgraded capacity for waste water treatment

RCR 41 - Population connected to improved water supply

RCR 42 - Population connected to at least secondary waste water treatment

RCR 43 - Water losses

RCR 44 - Waste water properly treated

RCO 34 - Additional capacity for waste recycling

RCR 46 - Population served by waste recycling facilities and small waste management

systems

RCR 47 - Waste recycled

RCR 48 - Recycled waste used as raw materials

RCR 49 - Waste recovered

RCO 36 - Surface area of green infrastructure supported in urban

areas

RCO 37 - Surface of Natura 2000 sites covered by protection and

restoration measures in accordance with the prioritised action

framework

RCR 50 - Population benefiting from measures for air quality

RCR 95 -Population having access to new or upgraded green infrastructure in urban

areas

RCR 51 - Population benefiting from measures for noise reduction

RCR 52 - Rehabilitated land used for green areas, social housing, economic or


44

RCO 99 - Surface area outside Natura 2000 sites covered by

protection and restoration measures

RCO 38 - Surface area of rehabilitated land supported

RCO 39 - Systems for monitoring air pollution installed

community activities


45

3. A more

connected

Europe by

enhancing

mobility and

regional ICT

connectivity

RCO 41 - Additional households with broadband access of very

high capacity

RCO 42 - Additional enterprises with broadband access of very high

capacity

RCR 53 - Households with broadband subscriptions to a very high capacity network

RCR 54 - Enterprises with broadband subscriptions to a very high capacity network

RCO 43 - Length of new roads supported - TEN-T31

RCO 44 - Length of new roads supported - other

RCO 45 - Length of roads reconstructed or upgraded - TEN-T

RCO 46 - Length of roads reconstructed or upgraded - other

RCR 55 - Users of newly built, reconstructed or upgraded roads

RCR 56 - Time savings due to improved road infrastructure

RCR 101 – Time savings due to improved rail infrastructure

RCO 47 - Length of new rail supported - TEN-T

RCO 48 - Length of new rail supported - other

RCO 49 - Length of rail reconstructed or upgraded - TEN-T

RCO 50 - Length of rail reconstructed or upgraded - other

RCO 51 - Length of new or upgraded inland waterways - TEN-T

RCO 52 - Length of new or upgraded inland waterways - other

RCO 53 - Railways stations and facilities - new or upgraded

RCO 54 - Intermodal connections - new or upgraded

RCO 100 – Number of ports supported

RCR 57 - Length of European Rail Traffic Management System equipped railways in

operation

RCR 58 - Annual number of passengers on supported railways

RCR 59 - Freight transport on rail

RCR 60 - Freight transport on inland waterways

31 Regulation (EU) No 1315/2013 of the European Parliament and of the Council of 11 December 2013 on Union guidelines for the development of

the trans-European transport network and repealing Decision No 661/2010/EU (OJ L 348, 20.12.2013, p. 1).


46

RCO 55 - Length of tram and metro lines- new

RCO 56 - Length of tram and metro lines- reconstructed/ upgraded

RCO 57 - Environmentally friendly rolling stock for public transport

RCO 58 - Dedicated cycling infrastructure supported

RCO 59 - Alternative fuels infrastructure (refuelling/ recharging

points) supported

RCO 60 - Cities and towns with new or upgraded digitised urban

transport systems

RCR 62 - Annual passengers of public transport

RCR 63 - Annual users of new/ upgraded tram and metro lines

RCR 64 - Annual users of dedicated cycling infrastructure


47

4. A more social

Europe

implementing

the European

Pillar of Social

Rights

RCO 61 - Annual unemployed persons served by enhanced facilities

for employment services (capacity)

RCR 65 - Job seekers using annually the services of the employment services

supported

RCO 63 - Capacity of temporary reception infrastructure created

RCO 64 - Capacity of rehabilitated housing – migrants, refugees and

persons under or applying for international protection

RCO 65 - Capacity of rehabilitated housing - other

RCR 66 - Occupancy of temporary reception infrastructure built or renovated

RCR 67 - Occupancy of rehabilitated housing – migrants, refugees and persons under

or applying for international protection

RCR 68 - Occupancy of rehabilitated housing - other

RCO 66 - Classroom capacity of supported childcare infrastructure

(new or upgraded)

RCO 67 - Classroom capacity of supported education infrastructure

(new or upgraded)

RCR 70 - Annual number of children using childcare infrastructure supported

RCR 71 - Annual number of students using education infrastructure supported

RCO 69 - Capacity of supported health care infrastructure

RCO 70 - Capacity of supported social infrastructure (other than

housing)

RCR 72 - People with access to improved health care services

RCR 73 - Annual number of persons using the health care facilities supported

RCR 74 - Annual number of persons using the social care facilities supported

RCR 75 - Average response time for medical emergencies in the area supported

5. A Europe

closer to citizens

by fostering the

sustainable and

RCO 74 - Population covered by strategies for integrated urban

development

RCO 75 - Integrated strategies for urban development

RCO 76 - Collaborative projects

RCO 77 - Capacity of cultural and tourism infrastructure supported

RCR 76 - Stakeholders involved in the preparation and implementation of strategies of

urban development

RCR 77 - Tourists/ visits to supported sites*

RCR 78 - Users benefiting from cultural infrastructure supported


48

integrated

development of

urban, rural

and coastal

areas and local

initiatives

RCO 80 – Community-led local development strategies for local

development


49

Horizontal -

Implementation RCO 95 - Staff financed by ERDF and Cohesion Fund

RCR 91 - Average time for launch of calls, selection of projects and signature of

contracts*

RCR 92 - Average time for tendering (from launch of procurement until signature of

contract) *

RCR 93 - Average time for project implementation (from signature of contract to last

payment) *

RCR 94 - Single bidding for ERDF and Cohesion Fund interventions*

** For presentational reasons, indicators are grouped under, but not limited to, a policy objective. In particular, under policy objective 5, specific objectives from policy objectives 1-

4 may be used with the relevant indicators. In addition, in order to develop a full picture of the expected and actual performance of the programmes, the indicators marked with (*)

may be used by specific objectives under more than one of the policy objectives 1 to 4, when relevant.

Table 2: Additional common output and result indicators for the ERDF for Interreg

Interreg-specific

indicators

RCO 81 - Participants in cross-border mobility initiatives

RCO 82 - Participants in joint actions promoting gender equality, equal

opportunities and social inclusion

RCO 83 - Joint strategies/ action plans developed or implemented

RCO 84 - Joint pilot activities implemented in projects

RCO 85 - Participants in joint training schemes

RCO 96 – Legal or administrative obstacles identified

RCO 86 - Joint administrative or legal agreements signed

RCO 87 - Organisations cooperating across borders

RCO 88 - Projects across national borders for peer-learning to enhance

cooperation activities

RCO 89 - Projects across borders to improve multilevel governance

RCR 79 - Joint strategies/ action plans taken up by organisations at/

after project completion

RCR 80 - Joint pilot activities taken up or up-scaled by organisations

at/ after project completion

RCR 81 - Participants completing joint training schemes

RCR 82 - Legal or administrative obstacles addressed or alleviated

RCR 83 - Persons covered by signed joint agreements signed

RCR 84 - Organisations cooperating across borders 6-12 months after

project completion

RCR 85 - Participants in joint actions 6-12 months after project

completion

RCR 86 - Stakeholders/ institutions with enhanced cooperation


50

RCO 90 - Projects across national borders leading to networks/clusters capacity beyond national borders


51


Brussels, 30 May 2018 (OR. en) 9522/18 ADD 2 FSTR 23 REGIO 31 FC 24 CADREFIN 50 IA 151 CODEC 897


PROPOSAL




No. Cion doc.: COM(2018) 372 final - ANNEX 2

Subject: ANNEX to the Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the European Regional Development Fund and on the Cohesion Fund

Delegations will find attached document COM(2018) 372 final - ANNEX 2.

Encl.: COM(2018) 372 final - ANNEX 2

_____________________________________________________________________________________

Regione Abruzzo - Attività di Collegamento con l’U.E. a Bruxelles - Speciale n. 5/57 del 1° giugno 2018

52

EUROPEAN COMMISSION


COM(2018) 372 final

ANNEX 2

ANNEX

to the

Proposal for a





53

ANNEX II

Core set of performance indicators for the ERDF and the Cohesion Fund referred to in Article 7(3)32

Policy objective Specific objective Outputs Results

(1) (2) (3) (4)

1. A smarter Europe by

promoting innovative and smart

economic transformation

(i) Enhancing research and

innovation capacities and the

uptake of advanced technologies

CCO 01 - Enterprises supported to innovate

CCO 02 - Researchers working in

supported research facilities

CCR 01 – (SMEs introducing product,

process, marketing or organisational

innovation

(ii) Reaping the benefits of

digitisation for citizens, companies

and governments

CCO 03 - Enterprises and public

institutions supported to develop digital

products, services and applications

CCR 02 - Additional users of new

digital products, services and

applications developed by enterprises

and public institutions

(iii) Enhancing growth and

competitiveness of SMEs

CCO 04 - SMEs supported to create jobs

and growth

CCR 03 - Jobs created in SMEs

supported

(iv) Developing skills for smart

specialisation, industrial transition

and entrepreneurship

CCO 05 - SMEs investing in skills

development

CCR 04 - SMEs staff benefiting from

training for skills development

32 These indicators will be used by the Commission in compliance with its reporting requirement pursuant to Article 38(3)(e)(i) of the [applicable] Financial Regulation.


54

2. A greener, low-carbon

Europe by promoting clean and

fair energy transition, green and

blue investment, the circular

economy, climate adaptation

and risk prevention and

management

(i) Promoting energy efficiency

measures

CCO 06 – Investments in measures to

improve energy efficiency

CCR 05 – Beneficiaries with improved

energy classification

(ii) Promoting renewable energy CCO 07 - Additional renewable energy

production capacity

CCR 06 – Volume of additional

renewable energy produced

(iii) Developing smart energy

systems, grids and storage at local

level

CCO 08 - Digital management systems

developed for smart grids

CCR 07 - Additional users connected to

smart grids

(iv) Promoting climate change

adaptation, risk prevention and

disaster resilience

CCO 09 - New or upgraded disaster

monitoring, warning and response systems

CCR 08 - Additional population

benefiting from protection measures

against floods, forest fires, and other

climate related natural disasters

(v) Promoting sustainable water

management

CCO 10 - New or upgraded capacity for

waste water treatment

CCR 09 - Additional population

connected to at least secondary waste

water treatment

(vi) Promoting the transition to a

circular economy

CCO 11 – New or upgraded capacity for

waste recycling CCR 10 - Additional waste recycled

(vii) Enhancing biodiversity, green

infrastructure in the urban

environment, and reducing

pollution

CCO 12 - Surface area of green

infrastructure in urban areas

CCR 11 - Population benefiting from

measures for air quality


55

3. A more connected Europe by

enhancing mobility and regional

ICT connectivity

(i) Enhancing digital connectivity

CCO 13 - Additional households and

enterprises with coverage by very high

capacity broadband networks

CCR 12 - Additional households and

enterprises with broadband subscriptions

to a very high capacity networks

(ii) Developing a sustainable,

climate resilient, intelligent, secure

and intermodal TEN-T

CCO 14 – Road TEN-T: New and upgraded

roads

CCR 13 - Time savings due to improved

road infrastructure

(iii) Developing sustainable,

climate resilient, intelligent and

intermodal national, regional and

local mobility, including improved

access to TEN-T and cross-border

mobility

CCO 15 – Rail TEN-T: New and upgraded

railways

CCR 14 - Annual number of passengers

served by improved rail transport

(iv) Promoting sustainable

multimodal urban mobility

CCO 16 - Extension and modernisation of

tram and metro lines

CCR 15 - Annual users served by new

and modernised tram and metro lines

4. A more social Europe

implementing the European

Pillar of Social Rights

(i) Enhancing the effectiveness of

labour markets and access to

quality employment through

developing social innovation and

infrastructure

CCO 17 - Annual unemployed persons

served by enhanced facilities for

employment services

CCR 16 - Job seekers using annually

enhanced facilities for employment

services

(ii) Improving access to inclusive

and quality services in education,

training and lifelong learning


childcare and education infrastructure


or upgraded childcare and education

infrastructure


56

through developing infrastructure

(iii) Increasing the socio-economic

integration of marginalised

communities, migrants and

disadvantaged groups, through

integrated measures including

housing and social services;

CCO 19 - Additional capacity of reception

infrastructures created or upgraded


and improved reception and housing

facilities

(iv) Ensuring equal access to health

care through developing infrastructure,

including primary care


health care infrastructure

CCR 19 - Population with access to

improved health care services

5. A Europe closer to citizens by

fostering the sustainable and

integrated development of

urban, rural and coastal areas

and local initiatives

(i) Fostering the integrated social,

economic and environmental

development, cultural heritage and

security in urban areas

CCO 21 - Population covered by strategies

for integrated urban development

_____________________________________________________________________________________

Regione Abruzzo - Attività di Collegamento con l’U.E. a Bruxelles - Speciale n. 5/57 del 1° giugno 2018

57


Brussels, 30 May 2018 (OR. en) 9536/18 FSTR 24 REGIO 32 FC 25 CADREFIN 51 RELEX 482 IA 152 CODEC 901


PROPOSAL





Subject: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on specific provisions for the European territorial cooperation goal (Interreg) supported by the European Regional Development Fund and external financing instruments




58

EUROPEAN COMMISSION


COM(2018) 374 final

2018/0199 (COD)

Proposal for a


on specific provisions for the European territorial cooperation goal (Interreg) supported

by the European Regional Development Fund and external financing instruments



59



On 2 May 2018, the Commission adopted a proposal for the next multi-annual financial

framework for the period 2021-202733.

Simplifying the framework has been identified as a key objective in the reflection paper on

EU finances as well as by the ex post evaluation of the current framework and the public

consultation on the framework for 2021-2027. Experience suggests that the current rules are

overly complex and fragmented, leading to an unnecessary burden on programme managers

and final beneficiaries.

On the European territorial cooperation goal (Interreg), the Commission proposes a major

effort to simplify cooperation beyond the borders of the Union. The Treaty on the Functioning

of the European Union ('TFEU') distinguishes clearly between territorial cooperation between

Member States and economic, financial and technical cooperation with non-EU countries.

Territorial cooperation between Member States takes place under (internal) economic, social

and territorial cohesion (Title XVIII of Part Three on Union policies and internal actions).

Economic, financial and technical cooperation with non-EU countries comes under Chapter 2,

and development cooperation under Chapter 3, of Title III (cooperation with third coutries

and humanitarian aid) of Part Five on the Union’s external action, as well as Part Four on the

association of the overseas countries and territories (OCTs).

It is therefore not legally possible to establish a single cooperation fund inside and beyond the

EU borders. However, in a major effort to simplificy and maximise synergy between them,

the Regulations governing the EU's future external financing instruments,

IPA III: Instrument for pre-Accession34 ('IPA III'),

NDICI: Neighbourhood, Development and International Cooperation Instrument35 ('NDICI') and

OCTP: Council Decision on the association of Overseas countries and territories36 establishing the funding in form of a Programme ('OCTP'),

33 COM(2018) 322 final, 2.5.2018. 34 Regulation (EU) XXX establishing the Instrument for Pre-accession Assistance (OJ

L xx, p. y). 35 Regulation (EU) XXX establishing the Neighbourhood, Development and International

Cooperation Instrument (OJ L xx, p. y).


60

aim to establish clear rules to transfer part of their resources to Interreg programmes. These

will then be implemented mostly under the rules established by the Regulation on specific

provisions for the European territorial cooperation goal (Interreg) supported by the European

Regional Development Fund and external financing instruments ('European territorial

cooperation goal (Interreg) Regulation'). These will be implemented by Interreg programme

authorities in the Member States under shared management.

Regarding IPA III, the amount of the contribution to Interreg programmes will be determined

under Article 10 of the ETC/Interreg Regulation, which will apply to the use of the

contribution. Where appropriate, IPA III may also contribute to transnational and

interregional cooperation programmes or measures that are established and implemented

under the ETC/Interreg Regulation (Article 5(4) and (5) of the IPA III Regulation).

Concerning NDICI, where measures are to be implemented which are global, trans-regional

or regional, the Commission may decide, under the relevant multiannual indicative

programmes or the relevant action plans or measures, to extend the scope of actions to

countries and territories not covered by the NDICI Regulation. The aim would be to ensure

Union financing was coherent and effective or to foster regional or trans-regional cooperation.

In particular, the Commission may include specific financing to help partner countries and

regions strengthen their cooperation with neighbouring outermost regions of the EU and with

overseas countries and territories covered by the OCTP Decision. To this end, NDICI may

contribute, where appropriate and on the basis of reciprocity and proportionality regarding the

level of funding from the OCTP and/or the ETC/Interreg Regulation, to actions implemented

by a partner country or region or any other entity under this proposed Regulation, by a

country, territory or any other entity under the OCTP Decision or by an outermost region of

the EU under joint operational programmes or to interregional cooperation programmes or

measures established and implemented under the ETC/Interreg Regulation (Article 33(2) of

the NDICI Regulation and Article 87 of the OCTP Decision).

To enable consistency with other EU policies in this area, the rules on delivery and

implementation of the European Regional Developent Fund ('ERDF') is governed as far as

possible by the Common Provisions Regulation ('CPR'). This sets out common provisions for

all seven shared management funds at the EU level. These are notably:

36 Council Decision (EU) No XXX on the association of the Overseas Countries and

Territories with the European Inion including relations between the European Union on

the one hand and Greenland and the Kingdom of Denmark on the other (OJ L xx, p. y).


61

CF: Cohesion Fund37

EMFF: European Maritime and Fisheries Fund38

ERDF: European Regional Development Fund39

ESF+: European Social Fund Plus40

AMIF: Asylum and Migration Fund41

BMVI: Border Management and Visa Instrument42

ISF: Internal Security Fund43.

To simplify the legislative structure and ensure the applicable provisions are clear, the CPR

sets out common and fund-specific rules. So goes for the Regulation covering both the ERDF

and the Cohesion Fund intervening under ‘Investment for jobs and growth’ and, for the

ERDF, under the ‘European territorial cooperation’ goal (Interreg).

Programmes under the 'European territorial cooperation' goal (Interreg) involving several

Member States and also non-EU countries have special features. The European territorial

cooperation goal (Interreg) Regulation therefore sets out Interreg-specific rules for both the

CPR and the Regulation covering both the ERDF and the Cohesion Fund. It also sets out

specific rules for programmes under the ETC/Interreg goal ('Interreg programmes') where

Member States cooperate with non-EU countries.

The EU's external financing instruments set out clear 'transfer' rules to all Interreg

components. During the 2014-2020 programming period, IPA-CBC programmes were already

managed by DG REGIO and the implementing rules, based on the IPA Regulation, were

mostly aligned with the Interreg rules for cooperation progammes in Member States. ENI-

CBC progammes were managed by DG NEAR; the implementing rules, based on the ENI

Regulation, set out a number of differences from the Interreg rules. Cooperation around

outermost regions was mostly organised at project level, plus some pilot actions involving

Interreg programme authorities in implementing cooperation measures under indirect

management.

37 [Reference] 38 [Reference] 39 [Reference] 40 [Reference]; except the 'Union Programme for Employment and Social innovation' and

the 'Union Programme for Health'. 41 [Reference]; only shared management components. 42 [Reference]; except the 'Customs Control Equipment Programme'.


62


EU action is justified by Article 174 TFEU: '(T)he Union shall develop and pursue its actions

leading to the strengthening of its economic, social and territorial cohesion. In particular, the

Union shall aim at reducing disparities between the levels of development of the various

regions and the backwardness of the least favoured regions'.

The aims of the ERDF are defined in Article 176 TFEU: 'The European Regional

Development Fund is intended to help to redress the main regional imbalances in the Union

through participation in the development and structural adjustment of regions whose

development is lagging behind and in the conversion of declining industrial regions'.

In addition, Article 174 TFEU states that particular attention is to be paid to rural areas, areas

affected by industrial transition, and regions which suffer from severe and permanent natural

or demographic handicaps. These include the northernmost regions with very low population

density and island, cross-border and mountain regions.

Article 178 TFEU constitutes the legal basis to adopt implementing regulations for the ERDF,

the cohesion policy fund supporting the European territorial cooperation goal (Interreg).

Regarding support from the EU's external financing instruments, Article 212(2) TFEU

constitutes the legal basis for economic, financial and technical cooperation with non-EU

countries in general, including those eligible for accession: '1. Without prejudice to the other

provisions of the Treaties, and in particular Articles 208 to 211, the Union shall carry out

economic, financial and technical cooperation measures, including assistance, in particular

financial assistance, with third countries other than developing countries. Such measures shall

be consistent with the development policy of the Union and shall be carried out within the

framework of the principles and objectives of its external action. The Union's operations and

those of the Member States shall complement and reinforce each other. 2. The European

Parliament and the Council, acting in accordance with the ordinary legislative procedure, shall

adopt the measures necessary for the implementation of paragraph 1.'

Article 209(1) TFEU constitutes the legal basis for cooperation with developing countries: ‘1.

The European Parliament and the Council, acting in accordance with the ordinary legislative

procedure, shall adopt the measures necessary for the implementation of development

cooperation policy, which may relate to multiannual cooperation programmes with

developing countries or programmes with a thematic approach.’

43 [Reference]


63

Finally, Article 349 TFEU provides for adopting specific measures to take account of the

structural social and economic situation of the outermost regions, which is compounded by

certain specific features which severely restrain their development.

Subsidiarity and proportionality

The impact assessment44 identified various reasons why EU action adds value to national

action. These include the following:

In many countries, the ERDF and the Cohesion Fund represent at least 50% of public

investment – these Member States would otherwise not have the financial capacity

to make such investments.

There are significant potential spillovers across national and regional boundaries, for

example for investments in innovation and SMEs. There is an important role for the

EU level in ensuring that such spillovers materialise and preventing underinvestment.

Moreover, investments need to be designed to maximise spillovers.

In most regions, including more developed ones, smart specialisation strategies

(RIS3) represent a consistent strategic framework for investments and bring about

high added value. These were triggered by the strategic programming requirement

for ERDF support and the corresponding pre-condition. In fact, the benefits of such

strategies tend to be highest in the most developed regions (particularly in the Nordic

countries, Austria, Germany, Benelux and France).

It promotes EU priorities. This includes structural reforms of labour markets,

transport, environment, energy, education and social policies and programmes, as

well as administrative modernisation.

The ERDF delivers tangible results in areas which matter to people - 'The EU

budget helps to deliver on the things that matter for Europeans'45. Helping regions

adapt to the challenge of globalisation, creating 420 000 jobs by supporting 1.1

million SMEs between 2014 and 2020, tackling urban poverty — all these are

priorities for the European public. It is noteworthy that many of these results are

particularly evident outside the cohesion countries.

The policy choices in the proposed Regulation are proportionate, for reasons that include the

following:

The programmes are not managed directly by the European Commission, but are instead implemented in partnership with the Member States (under shared management).

44 For more details, see the Impact Assessment, Chapter 3.1 on subsidiarity and added

value of the ERDF and Cohesion Fund. 45 See the Commission's Reflection Paper on the Future of EU Finances - COM(2017) 358

final, 28.6.2017: https://ec.europa.eu/commission/publications/reflection-paper-future-

eu-finances_en.




64

The combined rules (the associated CPR plus this Regulation) are substantially

simpler and more consolidated than those for the previous period.

3. RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER

CONSULTATIONS AND IMPACT ASSESSMENTS

Ex post evaluation of Interreg 2007-2013

By end 2013, Interreg programmes had funded nearly 7 000 projects in policy areas at the

core of the Europe 2020 strategy. These included the creation and expansion of economic

clusters, the establishment of centres of excellence, high education and training centres,

cooperation networks between research centres and cross-border advisory services for

businesses and -start-ups. The 1 300 or so environmental projects involved the joint

management of natural resources, including sea and river basins; cooperative action to combat

natural risks, to respond to climate change and preserve biodiversity and pilot initiatives to

develop renewable energy.

The Interreg programmes contributed to a number of improvements, including accessibility,

joint education and training, and increased protection from environmental and man-made

risks. The internationalisation of SMEs was improved, particularly in cross-border regions.

The programmes also contributed to wider effects, notably by reducing specific barriers to

cooperation (mainly cultural and physical barriers) and improving social integration.

The ex post evaluation also found the following:

1. Interreg programmes remained very broad and were often aimed primarily at

developing cooperation and linkages. It is important to strike an appropriate balance

between cooperation (which remains a central element of Interreg) and leveraging

the learning for the goals of Cohesion Policy.

2. Limited attention seems to have been paid to the notion of a functional region or area

when identifying the regions to support. However, this is essential to considering the

potential benefits of cross-border and transnational cooperation.

3. Most programmes have adopted a bottom-up approach when deciding which projects

to support. This made it difficult to pursue a coherent strategy to promote the

development and socio-economic and territorial integration of the regions concerned,

even though most individual projects made a contribution.

4. There was very limited coordination between Interreg programmes and mainstream

ones. The potential for complementing one with the other and reinforcing the effects

on development was therefore lost.

These weaknesses are being addressed through the regulations for the 2014-2020

programming period. In particular, the result and performance framework should ensure a


65

greater concentration of funds on a limited number of policy aims, with a well-articulated

intervention logic at the outset and measurement of results.

The 2021-2027 period will seek to further strengthen cooperation. This will be done through

the following measures in particular:

1. Adapting the architecture of Interreg programmes to take better account of functional

areas. Cross-border programmes will be better streamlined in order to concentrate

resources on land borders where there is a high degree of cross-border interaction.

Maritime cooperation will be reinforced by combining the cross-border and

transnational dimension of working across sea basins in new maritime programmes.

2. Embedding cross-border cooperation into recent policy work outlined in the

Commission Communication 'Boosting Growth and Cohesion in EU Border

Regions’46 ('Border Regions Communication'). Focusing programmes on actions that

are of direct interest to people and businesses located in border regions.

3. Strengthening the transnational and maritime cooperation Interreg programmes that

cover the same functional areas as the existing macro-regional strategies (MRS).

Increasing the alignment between funding and MRS priorities.

4. Reinforcing interregional cooperation for innovation as outlined in the Commission

Communication 'Strengthening Innovation in Europe's regions - Strategies for

resilient, inclusive and sustainable growth'47. This will be done by proposing a new

interregional instrument aimed at helping those involved in smart specialisation

strategies (S3) to cluster together, in order to scale up innovation and bring

innovative products and processes to the European market.

5. The CPR and ERDF regulations will further encourage and support stronger

coordination between Interreg programmes and Investment of Jobs and growth

programmes. This will be done by ensuring cooperation actions are well represented

in the priorities funded under those programmes.

Lessons learnt from IPA 2014-2020

IPA actively promotes territorial cooperation, for example through cross-border programmes,

transnational and interregional cooperation programmes, and macro-regional strategies. The

added value is obvious: reconciliation and confidence-building in the Western Balkans, the

46 Communication from the Commission to the Council and the European Parliament

'Boosting growth and cohesion in EU border regions' - COM(2017) 534 final,

20.9.2017. 47 Communication from the Commission to the European Parliament, the Council, the

European Economic and Social Committee and the Committee of the Regions


66

overcoming of geographical and mental barriers, and the development of good neighbourly

relations - all these remain key aspects of the enlargement process that are addressed solely by

EU programmes and not by other donors.

Ex post evaluation of ENPI CBC48 programmes in the 2007-2013 period

The thirteen ENPI CBC programmes implemented during the 2007-2013 period covered nine

EU land borders, three sea basins and one sea crossing. The financial resources allocated

amounted to EUR 947.2 million combining funds from ENPI, ERDF and IPA. The

contribution from participating countries and/or project beneficiaries brought the total

allocation to EUR 1.2 billion. The programmes involved thirty-four countries, nineteen EU

Member States and twelve of the sixteen neighbourhood partner countries plus Norway,

Russia and Turkey.

Altogether, the programmes funded 941 projects over the period for a total contracted amount

of EUR 910 million (as of April 2017), out of which 38% was channelled to projects

promoting economic development, 32% to environment, 19% for social development and

11% for security issues. The bulk of EU funding (70%) was channelled through standard

projects selected through calls for proposals. Large-scale infrastructure projects (LIP’s)

represented 22% of the total EU funding contracted (approximately EUR 195 million), while

strategic projects covered a minor share (8% of the total EU funding contracted). In total,

there were 867 standard projects, 51 LIPs and 23 strategic projects. The participation in calls

for proposals has been very high (in total, more than 7 000 applications were submitted across

all programmes), attesting the appeal of CBC among stakeholders in the eligible areas. In

total, ENPI CBC involved 4 569 organisations from thirtysix different countries, out of which

2 106 were from partner countries.

The ex post evaluation praised the impressive number and variety of cross-border cooperation

projects as well as the solid basis for cooperation compared to the previous period, with well-

established programme authorities and more experienced beneficiaries. At the same time, the

evaluation noted the insufficient evidence on the achievements of the ENPI CBC

'Strengthening Innovation in Europe's Regions: Strategies for resilient, inclusive and

sustainable growth' - COM(2017) 376 final, 18.7.2017. 48 Based on Regulation (EC) No 1638/2006 of the European Parliament and of the Council

of 24 October 2006 laying down general provisions establishing a European

Neighbourhood and Partnership Instrument (OJ L 310, 9.11.2006, p. 1).


67

programmes, delays in the programme and project implementation, as well as the broadly

formulated programme objectives and priorities of calls that diminished the overall impact.

Some of these elements have already been (fully or partially) addressed by the current

generation of 2014-2020 programmes.

Recommendations for the upcoming programming period include enhancing focus and impact

of the programmes, seeking more synergies with other EU instruments and policies,

enhancing the added value of large infrastructure projects, improving programme efficiency,

improving performance frameworks and monitoring and evaluation practices, and

strengthening the technical assistance and support to programmes.

Mid-term review of ENI CBC programmes in the 2014-2020

The mid-term review of the ENI CBC programmes for the period 2014-2020 has found that

the CBC strategy remains appropriate in the context of the EU policy framework and provides

response to the developments in the region. Indeed, CBC is seen to be an important vehicle

for positive collaboration between citizens, local authorities and civil society on both sides of

the EU border, even in cases where wider bilateral relationships may be challenging.

Although programme development and implementation have moved slower than originally

planned, there is recognition from partners that the process has improved compared to

previous years and that commitment to implement successful programmes remains strong.

Stakeholder consultation

An online public consultation took place between 10 January and 9 March 2018. The

consultation covered cohesion policy, i.e. ERDF, Cohesion Fund and ESF, including aspects

of ETC/Interreg.

Regarding the most important challenges, the largest proportion (94% of respondents) identified ‘reducing regional disparities’ as very important or rather important; this was followed by ‘reducing unemployment, quality jobs and labour mobility’ and ‘promoting social inclusion and combating poverty’ (91%).

Of the challenges, ‘Fostering research and innovation’ was regarded as the one most successfully addressed (by 61%), followed by ‘territorial cooperation’ (59%).

76% of respondents considered that the funds add value to a large or fairly large extent; under 2% that they have no added-value at all.


68

Complex procedures (86%) were seen as by far the biggest obstacle to the achievement of objectives. Next were audit and control procedures (68%), and lack of flexibility to react to unforeseen circumstances (60%).

For simplification, the most frequent choice was ‘fewer, clearer, shorter rules’ (90%); this was followed by ‘alignment of rules between EU funds’ (79%) and ‘increased flexibility’ in allocating resources both to and within a programme area (76-77%).

In answering the open questions, respondents on balance strongly supported the following:

Cohesion policy for all regions (though with a continued focus on less developed ones).

Policy innovation, including smart specialisation strategies and smart investment more generally.

Continuing and developing of thematic concentration.

A focus on local challenges (especially sustainable urban development)

Interregional cooperation, both cross-border and across Europe. The latter is essential for smart specialisation – innovation in high tech sectors often depends on exchanges and spillovers from cooperation between clusters or knowledge hubs across Europe.

These issues are being addressed in this proposed Regulation which:

continues to focus on tackling regional disparities and the challenges facing regions across Europe;

continues and enhances thematic concentration on smart growth via smart specialisation strategies and on low-carbon and sustainable development;

maintains support for interregional cooperation, extending this to smart specialisation; and

promotes local development based on integrated territorial and local strategies and encourages sustainable urban development as well as capacity building in this field.

In addition, the CPR Regulation will provide a framework for the ERDF to:

simplify the complex procedures associated with it;

increase flexibility to respond to emerging challenges; and

align rules between the various EU funds covered.

Impact assessment

The options deal with a 7% reduction in the budget by:

Option 1: Reducing the contribution to the more developed regions.


69

Option 2: Maintaining support in key areas (thematic concentration) and reducing it for other themes.

Option 2 is the preferred option, for reasons including the following:

To maintain a focus on the themes of highest EU added value, where evidence from the evaluation suggests the policy has had the strongest impact.

Many of the greatest challenges (globalisation and economic transformation, transition to the low-carbon economy, environmental challenges, migration and pockets of urban poverty) increasingly affect many regions across the EU, including more developed ones. EU investment is both necessary and a sign of solidarity.

Maintaining critical mass - investments in the more developed regions are already small in per capita terms.

In the public consultation, the vast majority of stakeholders supported the ERDF in all regions. This approach also ensures cohesion policy funds have better visibility in all Member States.

Simplification

There is evidence of substantial administrative costs associated with the ERDF, estimated in a

recent study49 at 3% of average programme costs. The administrative burden on beneficiaries

(including SMEs) is higher.

Most of the simplifications in the ERDF will be created by the CPR. Many are difficult to

quantify financially in advance, but the study made the following estimates:

Making greater use of simplified cost options (or payments based on conditions) for the ERDF could substantially reduce total administrative costs – by 20-25% if these options are applied across the board.

This more proportionate approach to control and audits implies an major reduction in the number of verifications and in the audit burden for “low risk” programmes; this would reduce total administrative costs of the ERDF by 2-3% and costs for affected programmes by a much greater amount.

Another major aspect of simplification is that this proposal would integrate support from the

ERDF and from EU's external financing instruments, as set out above.

E-cohesion and data exchange

The 2014-2020 programme period required a system of electronic data exchange between

beneficiaries and managing authorities and between the different authorities of the

management and control system. This proposal for a Regulation builds on this and develops

49 Spatial Foresight & t33 'New assessment of administrative costs and burden in ESI

Funds, preliminary results'.


70

further certain points in relation to data collection. All data necessary for monitoring progress

in implementation including results and performance of programmes will now be transmitted

electronically every 2 months. This means the open data platform will be updated in almost

real time.

Data on beneficiaries and operations will similarly be made public in electronic form, on a

website run by the managing authority.


This proposal does not have budgetary implications. The proposal on the ERDF and Cohesion

Fund Regulation sets out budgetary implications of the ERDF which is the source fund for

actions covered by this proposal.

5. SUMMARY OF THE CONTENT OF THE REGULATION

Much of the delivery and implementation of the ERDF is covered in the CPR. This proposal

for a Regulation should therefore be seen in this context. Its main focus is on key

implementation and cooperation issues, notably:

the definition and geographical coverage of the five components;

Interreg-specific objectives and scope;

adaptations of the CPR rules on programming, programme authorities, management and control and financial management; and

integration of EU external financing instruments.

Chapter I - General provisions (Article 1 to 13)

Subject, scope and Interreg components

This Chapter sets out the subject matter and scope of the ETC/Interreg Regulation. In

particular, it describes the five Interreg components: cross-border, transnational and maritime,

outermost regions’, interregional cooperation and the new interregional innovation

investments.

Geographical coverage

The Commission carried out a more than two-years study and consultation process known as

the "Cross-border review". This gathered evidence showing that border regions generally

perform less well economically than other regions within a Member State. Access to public


71

services such as hospitals and universities is generally more difficult in border regions.

Navigating between different administrative and legal systems is often still complex and

costly.

As a follow-up to the Cross-border Review, the Commission adopted the Border Regions

Communication proposing a number of concrete measures to be taken by the EU and national,

regional and local governments. These measures include "considering the legal and financial

framework for cross-border cooperation". The Communication proposes to explore ways in

which future funding programmes, including Interreg, can make a more strategic contribution

to preventing and resolving border obstacles and developing cross-border public services.

Consequently, the cross-border cooperation component will be concentrated on land borders,

whereas cross-border cooperation on maritime borders will be integrated into the enlarged

‘transnational cooperation and maritime cooperation’ component.

The 2021-2027 proposals for both the Investment for Jobs and growth and ETC/Interreg goals

reflect this commitment in two ways. First, they significantly raise the profile of cooperation

actions in the programmes. Second, they help the cross-border programmes to focus more

than before on institutional cooperation, resolving border issues, and investing in joint

services of public interest.

Resources and co-financing rates

These provisions cover the resources, both from ERDF and the EU's external financing

instruments. A ‘return’ mechanism of the remaining funds is set out in case no submission is

made or no financing agreement of an external Interreg is signed. In particular for external

cooperation, co-financing should be higher than for the Investment for jobs and growth goal.

Chapter II - Interreg-specific objectives and thematic concentration (Articles 14 and 15)

Taking into account the special features of Interreg, two Interreg-specific objectives are set

out:

'better Interreg governance'; and

'a safer and more secure Europe',

The proposed Regulation also sets out specific percentages for thematic concentration.

Chapter III - Programming (Interreg programmes – territorial development –

operations and small project fund- TA) (Articles 16 to 26)


72

This Chapter adapts the CPR rules to Interreg programmes. A new feature is the ‘Small

project fund’ allowing local and civil society to set up small projects using simplified cost

options.

Chapter IV - Monitoring – evaluation – information and communication (Articles 27 to

35)

This Chapter also adapts the CPR rules to Interreg programmes.

To ensure a consistent monitoring of performance, the proposed Regulation also maintains

and refines the common set of output indicators, while adding for the first time a common set

of results indicators. The latter make it possible to report results in real time on the Open Data

Platform and to compare them across programmes and Member States. They will also feed

into discussions on performance and successful evaluations.

Chapter V – Eligibility (Articles 36 to 43)

Eligibility rules should be established as far as possible by each Member State with a

minimum of EU rules. However, this approach does not work for Interreg programmes where

between 2 and 27 different sets of national rules may contradict and clash. This Chapter

therefore sets out a clear hierarchy of EU, Interreg progamme-specific and then national

eligibility rules. The detailed provisions under Commission Delegated Regulation (EU) No

481/2014 of 4 March 201450 are integrated into this proposed Regulation.

Chapter VI - Interreg programme authorities, management ad control (Article 44 to 48

The CPR rules on programme authorities, management and control are adapted to Interreg

programmes. This affects in particular the functioning of the single audit authority and hugely

simplifies the audit of operations.

Chapter VII - Financil management, accounts and financial corrections (Articles 49 and

50)

Interreg programmes should receive higher and faster pre-financing than other cohesion

policy programmes to enable beneficiaries who often do not have sufficient own resources to

get their operations started. In addition, the recovery chain should be established in detail.

50 Commission Delegated Regulation (EU) No 481/2014 of 4 March 2014 supplementing

Regulation (EU) No 1299/2013 of the European Parliament and of the Council with

regard to specific rules on eligibility of expenditure for cooperation programmes (OJ L

138, 13.5.2014, p. 45).


73

Chapter VIII - Particpatin of third countries and OCTs in Interreg progammes under

shared management (Articles 51 to 59)

The starting point is that 'normal' ETC/Interreg rules will apply. Certain adaptations are

needed to take into account that non-EU countries or partner countries or OCTs are not bound

by EU law. This impacts on programme authorities, management methods, eligibility, large

infrastructure projects, procurement, financial management and the conclusion of financing

agreements.

Chapter IX - Specifc rules on indirect management (Articles 60 and 61)

These cover the interregional innovation investments and may concern cooperation between

outermost regions’.

Chapter X - Final provisions (Articles 62 to 65)

These cover delegation, comitology and transitional provisions.

ANNEX

The Annex covers the template for Interreg programmes.


74

2018/0199 (COD)

Proposal for a


on specific provisions for the European territorial cooperation goal (Interreg) supported by

the European Regional Development Fund and external financing instruments


Having regard to the Treaty on the Functioning of the European Union, and in particular

Article 178, Article 209(1), Article 212(2), and Article 349 thereof,






Whereas:

(1) Article 176 of the Treaty on the Functioning of the European Union ('TFEU') provides that

the European Regional Development Fund ('ERDF') is intended to help to redress the main

regional imbalances in the Union. Under that Article and the second and third paragraphs of

Article 174 of the TFEU, the ERDF is to contribute to reducing disparities between the

levels of development of the various regions and to reducing the backwardness of the least

favoured regions, among which particular attention is to be paid to certain categories of

regions, among which cross-border regions are explicitly listed.

(2) Regulation (EU) [new CPR] of the European Parliament and of the Council53 sets out

provisions common to the ERDF and certain other funds and Regulation (EU) [new ERDF]

of the European Parliament and of the Council54 sets out provisions concerning the specific

objectives and the scope of the ERDF support. It is now necessary to adopt specific

provisions in relation to the European territorial cooperation goal (Interreg) where one or

more Member States cooperate across borders with regard to effective programming

including provisions on technical assistance, monitoring, evaluation, communication,

eligibility, management and control, as well as financial management.

(3) In order to support the harmonious development of the Union's territory at different levels,

the ERDF should support cross-border cooperation, transnational cooperation, maritime

51 OJ C […], […], p. […]. 52 OJ C […], […], p. […]. 53 [Reference] 54 [Reference]


75

cooperation, outermost regions’ cooperation and interregional cooperation under the

European territorial cooperation goal (Interreg).

(4) The cross-border cooperation component should aim to tackle common challenges identified

jointly in the border regions, and to exploit the untapped growth potential in border areas as

evidenced in the Communication of the Commission 'Boosting Growth and Cohesion in EU

Border Regions’55 ('Border Regions Communication'). Consequently, the cross-border

component should be limited to cooperation on land borders and cross-border cooperation

on maritime borders should be integrated into the transnational component.

(5) The cross-border cooperation component should also involve cooperation between one or

more Member States and one or more countries or other territories outside the Union.

Covering internal and external cross-border cooperation under this Regulation should result

in a major simplification and streamlining of applicable provisions for the programme

authorities in the Member States and for the partner authorities and beneficiaries outside the

Union compared to the programming period 2014-2020.

(6) The transnational cooperation and maritime cooperation component should aim to

strengthen cooperation by means of actions conducive to integrated territorial development

linked to the Union's cohesion policy priorities, and should also include maritime cross-

border cooperation. Transnational cooperation should cover larger territories on the

mainland of the Union, whereas maritime cooperation should cover territories around sea-

basins and integrate cross-border cooperation on maritime borders during the programming

period 2014-2020. Maximum flexibility should be given to continue implementing previous

maritime cross-border cooperation within a larger maritime cooperation framework, in

particular by defining the territory covered, the specific objectives for such cooperation, the

requirements for a project partnership and the setting-up of sub-programmes and specific

steering committees.

(7) Based on the experience with cross-border and transnational cooperation during the

programming period 2014-2020 in outermost regions, where the combination of both

components within a single programme per cooperation area has not brought about

sufficient simplification for programme authorities and beneficiaries, a specific outermost

regions’ component should be established in order to enable outermost regions to cooperate

with their neighbouring countries and territories in the most effective and simple way.

(8) Based on the experience with the interregional cooperation programmes under Interreg and

the lack of such cooperation within programmes under the Investment for jobs and growth

goal during the programming period 2014-2020, the interregional cooperation component

should focus more specifically on boosting the effectiveness of cohesion policy. That

component should therefore be limited to two programmes, one to enable all kind of

experience, innovative approaches and capacity building for programmes under both goals

and to promote European groupings of territorial cooperation ('EGTCs') set up or to be set

up pursuant to Regulation (EC) No 1082/2006 of the European Parliament and of the

Council56 and one to improve the analysis of development trends. Project-based cooperation

throughout the Union should be integrated into the new component on interregional

55 Communication from the Commission to the Council and the European Parliament 'Boosting

growth and cohesion in EU border regions' - COM(2017) 534 final, 20.9.2017. 56 Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006

on a European grouping of territorial cooperation (EGTC) (OJ L 210, 31.7.2006, p. 19).


76

innovation investments and closely linked to the implementation of the Communication

from the Commission 'Strengthening Innovation in Europe's Regions: Strategies for

resilient, inclusive and sustainable growth'57, in particular to support thematic smart

specialisation platforms on fields such as energy, industrial modernisation or agrifood.

Finally, integrated territorial development focusing on functional urban areas or urban areas

should be concentrated within programmes under the Investment for jobs and growth goal

and in one accompanying instrument, the ‘European Urban Initiative”. The two programmes

under the interregional cooperation component should cover the whole Union and should

also be open for the participation of third countries.

(9) Objective criteria for designating eligible regions and areas should be established. To that

end, the identification of eligible regions and areas at Union level should be based on the

common system of classification of the regions established by Regulation (EC)

No 1059/2003 of the European Parliament and of the Council58.

(10) It is necessary to continue supporting or, as appropriate, to establish cooperation in all its

dimensions with the Union's neighbouring third countries, as such cooperation is an

important regional development policy tool and should benefit the regions of the Member

States which border third countries. To that effect, the ERDF and the external financing

instruments of the Union, IPA59, NDICI60 and OCTP61, should support programmes under

cross-border cooperation, transnational cooperation and maritime cooperation, outermost

regions’ cooperation and interregional cooperation. The support from the ERDF and from

the external financing instruments of the Union should be based on reciprocity and

proportionality. However, for IPA III CBC and NDICI CBC, the ERDF support should be

complemented by at least equivalent amounts under IPA III CBC and NDICI CBC, subject

to a maximum amount set out in the respective legal act, that is to say, up to 3 % of the

financial envelope under IPA III and up to 4 % of the financial envelope of the

Neighbourhood geographic programme under Article 4(2)(a) of the NDICI.

(11) IPA III assistance should mainly focus on assisting the IPA beneficiaries to strengthen

democratic institutions and the rule of law, reform the judiciary and public administration,

respect fundamental rights and promote gender equality, tolerance, social inclusion and non-

discrimination. IPA assistance should continue to support the efforts of the IPA beneficiaries

to advance regional, macro-regional and cross-border cooperation as well as territorial

development, including through the implementation of Union macro-regional strategies. In

addition, IPA assistance should address security, migration and border management,

57 Communication from the Commission to the European Parliament, the Council, the European

Economic and Social Committee and the Committee of the Regions 'Strengthening Innovation

in Europe's Regions: Strategies for resilient, inclusive and sustainable growth' -

COM(2017) 376 final, 18.7.2017. 58 Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May

2003 on the establishment of a common classification of territorial units for statistics (NUTS)

(OJ L 154, 21.6.2003, p. 1). 59 Regulation (EU) XXX establishing the Instrument for Pre-accession Assistance (OJ L xx,

p. y). 60 Regulation (EU) XXX establishing the Neighbourhood, Development and International

Cooperation Instrument (OJ L xx, p. y). 61 Council Decision (EU) XXX on the association of the Overseas Countries and Territories

with the European Inion including relations between the European Union on the one hand and

Greenland and the Kingdom of Denmark on the other (OJ L xx, p. y).


77

ensuring access to international protection, sharing relevant information, enhancing border

control and pursuing common efforts in the fight against irregular migration and migrant

smuggling.

(12) With regard to NDICI assistance, the Union should develop a special relationship with

neighbouring countries, aiming to establish an area of prosperity and good neighbourliness,

founded on the values of the Union and characterised by close and peaceful relations based

on cooperation. This Regulation and the NDICI should therefore support the internal and

external aspects of relevant macro-regional strategies. Those initiatives are strategically

important and offer meaningful political frameworks for deepening relations with and

among partner countries, based on the principles of mutual accountability, shared ownership

and responsibility.

(13) It is important to continue observing the role of the EEAS and the Commission in the

preparation of the strategic programming and of Interreg programmes supported by the

ERDF and the NDICI as established in Council decision 2010/427/EU62.

(14) In view of the specific situation of outmost regions of the Union, it is necessary to adopt

measures concerning the conditions under which those regions may have access to structural

funds. Consequently, certain provisions of this Regulation should be adapted to the

specificities of the outermost regions in order to simplify and foster cooperation with their

neighbors, while taking into account the Communication from the Commission 'A stronger

and renewed strategic partnership with the EU's outermost regions'63.

(15) It is necessary to set out the resources allocated to each of the different components of

Interreg, including each Member State's share of the global amounts for the cross-border

cooperation, the transnational cooperation and maritime cooperation, the outermost regions’

cooperation and the interregional cooperation, the potential available to Member States

concerning flexibility between those components. Compared to the programming period

2014-2020, the share for cross-border cooperation should be reduced, while the share for

transnational cooperation and maritime cooperation should be increased because of the

integration of maritime cooperation, and a new outermost regions’ cooperation component

should be created.

(16) For the most efficient use of the support from the ERDF and the external financing

instruments of the Union, a mechanism should be set up to organise the return of such

support in cases where external cooperation programmes cannot be adopted or have to be

discontinued, including with third countries which do not receive support from any

financing instrument of the Union. That mechanism should seek to achieve optimal

functioning of the programmes and the maximum possible coordination between those

instruments.

(17) The ERDF should contribute, under Interreg, to the specific objectives under the cohesion

policy objectives. However, the list of the specific objectives under the different thematic

62 Council decision 2010/427/EU of 26 July 2010 establishing the organisation and functioning

of the European External Action Service (OJ L 201, 3.8.2010, p. 30). 63 Communication from the Commission to the European Parliament, the Council, the European

Economic and Social Committee, the Committee of the Regions and the European Investment

Bank 'A stronger and renewed strategic partnership with the EU's outermost regions', -

COM(2017) 623 final, 24.10.2017.


78

objectives should be adapted to the specific needs of Interreg, by providing for additional

specific objectives under the policy objective 'a more social Europe by implementing the

European Pillar of Social Rights' in order to allow for ESF-type interventions.

(18) Within the context of the unique and specific circumstances on the island of Ireland, and

with a view to supporting North-South cooperation under the Good Friday Agreement, a

new 'PEACE PLUS' cross-border programme should continue and build on the work of

previous programmes between the border counties of Ireland and Northern Ireland. Taking

into account its practical importance, it is necessary to ensure that, where the programme is

acting in support of peace and reconciliation, the ERDF should also contribute to promoting

social, economic and regional stability in the regions concerned, in particular through

actions to promote cohesion between communities. Given the specificities of the programme

it should be managed in an integrated manner with the United Kingdom contribution being

integrated into the programme as external assigned revenue. Furthermore, certain rules on

the selection of operations in this Regulation should not apply to that programme in relation

to operations in support of peace and reconciliation.

(19) This Regulation should add two Interreg-specific objectives, one to support an Interreg-

specific objective strengthening institutional capacity, enhancing legal and administrative

cooperation, in particular where linked to implementation of the Border Regions

Communication, intensify cooperation between citizens and institutions and the

development and coordination of macro-regional and sea-basin strategies, and one to

address specific external cooperation issues such as safety, security, border crossing

management and migration.

(20) The major part of the Union support should be concentrated on a limited number of policy

objectives in order to maximise the impact of Interreg.

(21) Provisions on the preparation, approval and amendment of Interreg programmes as well as

on territorial development, on the selection of operations, on monitoring and evaluation, on

the programme authorities, on audit of operations, and on transparency and communication

should be adapted to the specificities of Interreg programmes compared to the provisions set

out in Regulation (EU) [new CPR].

(22) The provisions on the criteria for operations to be considered as genuinely joint and

cooperative, on the partnership within an Interreg operation and on the obligations of the

lead partner as set out during the programme period 2014-2020 should on be continued.

However, Interreg partners should cooperate in all four dimensions (development,

implementation, staffing and financing) and, under outermost regions’ cooperation, in three

out of four, as it should be simpler to combine support from the ERDF and external

financing instruments from the Union both on the level of programmes and operations.

(23) It is necessary to clarify the rules governing small project funds which have been

implemented since Interreg has existed, but have never been covered by specific provisions.

As also set out in the Opinion of the Committee of the Regions ‘People-to-people and small-

scale projects in cross-border cooperation programmes’64, such small project funds play an

important role in building up trust between citizens and institutions, offer great European

64 Opinion of the European Committee of the Regions ‘People-to-people and small-scale

projects in cross-border cooperation programmes’ of 12 July 2017 (OJ C 342, 12.10.2017, p.

38).


79

added value and contribute considerably to the overall objective of cross-border cooperation

programmes by overcoming border obstacles and integrating border areas and their citizens.

In order to simplify the management of the financing of small projects by the final

recipients, who are often not used to applying for Union funds, the use of simplified cost

options and of lump sums should be made obligatory below a certain threshold.

(24) Due to the involvement of more than one Member State, and the resulting higher

administrative costs, in particular in respect of controls and translation, the ceiling for

technical assistance expenditure should be higher than that under the Investment for jobs and

growth goal. In order to offset the higher administrative costs, Member States should be

encouraged to reduce the administrative burden with regard to the implementation of joint

projects wherever possible. In addition, Interreg programmes with limited Union support or

external cross-border cooperation programmes should receive a certain minimum amount

for technical assistance to ensure sufficient funding for effective technical assistance

activities.

(25) Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making

of 13 April 2016, there is a need to evaluate the Funds on the basis of information collected

through specific monitoring requirements, while avoiding overregulation and administrative

burdens, in particular on Member States. These requirements, where appropriate, can

include measurable indicators, as a basis for evaluating the effects of the Funds on the

ground.

(26) Based on experience during the programming period 2014-2020, the system introducing a

clear hierarchy of rules on eligibility of expenditure should be continued while maintaining

the principle of rules on eligibility of expenditure to be established at Union level or for

Interreg programme as a whole to avoid any possible contradictions or inconsistencies

between different Regulations and between Regulations and national rules. Additional rules

adopted by one Member State which would only apply to the beneficiaries in that Member

State should be limited to the strict minimum. In particular, provisions of the Commission

Delegated Regulation (EU) No 481/201465 adopted for the programming period 2014-2020

should be integrated into this Regulation.

(27) Member States should be encouraged to assign the functions of the managing authority to an

EGTC or to make such a grouping, like other cross-border legal bodies, responsible for

managing a sub-programme, an integrated territorial investment or one or more small project

funds, or to act as sole partner.

(28) In order to continue the payment chain established for the programming period 2014-2020,

i.e. from the Commission to the lead partner via the certifying authority, that payment chain

should be continued under the accounting function. The Union support should be paid to the

lead partner, unless this would result in double fees for conversion into euro and back into

another currency or vice versa between the lead partner and the other partners.

(29) Pursuant to Article [63(9)] of Regulation (EU, Euratom) [FR-Omnibus] sector-specific rules

are to take account of the needs of European Territorial Cooperation (Interreg) programmes

65 Commission Delegated Regulation (EU) No 481/2014 of 4 March 2014 supplementing

Regulation (EU) No 1299/2013 of the European Parliament and of the Council with regard to

specific rules on eligibility of expenditure for cooperation programmes (OJ L 138, 13.5.2014,

p. 45).


80

as regards, in particular the audit function. The provisions on the annual audit opinion, the

annual control report and the audits of operations should therefore be simplified and adapted

to those programmes involving more than one Member States.

(30) A clear chain of financial liability in respect of recovery for irregularities should be

established from sole or other partners via the lead partner and the managing authority to the

Commission. Provision should be made for liability of Member States, third countries,

partner countries or Overseas Countries and Territories (OCTs), where obtaining recovery

from the sole or other or lead partner is not successful, meaning that the Member State

reimburses the managing authority. Consequently, under Interreg programmes there is no

scope for irrecoverable amounts on the level of beneficiaries. It is, however, necessary to

clarify the rules, should a Member State, third country, partner country or OCT not

reimburse the managing authority. The obligations of the lead partner for recovery should

also be clarified. In particular, the managing authority should not be allowed to oblige the

lead partner to launch a judicial procedure in a different country.

(31) In order to apply a mostly common set of rules both in the participating Member States and

third countries, partner countries or OCTs, this Regulation should also apply to the

participation of third countries, partner countries or OCTs, unless specific rules are set out in

a specific Chapter of this Regulation. Interreg programme authorities may be mirrored by

comparable authorities in third countries, partner countries or OCTs. The starting point for

the eligibility of expenditure should be linked to the signature of the financing agreement by

the relevant third country, partner country or OCT. Procurement for beneficiaries in the third

country, partner country or OCT should follow the rules for external procurement under

Regulation (EU, Euratom) [new FR-Omnibus] of the European Parliament and the

Council66. The procedures for the conclusion of financing agreements with each of the third

countries, partner countries or OCTs as well as of the agreements between the managing

authority and each third country, partner country or OCT with regard to the support from an

external financing instrument of the Union or in the case of transfer of an additional

contribution from a third country, partner country or OCT to the Interreg programme other

than national co-financing should be set out.

(32) Although Interreg programmes with the participation of third countries, partner countries or

OCTs should be implemented under shared management, outermost regions’ cooperation

may be implemented under indirect management. Specific rules should be set out how to

implement those programmes as a whole or partially under indirect management.

(33) Based on the experience during the programming period 2014-2020 with large infrastructure

projects within cross-border cooperation programmes under the European Neighbourhood

Instrument, the procedures should be simplified. However, the Commission should retain

certain rights concerning the selection of such projects.

(34) Implementing powers should be conferred on the Commission to adopt and amend the lists

of Interreg programmes, the list of the global amount from Union support for each Interreg

programme and to adopt decisions approving Interreg programmes and amendments thereof.

These implementing powers should be exercised in accordance with Regulation (EU)

No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying

down the rules and general principles concerning mechanisms for control by Member States

66 [Reference]


81

of the Commission's exercise of implementing powers67. Although these acts are of a

general nature, the advisory procedure should be used given that they only implement the

provisions in a technical way.

(35) In order to ensure uniform conditions for the adoption or amendment of Interreg

programmes, implementing powers should be conferred on the Commission. However,

external cross-border cooperation programmes should respect, where applicable, Committee

procedures established under Regulations (EU) [IPA III] and [NDICI] with regard to the

first approval decision of those programmes.

(36) In order to supplement or amend certain non-essential elements of this Regulation, the

power to adopt acts in accordance with Article 290 of the TFEU should be delegated to the

Commission to amend the Annex on the template for Interreg programmes. It is of particular

importance that the Commission carry out appropriate consultations during its preparatory

work, including at expert level, and that those consultations be conducted in accordance with

the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-

Making. In particular, to ensure equal participation in the preparation of delegated acts, the

European Parliament and the Council receive all documents at the same time as Member

States' experts, and their experts systematically have access to meetings of Commission

expert groups dealing with the preparation of delegated acts.

(37) Since the objective of this Regulation, namely to foster cooperation between Member States

and between Member States and third countries, partner countries or OCTs cannot be

sufficiently achieved by the Member States but can rather, 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 on European Union. In accordance with the principle of

proportionality, as set out in that Article, this Regulation does not go beyond what is

necessary in order to achieve that objective,


CHAPTER I

General provisions

SECTION I

SUBJECT MATTER, SCOPE AND INTERREG COMPONENTS

Article 1

Subject matter and scope

1. This Regulation lays down rules for the European territorial cooperation goal (Interreg)

with a view to fostering cooperation between Member States inside the Union and between

67 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February

2011 laying down the rules and general principles concerning mechanisms for control by

Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p.

13).


82

Member States and adjacent third countries, partner countries, other territories or overseas

countries and territories ('OCTs') respectively.

2. This Regulation also lays down the provisions necessary to ensure effective programming

including on technical assistance, monitoring, evaluation, communication, eligibility,

management and control, as well as financial management of programmes under the

European territorial cooperation goal ('Interreg programmes') supported by the European

Regional Development Fund ('ERDF').

3. With regard to support from the 'Instrument for Pre-Accession Assistance' ('IPA III'), the

'Neighbourhood, Development and International Cooperation Instrument' ('NDICI') and the

funding for all the OCTs for the period 2021 to 2027 established as a Programme by

Council Decision (EU) XXX ('OCTP') to Interreg programmes (the three instruments

together: 'the external financing instruments of the Union'), this Regulation defines

additional specific objectives as well as the integration of those funds into Interreg

programmes, the criteria for third countries, partner countries and OCTs and their regions

to be eligible and certain specific implementation rules.

4. With regard to support from the ERDF and the external financing instruments of the Union

(jointly referred to as ‘the Interreg funds’) to Interreg programmes, this Regulation defines

the Interreg-specific objectives as well as the organisation, the criteria for Member States,

third countries, partner countries and OCTs and their regions to be eligible, the financial

resources, and the criteria for their allocation.

5. Regulation (EU) [new CPR] and Regulation (EU) [new ERDF] shall apply to Interreg

programmes, except where specifically provided for otherwise under those Regulations

and this Regulation or where provisions of Regulation (EU) [new CPR] can only apply to

the Investment for jobs and growth goal.

Article 2

Definitions

1. For the purpose of this Regulation, the definitions in Article [2] of Regulation (EU) [new

CPR] shall apply. The following definitions shall also apply:

(1) 'IPA beneficiary' means a country or territory listed in Annex I to Regulation (EU)

[IPA III];

(2) 'third country' means a country which is not a Member State of the Union and does

not receive support from the Interreg funds;

(3) 'partner country' means an IPA beneficiary or a country or territory covered by the

'Neighbourhood geographic area’ listed in Annex I to Regulation (EU) [NDICI] and

the Russian Federation, and which receives support from the external financing

instruments of the Union;

(4) 'cross-border legal body' means a legal body established under the laws of one of the

participating countries in an Interreg programme provided that it is set up by

territorial authorities or other bodies from at least two participating countries.


83

2. For the purpose of this Regulation, where provisions of Regulation (EU) [new CPR] refer

to a 'Member State', this shall be construed as meaning 'the Member State hosting the

managing authority' and where provisions refer to 'Each Member State' or 'Member States',

this shall be construed as meaning 'the Member States and, where applicable, third

countries, partner countries and OCTs participating in a given Interreg programme'.

For the purpose of this Regulation, where provisions of Regulation (EU) [new CPR] refer to

'the Funds' as listed in [point (a) of Article 1(1)] of that Regulation or to the 'ERDF', this shall

be construed as also covering the respective external financing instrument of the Union.

Article 3

Components of the European territorial cooperation goal (Interreg)

Under the European territorial cooperation goal (Interreg), the ERDF and, where applicable,

external financing instruments of the Union shall support the following components:

(1) cross-border cooperation between adjacent regions to promote integrated regional

development (component 1):

(a) internal cross-border cooperation between adjacent land border regions of two or

more Member States or between adjacent land border regions of at least one Member

State and one or more third countries listed in Article 4(3); or

(b) external cross-border cooperation, between adjacent land border regions of at least

one Member State and of one or more of the following:

(i) IPA beneficiaries; or

(ii) partner countries supported by NDICI; or

(iii) the Russian Federation, for the purpose of enabling its participation in cross-

border cooperation also supported by NDICI;

(2) transnational cooperation and maritime cooperation over larger transnational territories or

around sea-basins, involving national, regional and local programme partners in Member

States, third countries and partner countries and in Greenland, with a view to achieving a

higher degree of territorial integration ('component 2'; where referring only to transnational

cooperation: 'component 2A'; where referring only to maritime cooperation: 'component

2B');

(3) outermost regions' cooperation among themselves and with their neighbouring third or

partner countries or OCTs, or several thereof, to facilitate their regional integration in their

neighbourhood ('component 3');

(4) interregional cooperation to reinforce the effectiveness of cohesion policy ('component 4')

by promoting:

(a) exchange of experiences, innovative approaches and capacity building in relation to:

(i) the implementation of Interreg programmes;


84

(ii) the implementation of Investment for jobs and growth goal programmes, in

particular with regard to interregional and transnational actions with

beneficiaries located in at least one other Member State;

(iii) the setting-up, functioning and use of European groupings of territorial

cooperation (EGTCs);

(b) analysis of development trends in relation to the aims of territorial cohesion;

(5) interregional innovation investments through the commercialisation and scaling up of

interregional innovation projects having the potential to encourage the development of

European value chains ('component 5').

SECTION II

GEOGRAPHICAL COVERAGE

Article 4

Geographical coverage for cross-border cooperation

1. For cross-border cooperation, the regions to be supported by the ERDF shall be the NUTS

level 3 regions of the Union along all internal and external land borders with third

countries or partner countries.

2. Regions on maritime borders which are connected over the sea by a fixed link shall also be

supported under cross-border cooperation.

3. Internal cross-border cooperation Interreg programmes may cover regions in Norway,

Switzerland and the United Kingdom which are equivalent to NUTS level 3 regions as well

as Liechtenstein, Andorra and Monaco.

4. For external cross-border cooperation, the regions to be supported by IPA III or NDICI

shall be NUTS level 3 regions of the respective partner country or, in the absence of NUTS

classification, equivalent areas along all land borders between Member States and partner

countries eligible under IPA III or NDICI.

Article 5

Geographical coverage for transnational cooperation and maritime cooperation

1. For transnational cooperation and maritime cooperation, the regions to be supported by the

ERDF shall be the NUTS level 2 regions of the Union covering contiguous functional

areas, taking into account, where applicable, macro-regional strategies or sea basin

strategies.

2. Transnational cooperation and maritime cooperation Interreg programmes may cover:

(a) regions in Iceland, Norway, Switzerland, the United Kingdom as well as

Liechtenstein, Andorra, Monaco and San Marino;


85

(b) Greenland;

(c) the Faroe Islands;

(d) regions of partner countries under IPA III or NDICI;

whether or not they are supported from the EU budget.

3. The regions, third countries or partner countries listed in paragraph 2 shall be NUTS

level 2 regions or, in the absence of NUTS classification, equivalent areas.

Article 6

Geographical coverage for outermost regions' cooperation

1. For the outermost regions' cooperation, all regions listed in the first paragraph of Article

349 of the TFEU shall be supported by the ERDF.

2. The outermost regions' Interreg programmes may cover neighbouring partner countries

supported by the NDICI or OCTs supported by the OCTP, or both.

Article 7

Geographical coverage for interregional cooperation and

interregional innovation investments

1. For any component 4 Interreg programme or for interregional innovation investments

under component 5, the entire territory of the Union shall be supported by the ERDF.

2. Component 4 Interreg programmes may cover the whole or part of the third countries,

partner countries, other territories or OCTs referred to in Articles 4, 5 and 6, whether or not

they are supported by the external financing instruments of the Union.

Article 8

List of Interreg programme areas to receive support

1. For the purposes of Articles 4, 5 and 6, the Commission shall adopt an implementing act

setting out the list of Interreg programme areas to receive support, broken down for each

component and each Interreg programme. That implementing act shall be adopted in

accordance with the advisory procedure referred to in Article 63(2).

External cross-border Interreg programmes shall be listed as 'Interreg IPA III CBC

programmes' or 'Interreg Neighbourhood CBC programmes' respectively.

2. The implementing act referred to in paragraph 1 shall also contain a list specifying those

NUTS level 3 regions of the Union taken into account for the ERDF allocation for cross-

border cooperation at all internal borders and those external borders covered by the

external financing instruments of the Union as well as a list specifying those NUTS level 3

regions taken into account for allocation purposes under component 2B referred to in

point (a) of Article 9(3).


86

3. Regions of third or partner countries or territories outside the Union which do not receive

supported from the ERDF or an external financing instrument of the Union shall also be

mentioned in the list referred to in paragraph 1.

SECTION III

RESOURCES AND CO-FINANCING RATES

Article 9

ERDF resources for the European territorial cooperation goal (Interreg)

1. The ERDF resources for the European territorial cooperation goal (Interreg) shall amount

to EUR 8 430 000 000 of the global resources available for budgetary commitment from

the ERDF, ESF+ and the Cohesion Fund for the 2021-2027 programming period and set

out in Article [102(1)] of Regulation (EU) [new CPR].

2. The resources referred to in paragraph 1 shall be allocated as follows:

(a) 52.7 % (i.e., a total of EUR 4 440 000 000) for cross-border cooperation (component

1);

(b) 31.4 % (i.e., a total of EUR 2 649 900 000) for transnational cooperation and

maritime cooperation (component 2);

(c) 3.2 % (i.e., a total of EUR 270 100 000) for outermost regions' cooperation

(component 3);

(d) 1.2 % (i.e., a total of EUR 100 000 000) for interregional cooperation (component 4);

(e) 11.5 % (i.e., a total of EUR 970 000 000) for interregional innovation investments

(component 5).

3. The Commission shall communicate to each Member State its share of the global amounts

for components 1, 2 and 3, broken down by year.

Population size in the following regions shall be used as the criterion for the breakdown by

Member State:

(a) NUTS level 3 regions for component 1 and those NUTS level 3 regions for

component 2B listed in the implementing act under Article 8(2);

(b) NUTS level 2 regions for components 2A and 3.

4. Each Member State may transfer up to 15% of its financial allocation for each of

components 1, 2 and 3 from one of those components to one or more of the others.

5. Based on the amounts communicated pursuant to paragraph 3, each Member State shall

inform the Commission whether and how it has used the transfer option provided for in

paragraph 4 and the resulting distribution of its share among the Interreg programmes in

which the Member State participates.


87

Article 10

Cross-fund provisions

1. The Commission shall adopt an implementing act setting out the multi-annual strategy

document with regard to external cross-border Interreg programmes supported by the

ERDF and the NDICI or IPA III. That implementing act shall be adopted in accordance

with the advisory procedure referred to in Article 63(2).

With regard to Interreg programmes supported by the ERDF and the NDICI, that

implementing act shall set out the elements referred to in Article 12(2) of Regulation (EU)

[NDICI].

2. The contribution from the ERDF to external cross-border Interreg programmes to be also

supported from the financial envelope under IPA III allocated to cross-border cooperation

('IPA III CBC') or from the financial envelope under NDICI allocated to cross-border

cooperation for the Neighbourhood geographic area ('NDICI CBC') shall be established by

the Commission and the Member States concerned. The ERDF contribution established for

each Member State shall not subsequently be reallocated between the Member States

concerned.

3. Support from the ERDF shall be granted to individual external cross-border Interreg

programmes provided that equivalent amounts are provided by IPA III CBC and NDICI

CBC under the relevant strategic programming document. That equivalence shall be

subject to a maximum amount set out in the IPA III or NDICI legislative act.

However, where the review of the relevant strategic programming document under IPA III or

NDICI results in the reduction of the matching amount for the remaining years, each Member

State concerned shall choose from the following options:

(a) to request the mechanism under Article 12(3);

(b) to continue the Interreg programme with the remaining support from the ERDF and

IPA III CBC or NDICI CBC; or

(c) to combine options (a) and (b).

4. The annual appropriations corresponding to the support from the ERDF, IPA III CBC or

NDICI CBC to external cross-border Interreg programmes shall be entered in the relevant

budget lines for the 2021 budgetary exercise.

5. Where the Commission has included a specific financial allocation to assist partner

countries or regions under Regulation (EU) [NDICI] and OCTs under Council Decision

[OCT Decision] or both in strengthening their cooperation with neighbouring Union

outermost regions in accordance with Article [33(2)] of Regulation (EU) [NDICI] or

Article[ 87] of the [OCTP Decision] or both, the ERDF may also contribute in accordance

with this Regulation, where appropriate and on the basis of reciprocity and proportionality

as regards the level of funding from the NDICI or the OCTP or both, to actions

implemented by a partner country or region or any other entity under Regulation (EU)

[NDICI], by a country, territory or any other entity under the [OCT Decision] or by a

Union outermost region under, in particular, one or more joint component 2, 3 or 4 Interreg

programmes or under cooperation measures referred to in Article 60 established and

implemented pursuant to this Regulation.


88

Article 11

List of Interreg programme resources

1. On the basis of the information provided by Member States pursuant to Article 9(5), the

Commission shall, adopt an implementing act setting out a list of all Interreg programmes

and indicating per programme the global amount of the total support from the ERDF and,

where applicable, the total support from external financing instruments of the Union. That

implementing act shall be adopted in accordance with the advisory procedure referred to in

Article 63(2).

2. That implementing act shall also contain a list of the amounts transferred pursuant to

Article 9(5) broken down by Member State and by external financing instrument of the

Union.

Article 12

Return of resources and discontinuation

1. In 2022 and 2023, the annual contribution from the ERDF to external cross-border Interreg

programmes, for which no programme has been submitted to the Commission by 31 March

of the respective years, and which has not been re-allocated to another programme

submitted under the same category of external cross-border Interreg programmes, shall be

allocated to the internal cross-border Interreg programmes in which the Member State or

Member States concerned participates or participate.

2. If by 31 March 2024, there are still external cross-border Interreg programmes which have

not been submitted to the Commission, the entire contribution from the ERDF referred to

in Article 9(5) to those programmes for the remaining years up to 2027, which has not

been re-allocated to another external cross-border Interreg programme also supported by

IPA III CBC or NDICI CBC respectively, shall be allocated to the internal cross-border

Interreg programmes in which the Member State or Member States concerned participates

or participate.

3. Any external cross-border Interreg programme already approved by the Commission shall

be discontinued, or the allocation to that programme shall be reduced, in accordance with

the applicable rules and procedures, in particular if:

(a) none of the partner countries covered by the respective Interreg programme has

signed the relevant financing agreement by the deadlines set out in accordance with

Article 57;

(b) the Interreg programme cannot be implemented as planned due to problems in

relations between the participating countries.

In such cases, the contribution from the ERDF referred to in paragraph 1 corresponding to

annual instalments not yet committed, or annual instalments committed and de-committed

totally or partially during the same budgetary year, which have not been re-allocated to another

external cross-border Interreg programme also supported by IPA III CBC or NDICI CBC

respectively, shall be allocated to the internal cross-border Interreg programmes in which the

Member State or Member States concerned participates or participate.


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4. With regard to a component 2 Interreg programme already approved by the Commission,

the participation of a partner country or of Greenland shall be discontinued, if one of the

situations set out in points (a) and (b) of the first subparagraph of paragraph 3 is fulfilled.

The participating Member States and, where applicable, the remaining participating partner

countries, shall request one of the following:

(a) that the Interreg programme be discontinued in total, in particular where the main

joint development challenges thereof cannot be achieved without the participation of

that partner country or of Greenland;

(b) that the allocation to that Interreg programme be reduced, in accordance with the

applicable rules and procedures;

(c) that the Interreg programme continue without the participation of that partner country

or of Greenland.

Where the allocation to the Interreg programme is reduced pursuant to point (b) of the second

subparagraph of this paragraph, the contribution from the ERDF corresponding to annual

instalments not yet committed, shall be allocated to another component 2 Interreg programme

in which one or more of the Member States concerned participate or, where a Member State

only participates in one component 2 Interreg programme, to one or more internal cross-border

Interreg programmes in which that Member State participates.

5. The contribution from IPA III, NDICI or OCTP reduced pursuant to this Article shall be

used in accordance with Regulations (EU) [IPA III], [NDICI] or Council Decision [OCT]

respectively.

6. Where a third country or partner country contributing to an Interreg programme with

national resources, which do not constitute the national cofinancing of support from the

ERDF or from an external financing instrument of the Union, reduces that contribution

during the implementation of the Interreg programme, either globally or with regard to

joint operations already selected and having received the document provided for in Article

22(6), the participating Member State or Member States shall request one of the options set

out in the second subparagraph of paragraph 4.

Article 13

Co-financing rates

The co-financing rate at the level of each Interreg programme shall be not higher than 70 %, unless,

with regard to external cross-border or component 3 Interreg programmes, a higher percentage is

fixed in Regulations (EU) [IPA III], [NDICI] or Council Decision (EU) [OCTP] respectively or in

any act adopted thereunder.


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CHAPTER II

Interreg-specific objectives and thematic concentration

Article 14

Interreg-specific objectives

1. The ERDF, within its scope as set out in Article [4] of Regulation (EU) [new ERDF], and,

where applicable, the external financing instruments of the Union shall contribute to the

policy objectives set out in Article [4(1)] of Regulation (EU) [new CPR] through joint

actions under Interreg programmes.

2. In the case of the PEACE PLUS programme, where it is acting in support of peace and

reconciliation, the ERDF, as a specific objective under policy objective 4, shall also

contribute to promoting social, economic and regional stability in the regions concerned, in

particular through actions to promote cohesion between communities. A separate priority

shall support that specific objective.

3. In addition to the specific objectives for the ERDF as set out in Article [2] of Regulation

(EU) [new ERDF], the ERDF and, where applicable, the external financing instruments of

the Union may also contribute to the specific objectives under PO 4 as follows:

(a) enhancing the effectiveness of labour markets and improving access to quality

employment across borders;

(b) improving access to and the quality of education, training and lifelong learning

across borders with a view to increasing the educational attainment and skills levels

thereof as to be recognised across borders;

(c) enhancing the equal and timely access to quality, sustainable and affordable

healthcare services across borders;

(d) improving accessibility, effectiveness and resilience of healthcare systems and long-

term care services across borders;

(e) promoting social inclusion and tackling poverty, including by enhancing equal

opportunities and combating discrimination across borders.

4. Under components 1, 2, and 3, the ERDF and, where applicable, the external financing

instruments of the Union may also support the Interreg-specific objective 'a better Interreg

governance', in particular by the following actions:

(a) under component 1 and 2B Interreg programmes:

(i) enhance the institutional capacity of public authorities, in particular those

mandated to manage a specific territory, and of stakeholders;

(ii) enhance efficient public administration by promoting legal and administrative

cooperation and cooperation between citizens and institutions, in particular,

with a view to resolving legal and other obstacles in border regions;


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(b) under component 1, 2 and 3 Interreg programmes: enhance institutional capacity of

public authorities and stakeholders to implement macro-regional strategies and sea-

basin strategies;

(c) under external cross-border and component 2 and 3 Interreg programmes supported

by the Interreg funds, in addition to points (a) and (b): building up mutual trust, in

particular by encouraging people-to-people actions, by enhancing sustainable

democracy and by supporting civil society actors and their role in reforming

processes and democratic transitions;

5. Under external cross-border and component 2 and 3 Interreg programmes the ERDF and,

where applicable, the external financing instruments of the Union shall also contribute to

the external Interreg-specific objective 'a safer and more secure Europe', in particular by

actions in the fields of border crossing management and mobility and migration

management, including the protection of migrants.

Article 15

Thematic concentration

1. At least 60% of the ERDF and, where applicable, of the external financing instruments of

the Union allocated under priorities other than for technical assistance to each Interreg

programme under components 1, 2 and 3, shall be allocated on a maximum of three of the

policy objectives set out in Article [4(1)] of Regulation (EU) [new CPR].

2. An additional 15% of the ERDF and, where applicable, of the external financing

instruments of the Union allocations under priorities other than for technical assistance to

each Interreg programme under components 1, 2 and 3, shall be allocated on the Interreg-

specific objective of 'a better Interreg governance' or on the external Interreg-specific

objective of 'a safer and more secure Europe'.

3. Where a component 2A Interreg programme supports a macro-regional strategy, the total

ERDF and, where applicable, the total external financing instruments of the Union

allocations under priorities other than for technical assistance shall be programmed on the

objectives of that strategy.

4. Where a component 2B Interreg programme supports a macro-regional strategy or sea-

basin strategy, at least 70% of the total ERDF and, where applicable, of the external

financing instruments of the Union allocations under priorities other than for technical

assistance shall be allocated on the objectives of that strategy.

5. For component 4 Interreg programmes, the total ERDF and, where applicable, of the

external financing instruments of the Union allocations under priorities other than for

technical assistance shall be allocated on the Interreg-specific objective 'a better Interreg

governance'.


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CHAPTER III

Programming

SECTION I

PREPARATION, APPROVAL AND AMENDMENT OF INTERREG PROGRAMMES

Article 16

Preparation and submission of Interreg programmes

1. The European territorial cooperation goal (Interreg) shall be implemented through Interreg

programmes under shared management with the exception of component 3, which may be

implemented as a whole or partially under indirect management, and of component 5

which shall be implemented under direct or indirect management.

2. The participating Member States and, where applicable, third countries, partner countries

or OCTs, shall prepare an Interreg programme in accordance with the template set out in

the Annex for the period from 1 January 2021 to 31 December 2027.

3. The participating Member States shall prepare an Interreg programme in cooperation with

the programme partners referred to in Article [6] of Regulation (EU) [the new CPR].

The participating third countries or partner countries or OCTs, where applicable, shall also

involve the programme partners equivalent to those referred to in that Article.

4. The Member State hosting the prospective managing authority, shall submit an Interreg

programme to the Commission by [date of entry into force plus nine months;] on behalf of

all participating Member States and, where applicable, third countries, partner countries or

OCTs.

However, an Interreg programme covering support from an external financing instrument of

the Union shall be submitted by the Member State hosting the prospective managing authority

no later than six months after the adoption by the Commission of the relevant strategic

programming document under Article 10(1) or where required under the respective basic act of

one or more of an external financing instrument of the Union.


or OCTs shall confirm in writing their agreement to the contents of an Interreg programme

prior to its submission to the Commission. That agreement shall also include a

commitment by all participating Member States and, where applicable, third countries,

partner countries or OCTs to provide the co-financing necessary to implement the Interreg

programme and, where applicable, the commitment for the financial contribution of the

third countries, partner countries or OCTs.

By way of derogation from the first subparagraph, in the case of Interreg programmes

involving outermost regions and third countries, partner countries or OCTs, the Member States

concerned shall consult the respective third countries, partner countries or OCTs before

submitting the Interreg programmes to the Commission. In that case, the agreements to the

contents of the Interreg programmes and the possible contribution of the third countries,


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partner countries or OCTs may, instead, be expressed in the formally approved minutes of the

consultation meetings with the third countries, partner countries or OCTs or of the

deliberations of the regional cooperation organisations.

6. The Commission is empowered to adopt delegated acts in accordance with Article 62 to

amend the Annex in order to adapt to changes occurring during the programming period

for non-essential elements thereof.

Article 17

Content of Interreg programmes

1. Each Interreg programme shall set out a joint strategy for the programme's contribution to

the policy objectives set out in Article [4(1)] of Regulation (EU) [new CPR] and to the

Interreg-specific objectives set out in Article 14(4) and (5) of this Regulation and the

communication of its results.

2. Each Interreg programme shall consist of priorities.

Each priority shall correspond to a single policy objective or, where applicable, to one or both

Interreg-specific objectives respectively or to technical assistance. A priority corresponding to

a policy objective or, where applicable, to one or both Interreg-specific objectives respectively

shall consist of one or more specific objectives. More than one priority may correspond to the

same policy or Interreg-specific objective.

3. In duly justified cases and in agreement with the Commission, in order to increase the

efficiency of programme implementation and to achieve larger-scale operations, the

Member State concerned may decide to transfer to Interreg programmes up to [x]% of the

amount of the ERDF allocated to the corresponding programme under the Investment for

jobs and growth goal for the same region. The amount transferred shall constitute a

separate priority or separate priorities.

4. Each Interreg programme shall set out:

(a) the programme area (including a map thereof as a separate document);

(b) a summary of the main joint challenges, taking into account:

(i) economic, social and territorial disparities;

(ii) joint investment needs and complementarity with other forms of support;

(iii) lessons learnt from past experience;

(iv) macro-regional strategies and sea-basin strategies where the programme area as

a whole or partially is covered by one or more strategies;

(c) a justification for the selected policy objectives and Interreg-specific objectives,

corresponding priorities, specific objectives and the forms of support, addressing,

where appropriate, missing links in cross-border infrastructure;

(d) for each priority, except for technical assistance, specific objectives;


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(e) for each specific objective:

(i) the related types of actions, including a list of planned operations of strategic

importance, and their expected contribution to those specific objectives and to

macro-regional strategies and sea-basin strategies, where appropriate;

(ii) output indicators and result indicators with the corresponding milestones and

targets;

(iii) the main target groups;

(iv) specific territories targeted, including the planned use of integrated territorial

investments, community-led local development or other territorial tools;

(v) the planned use of financial instruments;

(vi) an indicative breakdown of the programmed resources by type of intervention.

(f) for the technical assistance priority, the planned use in accordance with Articles [30],

[31] and [32] of Regulation (EU) [new CPR] and relevant types of intervention;

(g) a financing plan containing the following tables (without any division per

participating Member State, third country, partner country or OCT, unless specified

otherwise therein):

(i) a table specifying the total financial allocation for the ERDF and, where

relevant, for each external financing instrument of the Union for the whole

programming period and by year;

(ii) a table specifying the total financial allocation for each priority by the ERDF

and, where relevant, by each external financing instrument of the Union by

priority and the national co-financing and whether the national co-financing is

made up of public and private co-financing;

(h) the actions taken to involve the relevant programme partners referred to in Article [6]

of Regulation (EU) [new CPR] in the preparation of the Interreg programme, and the

role of those programme partners in the implementation, monitoring and evaluation

of that programme;

(i) the envisaged approach to communication and visibility for the Interreg programme

through defining its objectives, target audiences, communication channels, social

media outreach, planned budget and relevant indicators for monitoring and

evaluation.

5. The information referred to in paragraph 4 shall be given as follows:

(a) with regard to the tables referred to in point (g) and as concerns the support from

external financing instruments of the Union, those funds shall be set out as follows:

(i) for external cross-border Interreg programmes supported by IPA III and NDICI

as a single amount ('IPA III CBC' or 'Neighbourhood CBC' combining the


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contribution from [Heading 2 Cohesion and Values, sub-ceiling Economic,

social and territorial cohesion] and [Heading 6 Neighbourhood and the World];

(ii) for component 2 and 4 Interreg programmes supported by IPA III, NDICI or

the OCTP as a single amount ('Interreg funds') combining the contribution

from [Heading 2] and [Heading 6] or split per financing instrument 'ERDF',

'IPA III', 'NDICI' and 'OCTP', pursuant to the choice of the programme

partners;

(iii) for component 2 Interreg programmes supported by OCTP concerning split per

financing instrument ('ERDF' and 'OCTP Greenland');

(iv) for component 3 Interreg programmes supported by the NDICI and by the

OCTP split per financing instrument ('ERDF', 'NDICI' and 'OCTP', as

appropriate).

(b) with regard to the table referred to in point (g)(ii) of paragraph 4, it shall include the

amounts for the years 2021 to 2025 only.

6. With regard to point (e)(vi) and (f) of paragraph 4, the types of intervention shall be based

on a nomenclature set out in Annex [I] to Regulation (EU) [new CPR].

7. The Interreg programme shall:

(a) identify the managing authority, the audit authority and the body to which payments

are to be made by the Commission;

(b) lay down the procedure for setting up the joint secretariat;

(c) set out the apportionment of liabilities among the participating Member States and,

where applicable, third or partner countries or OCTs, in the event of financial

corrections imposed by the managing authority or the Commission.

8. The managing authority shall communicate to the Commission any changes in the

information referred to in point (a) of paragraph 7 without requiring a programme

amendment.

9. By way of derogation from paragraph 4, the content of component 4 Interreg programmes

shall be adapted to the specific character of those Interreg programmes, in particular as

follows:

(a) the information referred to in point (a) is not required;

(b) the information required under points (b) and (h) shall be given as a short outline;

(c) for each specific objective under any priority other than technical assistance, the

following information shall be given:

(i) the definition of a single beneficiary or a limited list of beneficiaries and the

granting procedure;


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(ii) the related types of actions and their expected contribution to the specific

objectives;

(iii) output indicators and result indicators with the corresponding milestones and

targets;

(iv) the main target groups;

(v) an indicative breakdown of the programmed resources by type of intervention.

Article 18

Approval of Interreg programmes

1. The Commission shall assess each Interreg programme and its compliance with Regulation

(EU) [new CPR], Regulation (EU) [new ERDF] and this Regulation and, in the case of

support from an external financing instrument of the Union and where relevant, its

consistency with the multi-annual strategy document under Article 10(1) or the relevant

strategic programming framework under the respective basic act of one or more of those

instruments.

2. The Commission may make observations within three months of the date of submission of

the Interreg programme by the Member State hosting the prospective managing authority.

3. The participating Member States and, where applicable, third or partner countries or OCTs

shall review the Interreg programme taking into account the observations made by the

Commission.

4. The Commission shall adopt a decision by means of an implementing act approving each

Interreg programme no later than six months after the date of submission of that

programme by the Member State hosting the prospective managing authority.

5. With regard to external cross-border Interreg programmes, the Commission shall adopt its

decisions in accordance with paragraph 4 after consultation of the 'IPA III Committee' in

accordance with Article [16] of Regulation (EU) [IPA III] and of the 'Neighbourhood,

Development and International Cooperation Committee' in accordance with Article [36] of

Regulation (EU) [NDICI].

Article 19

Amendment of Interreg programmes

1. The Member State hosting the managing authority may submit a motivated request for an

amendment of an Interreg programme together with the amended programme, setting out

the expected impact of that amendment on the achievement of the objectives.

2. The Commission shall assess the compliance of the amendment with Regulation (EU)

[new CPR], Regulation (EU) [new ERDF] and this Regulation and may make observations

within three months of the submission of the amended programme.


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or OCTs shall review the amended programme and take into account the observations

made by the Commission.

4. The Commission shall approve the amendment of a Interreg programme no later than six

months after its submission by the Member State.

5. The Member State may transfer during the programming period an amount of up to 5% of

the initial allocation of a priority and no more than 3% of the programme budget to another

priority of the same Interreg programme.

Such transfers shall not affect previous years.

They shall be considered to be not substantial and shall not require a decision of the

Commission amending the Interreg programme. They shall, however comply with all

regulatory requirements. The managing authority shall submit to the Commission the revised

table referred to in point (g)(ii) of Article 17(4).

6. The approval of the Commission shall not be required for corrections of a purely clerical or

editorial nature that do not affect the implementation of the Interreg programme. The

managing authority shall inform the Commission of such corrections.

SECTION II

TERRITORIAL DEVELOPMENT

Article 20

Integrated territorial development

For Interreg programmes, the relevant urban, local or other territorial authorities or bodies

responsible for drawing up territorial or local development strategies as listed in Article [22] of

Regulation (EU) [new CPR] or responsible for the selection of operations to be supported under

those strategies as referred to in Article [23(4)] of that Regulation or for both shall be either cross-

border legal bodies or EGTCs.

A cross-border legal body or an EGTC implementing an integrated territorial investment under

Article [24] of Regulation (EU) [new CPR] or another territorial tool under point (c) of Article [22]

of that Regulation may also be the sole beneficiary pursuant to Article 23(5) of this Regulation,

provided that there is a separation of function inside the cross-border legal body or the EGTC.

Article 21

Community-led local development

Community-led local development ('CLLD') under point (b) of Article [22] of Regulation (EU)

[new CPR] may be implemented in Interreg programmes, provided that the relevant local action

groups are composed of representatives of public and private local socio-economic interests, in


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which no single interest group controls the decision-making, and of at least two participating

countries, of which at least one is a Member State.

SECTION III

OPERATIONS AND SMALL PROJECT FUNDS

Article 22

Selection of Interreg operations

1. Interreg operations shall be selected in accordance with the programme's strategy and

objectives by a monitoring committee set up in accordance with Article 27.

That monitoring committee may set up one or, in particular in the case of sub-programmes,

more steering committees which act under its responsibility for the selection of operations.

Where all or part of an operation is implemented outside the programme area [inside or outside

the Union], the selection of that operation shall require the explicit approval by the managing

authority in the monitoring committee or, where applicable, the steering committee.

2. For the selection of operations, the monitoring committee or, where applicable, the steering

committee shall establish and apply criteria and procedures which are non-discriminatory

and transparent, ensure gender equality and take account of the Charter of Fundamental

Rights of the European Union and the principle of sustainable development and of the

Union policy on the environment in accordance with Article 11 and Article 191(1) of the

TFEU.

The criteria and procedures shall ensure the prioritisation of operations to be selected with a

view to maximise the contribution of Union funding to the achievement of the objectives of the

Interreg programme and to implementing the cooperation dimension of operations under

Interreg programmes, as set out in Article 23(1) and (4).

3. The managing authority shall consult the Commission and take its comments into account

prior to the initial submission of the selection criteria to the monitoring committee or,

where applicable, the steering committee. The same shall apply for any subsequent

changes to those criteria.

4. In selecting operations, the monitoring committee or, where applicable, the steering

committee shall:

(a) ensure that selected operations comply with the Interreg programme and provide an

effective contribution to the achievement of its specific objectives;

(b) ensure that selected operations do not conflict with the corresponding strategies

established under Article 10(1) or established for one or more of the external

financing instruments of the Union;

(c) ensure that selected operations present the best relationship between the amount of

support, the activities undertaken and the achievement of objectives;


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(d) verify that the beneficiary has the necessary financial resources and mechanisms to

cover operation and maintenance costs;

(e) ensure that selected operations which fall under the scope of Directive 2011/92/EU

of the European Parliament and of the Council68 are subject to an environmental

impact assessment or a screening procedure, on the basis of the requirements of that

Directive as amended by Directive 2014/52/EU of the European Parliament and of

the Council69.

(f) verify that where the operations have started before the submission of an application

for funding to the managing authority, the applicable law has been complied with;

(g) ensure that selected operations fall within the scope of the Interreg fund concerned

and are attributed to a type of intervention;

(h) ensure that operations do not include activities which were part of an operation

subject to relocation in accordance with Article [60] of Regulation (EU) [new CPR]

or which would constitute a transfer of a productive activity in accordance with

[point (a) of Article 59(1)] of that Regulation.

(i) ensure that selected operations are not affected by a reasoned opinion by the

Commission in respect of an infringement under Article 258 of the TFEU that puts at

risk the legality and regularity of expenditure or the performance of operations;

(j) ensure the climate proofing of investments in infrastructure with an expected

lifespan of at least five years.

5. The monitoring committee or, where applicable, the steering committee shall approve the

methodology and criteria used for the selection of Interreg operations, including any

changes thereto, without prejudice to [point (b) of Article 27(3)] of Regulation (EU) [new

CPR] with regard to CLLD and to Article 24 of this Regulation.

6. For each Interreg operation, the managing authority shall provide a document to the lead or

sole partner setting out the conditions for support of that Interreg operation, including the

specific requirements concerning the products or services to be delivered, its financing

plan, time-limit for its execution and, where applicable, the method to be applied for

determining the costs of the operation and the conditions for payment of the grant.

That document shall also set out the lead partner's obligations with regard to recoveries

pursuant to Article 50. Those obligations shall be defined by the monitoring committee.

However, a lead partner located in a different Member State, third country, partner country or

OCT from the partner shall not be obliged to recover through a judicial procedure.

68 Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011

on the assessment of the effects of certain public and private projects on the environment (OJ

L 26, 28.1.2012, p. 1). 69 Directive 2014/52/EU of the European Parliament and of the Council of 16 April 2014

amending Directive 2011/92/EU (OJ L 124, 25.4.2014, p. 1).


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Article 23

Partnership within Interreg operations

1. Operations selected under components 1, 2 and 3 shall involve actors from at least two

participating countries, at least one of which shall be a beneficiary from a Member State.

Beneficiaries receiving support from an Interreg fund and partners which do not receive any

financial support under those funds (beneficiaries and partners together: 'partners') constitute

an Interreg operation partnership.

2. An Interreg operation may be implemented in a single country, provided that the impact on

and the benefits for the programme area are identified in the operation application.

3. Paragraph 1 shall not apply to operations under the PEACE PLUS programme in where the

programme is acting in support of peace and reconciliation.

4. Partners shall cooperate in the development, implementation, staffing and financing of

Interreg operations.

For Interreg operations under component 3 Interreg programmes, the partners from outermost

regions and third countries, partner countries or OCTs shall be required to cooperate only in

three of the four dimensions listed in the first subparagraph.

5. Where there are two or more partners, one of them shall be designated by all the partners

as the lead partner.

6. A cross-border legal body or an EGTC may be the sole partner of an Interreg operation

under component 1, 2 and 3 Interreg programmes, provided that the members thereof

involve partners from at least two participating countries.

The cross-border legal body or EGTC shall have members from at least three participating

countries under component 4 Interreg programmes.

A legal body that implements a financial instrument or a fund of funds, as applicable, may be

the sole partner of an Interreg operation without the application of the requirements for its

composition set out in paragraph 1.

7. A sole partner shall be registered in a Member State participating in the Interreg

programme.

However, a sole partner may be registered in a Member State not participating in that

programme, provided the conditions set out in Article 23 are satisfied.

Article 24

Small project funds

1. The contribution from the ERDF or, where applicable, an external financing instrument of

the Union, to a small project fund within an Interreg programme shall not exceed

EUR 20 000 000 or 15% of the total allocation of the Interreg programme, whichever is

lower.


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The final recipients within a small project fund shall receive support from the ERDF or, where

applicable the external financing instruments of the Union through the beneficiary and

implement the small projects within that small project fund (‘small project’).

2. The beneficiary of a small project fund shall be a cross-border legal body or an EGTC.

3. The document setting out the conditions for support to a small project fund shall, in

addition to the elements laid down in Article 22(6) set out the elements necessary to ensure

that the beneficiary:

(a) establishes a non-discriminatory and transparent selection procedure;

(b) applies objective criteria for the selection of small projects, which avoid conflicts of

interest;

(c) assesses applications for support;

(d) selects projects and fixes the amount of support for each small project;

(e) is accountable for the implementation of the operation and keeps at its level all

supporting documents required for the audit trail in accordance with Annex [XI] of

Regulation (EU) [new CPR];

(f) makes available to the public the list of the final recipients which benefit from the

operation.

The beneficiary shall ensure that the final recipients comply with the requirements set out in

Article 35.

4. The selection of small projects shall not constitute a delegation of tasks from the managing

authority to an intermediate body as referred to in Article [65(3)] of Regulation (EU) [new

CPR].

5. Staff and indirect costs generated at the level of the beneficiary for the management of the

small project fund shall not exceed 20% of the total eligible cost of the respective small

project fund.

6. Where the public contribution to a small project does not exceed EUR 100 000, the

contribution from the ERDF or, where applicable, an external financing instrument of the

Union shall take the form of unit costs or lump sums or include flat rates, except for

projects for which the support constitutes State aid.

Where flat-rate financing is used, the categories of costs to which the flat rate is applied may

be reimbursed in accordance with [point (a) of Article 48(1)] of Regulation (EU) [new CPR].

Article 25

Tasks of the lead partner

1. The lead partner shall:


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(a) lay down the arrangements with the other partners in an agreement comprising

provisions that, inter alia, guarantee the sound financial management of the

respective Union fund allocated to the Interreg operation, including the arrangements

for recovering amounts unduly paid;

(b) assume responsibility for ensuring implementation of the entire Interreg operation;

(c) ensure that expenditure presented by all partners has been incurred in implementing

the Interreg operation and corresponds to the activities agreed between all the

partners, and is in accordance with the document provided by the managing authority

pursuant to Article 22(6).

2. If not otherwise specified in the arrangements laid down pursuant to point (a) of paragraph

1 the lead partner shall ensure that the other partners receive the total amount of the

contribution from the respective Union fund as quickly as possible and in full. No amount

shall be deducted or withheld and no specific charge or other charge with equivalent effect

shall be levied that would reduce that amount for the other partners.

3. Any beneficiary in a Member State, third country, partner country or OCT participating in

an Interreg programme may be designated as the lead partner.

However, Member States, third countries, partner countries or OCTs participating in an

Interreg programme may agree that a partner not receiving support from the ERDF or an

external financing instrument of the Union may be designated as the lead partner.

SECTION IV

TECHNICAL ASSISTANCE

Article 26

Technical assistance

1. Technical assistance to each Interreg programme shall be reimbursed as a flat rate by

applying the percentages set out in paragraph 2 to the eligible expenditure included in each

payment application pursuant to [points (a) or (c) of Article 85(3)] of Regulation (EU)

[new CPR] as appropriate.

2. The percentage of the ERDF and the external financing instruments of the Union to be

reimbursed for technical assistance shall be as follows:

(a) for internal cross-border cooperation Interreg programmes supported by the ERDF:

6%;

(b) for external cross-border Interreg programmes supported by IPA III CBC or NDICI

CBC: 10%;

(c) for component 2, 3 and 4 Interreg programmes, both for the ERDF and, where

applicable, for the external financing instruments of the Union: 7%.


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3. For Interreg programmes with a total allocation between EUR 30 000 000 and

EUR 50 000 000 the amount resulting from the percentage for technical assistance shall be

increased by an additional amount of EUR 500 000. The Commission shall add that

amount to the first interim payment.

4. For Interreg programmes with a total allocation below EUR 30 000 000, the amount

needed for technical assistance expressed in EUR and the resulting percentage shall be

fixed in the Commission decision approving the Interreg programme concerned.

CHAPTER IV

Monitoring, evaluation and communication

SECTION I

MONITORING

Article 27

Monitoring committee

1. The Member States and, where applicable, the third countries, partner countries and OCTs

participating in that programme shall set up, in agreement with the managing authority, a

committee to monitor implementation of the respective Interreg programme ('monitoring

committee') within three months of the date of notification to the Member States of the

Commission decision adopting an Interreg programme,

2. The monitoring committee shall be chaired by a representative of the Member State

hosting the managing authority or of the managing authority.

Where the rules of procedure of the monitoring committee establish a rotating chair, the

monitoring committee may be chaired by a representative of a third country, partner country or

OCT, and co-chaired by a representative of the Member State or of the managing authority,

and vice-versa.

3. Each member of the monitoring committee shall have the right to vote.

4. Each monitoring committee shall adopt its rules of procedure during its first meeting.

The rules of procedure of the monitoring committee and, where applicable, of the steering

committee shall prevent any situation of conflict of interest when selecting Interreg operations.

5. The monitoring committee shall meet at least once a year and shall review all issues that

affect the programme’s progress towards achieving its objectives.

6. The managing authority shall publish the rules of procedures of the monitoring committee

and all the data and information shared with the monitoring committee on the website

referred to in Article 35(2).


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Article 28

Composition of the monitoring committee

1. The composition of the monitoring committee of each Interreg programme shall be agreed

by the Member States and, where applicable, by the third countries, partner countries and

OCTs participating in that programme and shall ensure a balanced representation of the

relevant authorities, intermediate bodies and representatives of the programme partners

referred to in Article [6] of Regulation (EU) [new CPR] from Member States, third

countries, partner countries and OCTs.

The composition of the monitoring committee shall take into account the number of

participating Member States, third countries, partner countries and OCTs in the Interreg

programme concerned.

The monitoring committee shall also include representatives of bodies jointly set up in the

whole programme area or covering a part thereof, including EGTCs.

2. The managing authority shall publish a list of the members of the monitoring committee on

the website referred to in Article 35(2).

3. Representatives of the Commission shall participate in the work of the monitoring

committee in an advisory capacity.

Article 29

Functions of the monitoring committee

1. The monitoring committee shall examine:

(a) the progress in programme implementation and in achieving the milestones and

targets of the Interreg programme;

(b) any issues that affect the performance of the Interreg programme and the measures

taken to address those issues;

(c) with regard to financial instruments, the elements of the ex ante assessment listed in

Article [52(3)] of Regulation (EU) [new CPR] and the strategy document referred to

in Article [53(2)] of that Regulation;

(d) the progress made in carrying out evaluations, syntheses of evaluations and any

follow-up given to findings;

(e) the implementation of communication and visibility actions;

(f) the progress in implementing Interreg operations of strategic importance and, where

applicable, of large infrastructure projects;

(g) the progress in administrative capacity building for public institutions and

beneficiaries, where relevant.

2. In addition to its tasks concerning the selection of operations listed in Article 22, the

monitoring committee shall approve:


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(a) the methodology and criteria used for the selection of operations, including any

changes thereto, after consultation with the Commission pursuant to Article 22(2),

without prejudice to [points (b), (c) and (d) of Article 27(3)] of Regulation (EU)

[new CPR];

(b) the evaluation plan and any amendment thereto;

(c) any proposal by the managing authority for the amendment of the Interreg

programme including for a transfer in accordance with Article 19(5);

(d) the final performance report.

Article 30

Review

1. A review may be organised by the Commission to examine the performance of Interreg

programmes.

The review may be carried out in writing.

2. At the request of the Commission, the managing authority shall, within one month, provide

the Commission with the information on the elements listed in Article 29(1):

(a) progress in programme implementation and in achieving the milestones and targets,

any issues affecting the performance of the respective Interreg programme and the

actions taken to address them;

(b) progress made in carrying out evaluations, syntheses of evaluations and any follow-

up given to findings

(c) the progress in the administrative capacity building of public authorities and

beneficiaries.

3. The outcome of the review shall be recorded in agreed minutes.

4. The managing authority shall follow-up issues raised by the Commission and inform the

Commission within three months of the measures taken.

Article 31

Transmission of data

1. Each managing authority shall electronically transmit to the Commission cumulative data

for the respective Interreg programme by 31 January, 31 March, 31 May, 31 July, 30

September and 30 November of each year in accordance with the template in Annex [VII]

to Regulation (EU) [new CPR].

The first transmission shall be due by 31 January 2022 and the last one by 31 January 2030.

2. The data referred to in paragraph 1 shall be broken down for each priority by specific

objective and shall refer to:


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(a) the number of selected Interreg operations, their total eligible cost, the contribution

from the respective Interreg fund and the total eligible expenditure declared by the

partners to the managing authority, all broken down by types of intervention;

(b) the values of output and result indicators for selected Interreg operations and values

achieved by Interreg operations.

3. For financial instruments, data shall also be provided on the following:

(a) eligible expenditure by type of financial product;

(b) the amount of management costs and fees declared as eligible expenditure;

(c) the amount, by type of financial product, of private and public resources mobilised in

addition to the Funds;

(d) interest and other gains generated by support from the Interreg funds to financial

instruments as referred to in Article 54 of Regulation (EU) [new CPR] and resources

returned attributable to support from the Interreg funds as referred to in Article 56 of

that Regulation.

4. The data submitted in accordance with this Article shall be up-to-date as of the end of the

month preceding the month of submission.

5. The managing authority shall publish all the data transmitted to the Commission on the

website referred to in Article 35(2).

Article 32

Final performance report

1. Each managing authority shall submit to the Commission a final performance report on the

respective Interreg programme by 15 February 2031.

The final performance report shall be submitted using the template established in accordance

with Article [38(5)] of Regulation (EU) [new CPR].

2. The final performance report shall assess the achievement of programme objectives based

on the elements listed in Article 29 with the exception of point (c) of paragraph 1 thereof.

3. The Commission shall examine the final performance report and inform the managing

authority of any observations within five months of the date of receipt of thatreport. Where

such observations are made, the managing authority shall provide all necessary information

with regard to those observations and, where appropriate, inform the Commission, within

three months, of measures taken. The Commission shall inform the Member State of the

acceptance of the report.

4. The managing authority shall publish the final performance report on the website referred

to in Article 35(2).


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Article 33

Indicators for the European territorial cooperation goal (Interreg)

1. Common output and common result indicators, as set out in Annex [I] to Regulation (EU)

[new ERDF], and, where necessary, programme-specific output and result indicators shall

be used in accordance with Article [12(1)] of Regulation (EU) [new CPR], and point (d)(ii)

of Article 17(3) and point (b) of Article 31(2) of this Regulation.

2. For output indicators, baselines shall be set at zero. The milestones set for 2024 and targets

set for 2029 shall be cumulative.

SECTION II

EVALUATION AND COMMUNICATION

Article 34

Evaluation during the programming period

1. The managing authority shall carry out evaluations of each Interreg programme. Each

evaluation shall assess the programme’s effectiveness, efficiency, relevance, coherence and

EU added value with the aim to improve the quality of the design and implementation of

the respective Interreg programme.

2. In addition, the managing authority shall carry out an evaluation for each Interreg

programme to assess its impact by 30 June 2029.

3. The managing authority shall entrust evaluations to functionally independent experts.

4. The managing authority shall ensure the necessary procedures to produce and collect the

data necessary for evaluations.

5. The managing authority shall draw up an evaluation plan that may cover more than one

Interreg programme.

6. The managing authority shall submit the evaluation plan to the monitoring committee no

later than one year after the approval of the Interreg programme.

7. The managing authority shall publish all evaluations on the website referred to in Article

35(2).

Article 35

Responsibilities of managing authorities and partners with regard to transparency and

communication

1. Each managing authority shall identify a communication officer for each Interreg

programme under its responsibility.

2. The managing authority shall ensure that, within six months of the Interreg programme's

approval, there is a website where information on each Interreg programme under its


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responsibility is available, covering the programme’s objectives, activities, available

funding opportunities and achievements.

3. Article [44(2) to (7)] of Regulation (EU) [new CPR] on the responsibilities of the

managing authority shall apply.

4. Each partner of an Interreg operation or each body implementing a financing instrument

shall acknowledge support from an Interreg fund, including resources reused for financial

instruments in accordance with Article [56] of Regulation (EU) [new CPR], to the Interreg

operation by:

(a) providing on the partner's professional website, where such a website exists, a short

description of the Interreg operation, proportionate to the level of support provided

by an Interreg fund, including its aims and results, and highlighting the financial

support from the Union;

(b) providing a statement highlighting the support from an Interreg fund in a visible

manner on documents and communication material relating to the implementation of

the Interreg operation, used for the public or for participants;

(c) publicly displaying public plaques or billboards as soon as the physical

implementation of an Interreg operation involving physical investment or the

purchase of equipment starts, the total cost of which exceeds EUR 100 000;

(d) for Interreg operations not falling under point (c), publicly displaying at least one

printed or electronic display of a minimum size A3 with information about the

Interreg operation highlighting the support from an Interreg fund;

(e) for operations of strategic importance and operations whose total cost exceed EUR

10 000 000 organising a communication event and involving the Commission and

the responsible managing authority in a timely manner.

The term 'Interreg' shall be used next to the emblem of the Union in accordance with Article

[42] of Regulation (EU) [new CPR].

5. For small project funds and financial instruments, the beneficiary shall ensure that final

recipients comply with the requirements set out in point (c) of paragraph 4.

6. Where the beneficiary does not comply with its obligations under Article [42] of

Regulation (EU) [new CPR] or paragraphs 1 and 2 of this Article, the Member State shall

apply a financial correction by cancelling up to 5% of the support from the Funds to the

operation concerned.


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CHAPTER V

Eligibility

Article 36

Rules on eligibility of expenditure

1. All or part of an Interreg operation may be implemented outside of a Member State,

including outside the Union, provided that the Interreg operation contributes to the

objectives of the respective Interreg programme.

2. Without prejudice to the eligibility rules laid down in Articles [57 to 62] of Regulation

(EU) [new CPR], Articles [4 and 6] of Regulation (EU) [new ERDF] or in this Chapter,

including in acts adopted thereunder, the participating Member States and, where

applicable, third countries, partner countries and OCTs shall, by a joint decision in the

monitoring committee, only establish additional rules on eligibility of expenditure for the

Interreg programme on categories of expenditure not covered by those provisions. Those

additional rules shall cover the programme area as a whole.

However, where an Interreg programme selects operations based on calls for proposals, those

additional rules shall be adopted before the first call for proposals is published. In all other

cases, those additional rules shall be adopted before the first operations are selected.

3. For matters not covered by the eligibility rules laid down in Articles [57 to 62] of

Regulation (EU) [new CPR], Articles [4 and 6] of Regulation (EU) [new ERDF] and this

Chapter, including in acts adopted thereunder or in rules established in accordance with

paragraph 4, the national rules of the Member State and, where applicable, of the third

countries, partner countries and OCTs in which the expenditure is incurred shall apply.

4. In the event of a difference of opinion between the managing authority and the audit

authority with regard to the eligibility as such of an Interreg operation selected under the

respective Interreg programme, the opinion of the managing authority shall prevail, taking

due account of the opinion of the monitoring committee.

5. OCTs shall not be eligible for support from the ERDF under Interreg programmes, but may

participate in those programmes under the conditions set out in this Regulation.

Article 37

General provisions on eligibility of cost categories


and OCTs, may agree in the monitoring committee of an Interreg programme that

expenditure falling under one or more of the categories referred to in Articles 38 to 43 shall

not be eligible under one or more priorities of an Interreg programme.

2. Any expenditure eligible in accordance with this Regulation, paid by or on behalf of an

Interreg partner, shall relate to the costs of initiating or initiating and implementing an

operation or part of an operation.


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3. The following costs are not eligible:

(a) fines, financial penalties and expenditure on legal disputes and litigation;

(b) costs of gifts, except those not exceeding EUR 50 per gift where related to

promotion, communication, publicity or information;

(c) costs related to fluctuation of foreign exchange rate.

Article 38

Staff costs

1. Staff costs shall consist of gross employment costs of staff employed by the Interreg

partner in one of the following ways:

(a) full time;

(b) part-time with a fixed percentage of time worked per month;

(c) part-time with a flexible number of hours worked per month; or

(d) on an hourly basis.

2. Staff costs shall be limited to the following:

(a) salary payments related to the activities which the entity would not carry out if the

operation concerned was not undertaken, fixed in an employment or work contract,

an appointment decision (both hereinafter referred to as ‘employment document’) or

by law, relating to responsibilities specified in the job description of the staff

member concerned;

(b) any other costs directly linked to salary payments incurred and paid by the employer,

such as employment taxes and social security including pensions as covered by

Regulation (EC) No 883/2004 of the European Parliament and of the Council70,

provided that they are:

(i) fixed in an employment document or by law;

(ii) in accordance with the legislation referred to in the employment document and

with standard practices in the country or the organisation where the individual

staff member is actually working or both; and

(iii) not recoverable by the employer.

With regard to point (a), payments to natural persons working for the Interreg partner under a

contract other than an employment or work contract may be assimilated to salary payments

and such a contract considered as an employment document.

3. Staff costs may be reimbursed either:

70 Regulation (EC) No 883/2004 of the European Parliament and of the Council of 29 April

2004 on the coordination of social security systems (OJ L 166, 30.4.2004, p.1).


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(a) in accordance with [point (a) of the first subparagraph of Article 48(1)] of Regulation

(EU) [new CPR] (proven by the employment document and payslips); or

(b) under simplified cost options as set out in [points (b) to (e) of the first subparagraph

of Article 48(1)] of Regulation (EU) [new CPR]; or

(c) as a flat rate in accordance with Article [50(1)] of Regulation (EU) [new CPR].

4. Staff costs related to individuals who work on part-time assignment on the operation, shall

be calculated as either:

(a) a fixed percentage of the gross employment cost in accordance with Article [50(2)]

of Regulation (EU) [new CPR]; or

(b) a flexible share of the gross employment cost, in line with a number of hours varying

from one month to the other worked on the operation, based on a time registration

system covering 100 % of the working time of the employee.

5. For part-time assignments under point (b) of paragraph 4, the reimbursement of staff costs

shall be calculated on an hourly rate basis determined either by:

(a) dividing the monthly gross employment cost by the monthly working time fixed in

the employment document expressed in hours; or

(b) dividing the latest documented annual gross employment cost by 1 720 hours in

accordance with [paragraphs 2, 3 and 4 of Article [50] of Regulation (EU) [new

CPR].

6. As regards staff costs related to individuals who, according to the employment document,

work on an hourly basis, such costs shall be eligible applying the number of hours actually

worked on the operation to the hourly rate agreed in the employment document based on a

working time registration system.

Article 39

Office and administrative costs

Office and administrative costs shall be limited to the following elements:

(a) office rent;

(b) insurance and taxes related to the buildings where the staff is located and to the equipment

of the office (e.g. fire, theft insurances);

(c) utilities (e.g. electricity, heating, water);

(d) office supplies;

(e) general accounting provided inside the beneficiary organisation;

(f) archives;

(g) maintenance, cleaning and repairs;


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(h) security;

(i) IT systems;

(j) communication (e.g. telephone, fax, internet, postal services, business cards);

(k) bank charges for opening and administering the account or accounts where the

implementation of an operation requires a separate account to be opened;

(l) charges for transnational financial transactions.

Article 40

Travel and accommodation costs

1. Travel and accommodation costs shall be limited to the following elements:

(a) travel costs (e.g. tickets, travel and car insurance, fuel, car mileage, toll, and parking

fees);

(b) the costs of meals;

(c) accommodation costs;

(d) visa costs;

(e) daily allowances,

regardless whether such costs are incurred and paid in or outside the programme area.

2. Any element listed in points (a) to (d) of paragraph 1 covered by a daily allowance shall

not be reimbursed in addition to the daily allowance.

3. Travel and accommodation costs of external experts and service providers fall under

external expertise and services costs listed in Article 41.

4. Direct payment of expenditure for costs under this Article by an employee of the

beneficiary shall be supported by a proof of reimbursement by the beneficiary to that

employee.

5. Travel and accommodation costs of an operation may be calculated at a flat rate of up to

15 % of the direct costs other than the direct staff costs of that operation.

Articles 41

External expertise and services costs

External expertise and service costs shall be limited to the following services and expertise provided

by a public or private law body or a natural person other than the beneficiary of the operation:

(a) studies or surveys (e.g. evaluations, strategies, concept notes, design plans, handbooks);

(b) training;


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(c) translations;

(d) IT systems and website development, modifications and updates;

(e) promotion, communication, publicity or information linked to an operation or to a

cooperation programme as such;

(f) financial management;

(g) services related to the organisation and implementation of events or meetings (including

rent, catering or interpretation);

(h) participation in events (e.g. registration fees);

(i) legal consultancy and notarial services, technical and financial expertise, other consultancy

and accountancy services;

(j) intellectual property rights;

(k) verifications under [point (a) of Article 68(1)] of Regulation (EU) [new CPR] and Article

45(1) of this Regulation;

(l) costs for the accounting function on programme level under Article [70] of Regulation

(EU) [new CPR] and Article 46 of this Regulation;

(m) audit costs on programme level under Articles [72] and [75] of Regulation (EU) [new

CPR] under Articles 47 and 48 of this Regulation;

(n) the provision of guarantees by a bank or other financial institution where required by

Union or national law or in a programming document adopted by the monitoring

committee;

(o) travel and accommodation for external experts, speakers, chairpersons of meetings and

service providers;

(p) other specific expertise and services needed for operations.

Article 42

Equipment costs

1. Costs for equipment purchased, rented or leased by the beneficiary of the operation other

than those covered by Article 39 shall be limited to the following:

(a) office equipment;

(b) IT hardware and software;

(c) furniture and fittings;

(d) laboratory equipment;

(e) machines and instruments,


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(f) tools or devices;

(g) vehicles;

(h) other specific equipment needed for operations.

2. Costs for the purchase of second-hand equipment may be eligible subject to the following

conditions:

(a) no other assistance has been received for it from the Interreg funds or the Funds

listed in [point (a) of Article 1(1)] of Regulation (EU) [new CPR];

(b) this price does not exceed the generally accepted price on the market in question;

(c) it has the technical characteristics necessary for the operation and complies with

applicable norms and standards.

Article 43

Costs for infrastructure and works

Costs for infrastructure and works shall be limited to the following:

(a) purchase of land in accordance with [point (c) of Article 58(1)] of Regulation (EU) [new

CPR];

(b) building permits;

(c) building material;

(d) labour;

(e) specialised interventions (e.g. soil remediation, mine-clearing).

CHAPTER VI

Interreg programme authorities, management, control and audit

Article 44

Interreg programme authorities

1. Member States and, where applicable, third countries, partner countries and OCTs

participating in an Interreg programme shall identify, for the purposes of Article [65] of

Regulation (EU) [new CPR], a single managing authority and a single audit authority.

2. The managing authority and the audit authority shall be located in the same Member State.

3. Concerning the PEACE PLUS programme, the Special EU Programmes Body, when

identified as the managing authority, shall be considered as located in a Member State.


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participating in an Interreg programme may identify an EGTC as managing authority of

that programme.

5. With regard to an Interreg programme under component 2B or under component 1 where

the latter covers long borders with heterogenous development challenges and needs,

Member States and, where applicable, third countries, partner countries and OCTs

participating in an Interreg programme may define sub-programme areas.

6. Where the managing authority identifies an intermediate body under an Interreg

programme in accordance with Article [65(3)] of Regulation (EU) [new CPR], the

intermediate body shall carry out those tasks in more than one participating Member State

or, where applicable, third country, partner country or OCT.

Article 45

Functions of the managing authority

1. The managing authority of an Interreg programme shall carry out the functions laid down

in Articles [66], [68] and [69] of Regulation (EU) [new CPR] with the exception of the

task of selecting operations referred to in point (a) of Article 66(1) and Article 67 and of

payments to beneficiaries referred to in point (b) of Article 68(1). Those functions shall be

carried out in the whole of the territory covered by that programme, subject to derogations

set out under Chapter VIII of this Regulation.

2. The managing authority, after consultation with the Member States and, where applicable,

any third countries, partner countries or OCTs participating in the Interreg programme,

shall set up a joint secretariat, with staff taking into account the programme partnership.

The joint secretariat shall assist the managing authority and the monitoring committee in

carrying out their respective functions. The joint secretariat shall also provide information to

potential beneficiaries about funding opportunities under Interreg programmes and shall assist

beneficiaries and partners in the implementation of operations.

3. By way of derogation from [point (c) of Article 70(1)] of Regulation (EU) [new CPR],

expenditure paid in another currency shall be converted into euro by each partner using the

monthly accounting exchange rate of the Commission in the month during which that

expenditure was submitted for verification to the managing authority in accordance with

[point (a) of Article 68(1)] of that Regulation.

Article 46

The accounting function


participating in an Interreg programme shall agree on the arrangements for carrying out the

accounting function.

2. The accounting function shall consist of the tasks listed in [points (a) and (b) of

Article 70(1)] of Regulation [new CPR] and shall also cover the payments made by the

Commission and, as a general rule, the payments made to the lead partner in accordance

with [point (b) of Article 68(1)] of Regulation (EU) [new CPR].


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Article 47

Functions of the audit authority

1. The audit authority of an Interreg programme shall carry out the functions provided for in

this Article and in Article 48 in the whole of the territory covered by that Interreg

programme, subject to the derogations set out in Chapter VIII.

However, a participating Member State may specify when the audit authority is to be

accompanied by an auditor from that participating Member State.

2. The audit authority of an Interreg programme shall be responsible for carrying out system

audits and audits on operations in order to provide independent assurance to the

Commission that management and control systems function effectively and that

expenditure included in the accounts submitted to the Commission is legal and regular.

3. Where an Interreg programme is included in the population from which the Commission

selects a common sample under Article 48(1), the audit authority shall carry out audits of

operations selected by the Commission in order to provide independent assurance to the

Commission that management and control systems function effectively.

4. Audit work shall be carried out in accordance with internationally accepted audit

standards.

5. The audit authority shall draw up and submit to the Commission each year by 15 February

following the end of the accounting year an annual audit opinion in accordance with

Article [63(7)] of Regulation [FR-Omnibus] using the template set out in Annex [XVI] to

Regulation (EU) [new CPR] and based on all audit work carried out, covering each of the

following components:

(a) the completeness, veracity and accuracy of the accounts;

(b) the legality and regularity of the expenditure included in the accounts submitted to

the Commission;

(c) the management and control system of the Interreg programme.

Where the Interreg programme is included in the population from which the Commission

selects a sample pursuant to Article 48(1), the annual audit opinion shall only cover the

components referred to in points (a) and (c) of the first subparagraph.

The deadline of 15 February may exceptionally be extended by the Commission to 1 March,

upon communication by the Member State hosting the managing authority concerned.

6. The audit authority shall draw up and submit to the Commission each year by 15 February

following the end of the accounting year an annual control report in accordance with [point

(b) of Article 63(5)] of Regulation [FR-Omnibus] using the template set out in Annex

[XVII] of Regulation (EU) [new CPR] and, supporting the audit opinion provided for in

paragraph 5 of this Article and setting out a summary of the findings, including an analysis

of the nature and extent of any errors and deficiencies in the systems as well as the

proposed and implemented corrective actions and the resulting total error rate and residual

error rate for the expenditure entered in the accounts submitted to the Commission.


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7. Where the Interreg programme is included in the population from which the Commission

selects a sample under Article 48(1), the audit authority shall draw up the annual control

report referred to in paragraph 6 of this Article and fulfilling the requirements of [point (b)

of Article 63(5)] of Regulation (EU, Euratom) [FR-Omnibus] using the template set out in

Annex [XVII] to Regulation (EU) [new CPR] and supporting the audit opinion provided

for in paragraph 5 of this Article.

That report shall set out a summary of the findings, including an analysis of the nature and

extent of any errors and deficiencies in the systems as well as the proposed and implemented

corrective actions, the results of the audits of operations carried out by the audit authority in

relation to the common sample referred to in Article 48(1) and the financial corrections applied

by the Interreg programme authorities for any individual irregularities detected by the audit

authority for these operations.

8. The audit authority shall transmit system audit reports to the Commission as soon as the

required contradictory procedure with the relevant auditees is concluded.

9. The Commission and the audit authority shall meet on a regular basis and at least once a

year, unless otherwise agreed, to examine the audit strategy, the annual control report and

the audit opinion, to coordinate their audit plans and methods and to exchange views on

issues relating to the improvement of management and control systems.

Article 48

Audit of operations

1. The Commission shall select a common sample of operations (or other sampling units)

using a statistical sampling method for the audits of operations to be carried out by the

audit authorities for the Interreg programmes receiving support from the ERDF or an

external financing instrument of the Union in respect of each accounting year.

The common sample shall be representative for all the Interreg programmes constituting the

population.

For the purposes of selecting the common sample, the Commission may stratify groups of

Interreg programmes according to their specific risks.

2. The programme authorities shall provide the information necessary for the selection of a

common sample to the Commission by 1 September following the end of each accounting

year at the latest.

That information shall be submitted in a standardised electronic format, shall be complete and

shall reconcile with the expenditure declared to the Commission for the reference accounting

year.

3. Without prejudice to the requirement to carry out an audit referred to in Article 47(2), the

audit authorities for Interreg programmes covered by the common sample shall not carry

out additional audits of operations under those programmes, unless requested by the

Commission in accordance with paragraph 8 of this Article or in cases for which an audit

authority has identified specific risks.


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4. The Commission shall inform the audit authorities of the Interreg programmes concerned

of the common sample selected in time to allow those authorities to carry out the audits of

operations, in general, by 1 October following the end of each accounting year, at the

latest.

5. The audit authorities concerned shall submit information on the results of these audits as

well as on any financial correction taken in relation to individual irregularities detected at

the latest in the annual control reports to be submitted to the Commission pursuant to

Article 47(6) and (7).

6. Following its assessment of the results of audits of operations selected pursuant to

paragraph 1, the Commission shall calculate a global extrapolated error rate with regard to

the Interreg programmes included in the population from which the common sample was

selected, for the purposes of its own assurance process.

7. Where the global extrapolated error rate referred to in paragraph 6 is above 2% of the total

expenditure declared for the Interreg programmes included in the population from which

the common sample was selected, the Commission shall calculate a global residual error

rate, taking account of financial corrections applied by the respective Interreg programme

authorities for individual irregularities detected by the audits of operations selected

pursuant to paragraph 1.

8. Where the global residual error rate referred to in paragraph 7 is above 2% of the

expenditure declared for the Interreg programmes included in the population from which

the common sample was selected, the Commission shall determine whether it is necessary

to request the audit authority of a specific Interreg programme or a group of Interreg

programmes most affected to carry out additional audit work in order to further evaluate

the error rate and assess the required corrective measures for the Interreg programmes

affected by the irregularities detected.

9. Based on the assessment of the results of the additional audit work requested pursuant to

paragraph 8, the Commission may request additional financial corrections to be applied on

the Interreg programmes affected by the irregularities detected. In such cases, the Interreg

programme authorities shall carry out the required financial corrections in accordance with

Article [97] of Regulation (EU) [new CPR].

10. Each audit authority of an Interreg programme for which the information referred to in

paragraph 2 is missing or incomplete or has not been submitted by the deadline laid down

in the first subparagraph of paragraph 2 shall carry out a separate sampling exercise for the

respective Interreg programme in accordance with Article [73] of Regulation (EU) [new

CPR]).


119

CHAPTER VII

Financial management

Article 49

Payments and pre-financing

1. The ERDF support and, where applicable, the support from external financing instruments

of the Union to each Interreg programme shall be paid, in accordance with Article 46(2),

into a single account with no national subaccounts.

2. The Commission shall pay a pre-financing based on the total support from each Interreg

fund, as set out in the decision approving each Interreg programme under Article 18,

subject to available funds, in yearly instalments as follows and before 1 July of the years

2022 to 2026, or, in the year of the approving decision, no later than 60 days after that

decision is adopted:

(a) 2021: 1%;

(b) 2022: 1%;

(c) 2023: 1%;

(d) 2024: 1%;

(e) 2025: 1%;

(f) 2026: 1%.

3. Where external cross-border Interreg programmes are supported by the ERDF and IPA III

CBC or NDICI CBC, the pre-financing for all funds supporting such an Interreg

programme shall be made in accordance with Regulation (EU) [IPA III] or [NDICI] or of

any act adopted thereunder.

The pre-financing amount may be paid in two instalments, where necessary, according to

budgetary needs.

The total amount paid as pre-financing shall be reimbursed to the Commission if no payment

application under the cross-border Interreg programme is sent within 24 months of the date on

which the Commission pays the first instalment of the pre-financing amount. Such

reimbursement shall constitute internal assigned revenue and shall not reduce the support from

the ERDF, IPA III CBC or NDICI CBC to the programme.

Article 50

Recoveries

1. The managing authority shall ensure that any amount paid as a result of an irregularity is

recovered from the lead or sole partner. Partners shall repay to the lead partner any

amounts unduly paid.


120

2. Where the lead partner does not succeed in securing repayment from other partners or

where the managing authority does not succeed in securing repayment from the lead or

sole partner, the Member State, third country, partner country or OCT on whose territory

the partner concerned is located or, in the case of an EGTC, is registered shall reimburse

the managing authority any amounts unduly paid to that partner. The managing authority

shall be responsible for reimbursing the amounts concerned to the general budget of the

Union, in accordance with the apportionment of liabilities among the participating Member

States, third countries, partner countries or OCTs laid down in the Interreg programme.

3. Once the Member State, third country, partner country or OCT has reimbursed the

managing authority any amounts unduly paid to a partner, it may continue or start a

recovery procedure against that partner under its national law. In the event of successful

recovery, the Member State, third country, partner country or OCT may use those amounts

for the national co-financing of the Interreg programme concerned. The Member State,

third country, partner country or OCT shall not have any reporting obligations towards the

programme authorities, the monitoring committee or the Commission with regard to such

national recoveries.

4. Where a Member State, third country, partner country or OCT has not reimbursed the

managing authority any amounts unduly paid to a partner pursuant to paragraph 3, those

amounts shall be subject to a recovery order issued by the AOD which shall be executed,

where possible, by offsetting against amounts due to the Member State, third country,

partner country or OCT under subsequent payments to the same Interreg programme or, in

the case of a third country, partner country or an OCT, under subsequent payments to

programmes under the respective external financing instruments of the Union. Such

recovery shall not constitute a financial correction and shall not reduce the support from

the ERDF or any external financing instrument of the Union to the respective Interreg

programme. The amount recovered shall constitute assigned revenue in accordance with

Article [177(3)] of Regulation (EU, Euratom) [FR-Omnibus].

CHAPTER VIII

Participation of third countries or partner countries or OCTs in

Interreg programmes under shared management

Article 51

Applicable provisions

Chapters I to VII and Chapter X shall apply to the participation of third countries, partner countries

and OCTs in Interreg programmes subject to the specific provisions set out in this Chapter.

Article 52

Interreg programme authorities and their functions

1. Third countries, partner countries and OCTs participating in an Interreg programme shall

either allow the managing authority of that programme to carry out its functions in its

respective territory or shall identify a national authority as contact point for the managing


121

authority or a national controller to carry out management verifications as provided for in

[point (a) of Article 68(1)] of Regulation (EU) [new CPR] in its respective territory.


either allow the audit authority of that programme to carry out its functions in its respective

territory or shall identify a national audit authority or body, functionally independent from

the national authority.


delegate staff to the joint secretariat of that programme or shall set up a branch office in its

respective territory, or shall do both.

4. The national authority or a body equivalent to the Interreg programme communication

officer as provided for in Article 35(1), shall support the managing authority and partners

in the respective third country, partner country or OCT with regard to the tasks provided

for in Article 35(2) to (7).

Article 53

Management methods

1. External cross-border Interreg programmes supported both by ERDF and IPA III CBC or

NDICI CBC shall be implemented under shared management both in the Member States

and in any participating third country or partner country.

The PEACE PLUS programme shall be implemented under shared management both in

Ireland and in the United Kingdom.

2. Component 2 and 4 Interreg programmes combining contributions from the ERDF and

from one or more external financing instrument of the Union shall be implemented under

shared management both in the Member States and in any participating third country or

partner country or, with regard to component 3, in any OCT, whether or not that OCT

receives support under one or more external financing instruments of the Union.

3. Component 3 Interreg programmes combining contributions from the ERDF and one or

more external financing instruments of the Union shall be implemented in any of the

following ways:

(a) under shared management both in the Member States and in any participating third

country or OCT;

(b) under shared management only in the Member States and in any participating third

country or OCT with regard to ERDF expenditure outside the Union for one or more

operations, whereas the contributions from one or more external financing

instruments of the Union are managed under indirect management;

(c) under indirect management both in the Member States and in any participating third

country or OCT.

Where all or part of a component 3 Interreg programme is implemented under indirect

management, Article 60 shall apply.


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Article 54

Eligibility

1. By way of derogation from Article [57(2)] of Regulation (EU) [new CPR] expenditure

shall be eligible for a contribution from external financing instruments of the Union if it

has been incurred by a partner or the private partner of PPP operations in the preparation

and implementation of Interreg operations from 1 January 2021 and paid after the date

when the financing agreement with the respective third country, partner country or OCT

was concluded.

However, expenditure for technical assistance managed by programme authorities located in a

Member State shall be eligible as of 1 January 2021, even when paid for actions implemented

in favour of third countries, partner countries or OCTs.

2. Where an Interreg programme selects operations based on calls for proposals, such calls

may include applications for a contribution from external financing instruments of the

Union, even when launched before the relevant financing agreement was signed, and

operations may already be selected before such dates.

However, the managing authority may not provide the document provided for in Article 22(6)

before such dates.

Article 55

Large infrastructure projects

1. Interreg programmes under this section may support 'large infrastructure projects' meaning

operations comprising a set of works, activities or services intended to fulfil an indivisible

function of a precise nature pursuing clearly identified objectives of common interest for

the purposes of implementing investments delivering a cross-border impact and benefits

and where a budget share of at least EUR 2 500 000 is allocated to the acquisition of

infrastructure.

2. Each beneficiary implementing a large infrastructure project or a part thereof shall apply

the applicable public procurement rules.

3. Where the selection of one or more large infrastructure projects is on the agenda of a

monitoring committee or, where applicable, steering committee meeting, the managing

authority shall transmit a concept note for each such project to the Commission at the latest

two months before the date of the meeting. The concept note shall be a maximum of three

pages and shall indicate the name, the location, the budget, the lead partner and the

partners as well as the main objectives and deliverables thereof. If the concept note

concerning one or more large infrastructure projects is not transmitted to the Commission

by that deadline, the Commission may request that the chair of the monitoring committee

or steering committee remove the projects concerned from the agenda of the meeting.

Article 56

Procurement

1. Where the implementation of an operation requires procurement of service, supply or

works contracts by a beneficiary, the following rules shall apply:


123

(a) where the beneficiary is a contracting authority or a contracting entity within the

meaning of the Union law applicable to public procurement procedures, it shall apply

national laws, regulations and administrative provisions adopted in connection with

Union laws;

(b) where the beneficiary is a public authority of a partner country under IPA III or

NDICI whose co-financing is transferred to the Managing Authority, it may apply

national laws, regulations and administrative provisions, provided that the financing

agreement allows it and that the contract is awarded to the tender offering best value

for money, or as appropriate, to the tender offering the lowest price, while avoiding

any conflict of interests.

2. For the award of goods, works or services in all cases other than those referred to in

paragraph 1, the procurement procedures under Articles [178] and [179] of Regulation

(EU, Euratom) [FR-Omnibus] and Chapter 3 of Annex 1 (Points 36 to 41) to that

Regulation shall apply.

Article 57

Financial management

The Commission decisions approving Interreg programmes also supported by an external financing

instrument of the Union shall meet the requirements necessary to constitute financing decisions in

terms of Article [110(2)] of Regulation (EU, Euratom) [FR-Omnibus].

Article 58

Conclusion of Financing Agreements under shared management

1. In order to implement an Interreg programme in a third country, partner country or OCT,

in accordance with Article [112(4)] of Regulation (EU, Euratom) [FR-Omnibus], a

financing agreement shall be concluded between the Commission representing the Union

and each participating third country, partner country or OCT represented in accordance

with its national legal framework.

2. Any financing agreement shall be concluded at the latest on 31 December of the year

following the year when the first budget commitment was made and shall be considered

concluded on the date when the last party has signed it.

Any financing agreement shall enter into force either on the date

(a) when the last party has signed it; or

(b) when the third or partner country or OCT has completed the procedure required for

ratification under its national legal framework and informed the Commission .

3. Where an Interreg programme involves more than one third country, partner country or

OCT, at least one financing agreement shall be signed by both parties before that date. The

other third countries, partner countries or OCTs may sign their respective financing

agreements at the latest on 30 June of the second year following the year when the first

budget commitment was made.


124

4. The Member State hosting the managing authority of the relevant Interreg programme

either

(a) may also sign the financing agreement; or

(b) shall sign, on the same date, an implementing agreement with each third country,

partner country or OCT participating in that Interreg programme setting out the

mutual rights and obligations with regard to its implementation and financial

management.

When transmitting the signed copy of the financing agreement or a copy of the implementing

agreement to the Commission, the Member State hosting the managing authority shall also

send, as a separate document, a list of the planned large infrastructure projects as defined in

Article 55, indicating the prospective name, location, budget and lead partner thereof.

5. An implementing agreement signed pursuant to point (b) of paragraph 4 shall at least cover

the following elements:

(a) detailed arrangements for payments;

(b) financial management;

(c) record keeping;

(d) reporting obligations;

(e) verifications, controls and audit;

(f) irregularities and recoveries.

6. Where the Member State hosting the managing authority of the Interreg programme

decides to sign the financing agreement pursuant to point (a) of paragraph 4, that financing

agreement shall be considered a tool to implement the Union budget in accordance with the

Financial Regulation and not an international agreement as referred to in Articles 216 to

219 of the TFEU.

Article 59

Third country, partner country or OCT contribution other than co-financing

1. Where a third country, partner country or OCT transfers to the Managing Authority a

financial contribution to the Interreg programme other than its co-financing of the Union

support to the Interreg programme, the rules concerning that financial contribution shall be

contained in the following document:

(a) where the Member State signs the financing agreement pursuant to point (a) of

Article 58(4), in a separate implementing agreement signed either between the

Member State hosting the managing authority and the third country, partner country

or OCT or directly between the managing authority and the competent authority in

the third country, partner country or OCT;


125

(b) where the Member State signs an implementing agreement pursuant to point (b) of

Article 58(4), in one of the following:

(i) a distinct part of that implementing agreement; or

(ii) an additional implementing agreement signed between the same parties

referred to point (a).

For the purposes of point (b)(i) of the first subparagraph, sections of the

implementing agreement may, where applicable, cover both the transferred financial

contribution and the Union support to the Interreg programme.

2. An implementing agreement under paragraph 1 shall at least contain the elements

concerning the third country's, partner country's or OCT's co-financing listed in Article

58(5).

In addition, it shall set out both of the following:

(a) the amount of the additional financial contribution;

(b) the intended use and conditions for its use, including conditions for applications for

that additional contribution.

3. With regard to the PEACE PLUS programme, the financial contribution to Union activities

from the United Kingdom in the form of external assigned revenue as referred to in [point

(e) of Article 21(2)] of Regulation (EU, Euratom) [FR-Omnibus] shall make part of the

budget appropriations for Heading 2 'Cohesion and Values', sub-ceiling 'Economic, social

and territorial cohesion'.

That contribution shall be subject to a specific financing agreement with the United Kingdom

in accordance with Article 58. The Commission and the United Kingdom as well as Ireland

shall be parties to this specific financing agreement.

It shall be signed before the beginning of the implementation of the programme thus allowing

the Special EU Programmes Body to apply all the Union legislation for the implementation of

the programme.

CHAPTER IX

Specific provisions for direct or indirect management

Article 60

Outermost regions' cooperation

1. Where part or all of a component 3 Interreg programme is implemented under indirect

management pursuant to point (b) or (c) respectively of Article 53(3), implementation

tasks shall be entrusted to one of the bodies listed in point [(c) of the first subparagraph of

Article 62(1)] of Regulation (EU, Euratom) [FR-Omnibus], in particular to such a body

located in the participating Member State, including the managing authority of the Interreg

programme concerned.


126

2. In accordance with [point (c) of Article 154(6)] of Regulation (EU, Euratom) [FR-

Omnibus], the Commission may decide not to require an ex-ante assessment as referred to

in paragraphs 3 and 4 of that Article when the budget implementation tasks referred to in

[point (c) of the first subparagraph of Article 62(1)] of Regulation (EU, Euratom) [FR-

Omnibus] are entrusted to a managing authority of an outermost regions' Interreg

programme identified pursuant to Article 37(1) of this Regulation and in accordance with

Article [65] of Regulation (EU) [new CPR].

3. Where the budget implementation tasks referred to in [point (c) of the first subparagraph of

Article 62(1)] of Regulation [FR-Omnibus] are entrusted to a Member State organisation,

Article [157] of Regulation (EU, Euratom) [FR-Omnibus] shall apply.

4. Where a programme or action co-financed by one or more external financing instrument is

implemented by a third country, a partner country, an OCT or any of the other bodies listed

to in [point (c) of the first subparagraph of Article 62(1)] of Regulation (EU, Euratom)

[FR-Omnibus] or referred to in Regulation (EU) [NDICI] or Council Decision [OCT

Decision] or both, the relevant rules of these instruments shall apply, in particular Chapters

I, III and V of Title II of Regulation (EU) [NDICI].

Article 61

Interregional innovation investments

At the initiative of the Commission, the ERDF may support interregional innovation investments, as

set out in point 5 of Article 3, bringing together researchers, businesses, civil society and public

administrations involved in smart specialisation strategies established at national or regional levels.

CHAPTER X

Final provisions

Article 62

Exercise of the delegation

1. The power to adopt delegated acts is conferred on the Commission subject to the

conditions laid down in this Article.

2. The power to adopt delegated acts referred to in Article 16(6) shall be conferred on the

Commission from [as of one day after its publication = date of entry into force] until 31

December 2027.

3. The delegation of power referred to in Article 16(6) may be revoked at any time by the

European Parliament or by the Council. A decision to revoke shall put an end to the

delegation of the power specified in that decision. It shall take effect the day following the

publication of the decision in the Official Journal of the European Union or at a later date

specified therein. It shall not affect the validity of any delegated acts already in force.


127

4. Before adopting a delegated act, the Commission shall consult experts designated by each

Member State in accordance with the principles laid down in the Interinstitutional

Agreement of 13 April 2016 on Better Law-Making.

5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the

European Parliament and to the Council.

6. A delegated act adopted pursuant to Article 16(6) shall enter into force only if no objection

has been expressed either by the European Parliament or by the Council within a period of

[two months] of notification of that act to the European Parliament and the Council or if,

before the expiry of that period, the European Parliament and the Council have both

informed the Commission that they will not object. That period shall be extended by [two

months] at the initiative of the European Parliament or of the Council.

Article 63

Committee Procedure

1. The Commission shall be assisted by the committee set up pursuant to Article [108(1)] of

Regulation (EU) [new CPR]. That committee shall be a committee within the meaning of

Regulation (EU) No 182/2011.

2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011shall

apply.

Article 64

Transitional provisions

Regulation (EU) No 1299/2013 or any act adopted thereunder shall continue to apply to

programmes and operations supported by the ERDF under the 2014-2020 programming period.

Article 65

Entry into force

This Regulation shall enter into force on the day following that of its publication in the Official

Journal of the European Union.


Done at Brussels,




128


Brussels, 30 May 2018 (OR. en) 9536/18 ADD 1 FSTR 24 REGIO 32 FC 25 CADREFIN 51 RELEX 482 IA 152 CODEC 901


PROPOSAL




No. Cion doc.: COM(2018) 374 final - ANNEX

Subject: ANNEX to the Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on specific provisions for the European territorial cooperation goal (Interreg) supported by the European Regional Development Fund and external financing instruments

Delegations will find attached document COM(2018) 374 final - ANNEX.

Encl.: COM(2018) 374 final - ANNEX


129

EUROPEAN COMMISSION


COM(2018) 374 final

ANNEX

ANNEX

to the

Proposal for a


on specific provisions for the European territorial cooperation goal (Interreg) supported

by the European Regional Development Fund and external financing instruments



130

ANNEX

TEMPLATE FOR INTERREG PROGRAMMES

CCI [15 characters]

Title [255]

Version

First year [4]

Last year [4]

Eligible from

Eligible until

Commission decision number

Commission decision date

Programme amending

decision number

[20]

Programme amending

decision entry into force date

NUTS regions covered by the

programme

Component of Interreg

1. Programme strategy: main development challenges and policy responses

a. Programme area (not required for component 4 Interreg programmes)

Reference: Article 17(4)(a), Article 17(9)(a)

Text field [2 000]

b. Summary of main joint challenges, taking into acccount economic, social and

territorial disparities, joint investment needs and complimentary with other

forms of support, lessons-learnt from past experience and macro-regional

strategies and sea-basin strategies where the programme area as a whole or

partially is covered by one or more strategies.

Reference: Article 17(4)(b), Article 17(9)(b)

Text field [50 000]


131

c. Justification for the selection of policy objectives and the Interreg specific

objectives, corresponding priorities, specific objectives and the forms of support,

addressing, where appropriate, missing links in cross-border infrastructure

Reference: Article 17(4)(c)


132

Table 1

Selected

policy

objective

or

selected

Interreg-

specific

objective

Selected specific

objective

Priority Justification for selection

[2 000 per objective]

2. Priorities [300]

Reference: Article 17(4)(d) and (e)

a. Title of the priority (repeated for each priority)

Reference: Article 17(4)(d)

Text field: [300]

This is a priority pursuant to a transfer under Article 17(3)

2.1.1. Specific objective (repeated for each selected specific objective, for priorities other

than technical assistance)

Reference: Article 17(4)(e)

2.1.2 Related types of action, including a list of planned operations of strategic

importance, and their expected contribution to those specific objectives and to

macro-regional strategies and sea-basis strategies, where appropriate

Reference: Article 17(4)(e)(i), Article 17(9)(c)(ii)

Text field [7000]

List of planned operations of strategic importance

Text field [2000]

For component 4 Interreg programmes:

Reference Article 17(9)(c)(i)


133

Definition of a single beneficiary or a limited list of beneficiaries and the granting procedure

Text field [7000]

2.1.3 Indicators

Reference: Article 17(4)(e)(ii), Article 17(9)(c)(iii)

Table 2: Output indicators

Priority Specific

objective

ID

[5]

Indicator Measurement

unit

[255]

Milestone (2024)

[200]

Final target (2029)

[200]

Table 3: Result indicators

Priority Specific

objective

ID Indicator Measurement

unit

Baseline Reference

year

Final

target

(2029)

Source

of data

Comments

2.1.4 The main target groups

Reference: Article 17(4)(e)(iii), Article 17(9)(c)(iv)

Text field [7000]

2.1.5 Specific territories targeted, including the planned use of ITI, CLLD or other

territorial tools

Reference: Article 17(4)(e)(iv)

Text field [7000]

2.1.6 Planned use of financial instruments

Reference: Article 17(4)(e)(v)

Text field [7000]


134

2.1.7 Indicative breakdown of the EU programme resources by type of intervention

Reference: Article 17(4)(e)(vi), Article 17(9)(c)(v)

Table 4: Dimension 1 – intervention field

Priority no Fund Specific objective Code Amount (EUR)


135

Table 5: Dimension 2 – form of financing

Priority no Fund Specific objective Code Amount (EUR)

Table 6: Dimension 3 – territorial delivery mechanism and territorial focus

Priority No Fund Specific objective Code Amount (EUR)

2.T. Technical assistance priority

Reference: Article 17(4)(f) ETC

Text field [8000]

Priority No Fund Code Amount (EUR)

3. Financing plan

Reference: Article 17(4)(g)

3.1 Financial appropriations by year

Reference: Article 17(4)(g)(i), Article 17(5)(a)(i)-(iv)

Table 7

Fund 2021 2022 2023 2024 2025 2026 2027 Total

ERDF

IPA III CBC71

Neighbourhood

CBC72

IPA III73

NDICI74

71 Component 1, external cross-border cooperation 72 Component 1, external cross-border cooperation 73 Components 2 and 4 74 Components 2 and 4


136

OCTP

Greenland75

OCTP76

Interreg

Funds77

Total

3.2 Total financial appropriations by fund and national co-financing

Reference: Article 17(4)(g)(ii), Article 17(5)(a)(i)-(iv), Article 17(5)(b)

75 Components 2 and 4 76 Components 3 and 4 77 ERDF, IPA III, NDICI or OCTP, where as single amount under Components 2 and 4


137

Table 8

PO No or

TA

Priority Fund

(as applicable)

Basis for

calculation EU

support (total or

public)

EU contribution

(a)

National

contribution

(b)=(c)+(d)

Indicative breakdown of the

national counterpart

Total

(e)=(a)+(b)

Co-financing

rate

(f)=(a)/(e)

Contributions from

the third countries

(for information) National

public

(c)

National

private

(d)

Priority 1 ERDF

IPA III CBC78

Neighbourhood

CBC79

IPA III80

NDICI81

OCTP

Greenland82

OCTP83

Interreg Funds84

Priority 2 (funds as above)

Total All funds

ERDF

IPA III CBC

78 Component 1, external cross-border cooperation 79 Component 1, external cross-border cooperation 80 Components 2 and 4 81 Components 2 and 4 82 Components 2 and 4 83 Components 3 and 4 84 ERDF, IPA III, NDICI or OCTP, where as single amount under Components 2 and 4


138

Neighbourhood

CBC

IPA III

NDICI

OCTP Greenland

OCTP

Interreg Funds

Total All funds

Prior to the mid-term review, this table includes the amounts for the years 2021-2025 only.


139

4. Action taken to involve the relevant programme partners in the preparation of the

Interreg programme and the role of those programme partners in the implementation,

monitoring and evaluation

Reference: Article 17(4)(h)

Text field [10 000]

5. Approach to communication and visibility for the Interreg programme, including the

planned budget

Reference: Article 17(4)(i)

Text field [10 000]

6. Implementing provisions

6.1. Programme authorities

Reference: Article 17(7)(a)

Table 10 Programme authorities Name of the institution

[255]

Contact name [200] E-mail [200]

Managing authority

National authority (for

programmes with

participating third countries,

if appropriate)

Audit authority

Group of auditors

representatives (for

programmes with

participating third countries,

if appropriate)

Body to which the payments

are to be made by the

Commission

6.2. Procedure for setting up the joint secretariat

Reference: Article 17(7)(b)

Text field [3 500]


140

6.3 Apportionment of liabilities among participating Member States and where applicable,

the third countries and OCTs, in the event of financial corrections imposed by the

managing authority or the Commission

Reference: Article 17(7)(c)

Text field [10 500]

APPENDICES

Map of the programme area

Reimbursement of eligible expenditure from the Commission to the Member State based

on unit costs, lump sums and flat rates

Financing not linked to cost

Appendix 1: Map of the programme area

Appendix 2: Reimbursement of eligible expenditure from the Commission to the Member

State based on unit costs, lump sums and flat rates

Reimbursement of eligible expenditure from the Commission to the Member State based on

unit costs, lump sums and flat rates

Template for submitting data for the consideration of the Commission

(Article 88 CPR)

Date of submitting the proposal

Current version


141

A. Summary of the main elements

Priority Fund Estimated

proportion of the

total financial

allocation within

the priority to

which the SCO

will be applied in

% (estimate)

Type(s) of operation Corresponding indicator

name(s)

Unit of measurement

for the indicator

Type of SCO

(standard scale

of unit costs,

lump sums or

flat rates)

Corresponding

standard scales of unit

costs, lump sums or

flat rates

Code Description Code Description


142

B. Details by type of operation (to be completed for every type of operation)

Did the Managing Authority receive support from an external company to set out the

simplified costs below?

If so, please specify which external company: Yes/No – Name of external company

Types of operation:

1.1. Description of the operation

type

1.2 Priority /specific objective(s)

concerned

1.3 Indicator name85

1.4 Unit of measurement for

indicator

1.5 Standard scale of unit cost,

lump sum or flat rate

1.6 Amount

1.7 Categories of costs covered

by unit cost, lump sum or flat

rate

1.8 Do these categories of costs

cover all eligible expenditure for

the operation? (Y/N)

1.9 Adjustment(s) method

11.10 Verification of the

achievement of the unit of

measurement

- describe what document(s) will

be used to verify the

achievement of the unit of

measurement

85 Several complementary indicators (for instance one output indicator and one result indicator) are possible for one type of operation. In

these cases, fields 1.3 to 1.11 should be filled in for each indicator.


143

- describe what will be checked

during management verifications

(including on-the-spot), and by

whom

- describe what the arrangements

are to collect and store the

data/documents

1.11 Possible perverse incentives

or problems caused by this

indicator, how they could be

mitigated, and the estimated

level of risk

1.12 Total amount (national and

EU) expected to be reimbursed

C: Calculation of the standard scale of unit costs, lump sums or flat rates

1. Source of data used to calculate the standard scale of unit costs, lump sums or flat rates

(who produced, collected and recorded the data; where the data are stored; cut-off dates;

validation, etc.):

2. Please specify why the proposed method and calculation is relevant to the type of

operation:

3. Please specify how the calculations were made, in particular including any assumptions

made in terms of quality or quantities. Where relevant, statistical evidence and benchmarks

should be used and attached to this annex in a format that is usable by the Commission.


144

4. Please explain how you have ensured that only eligible expenditure was included in the

calculation of the standard scale of unit cost, lump sum or flat rate;

5. Assessment of the audit authority(ies) of the calculation methodology and amounts and the

arrangements to ensure the verification, quality, collection and storage of data:


145

Appendix 3: Financing not linked to costs

Template for submitting data for the consideration of the Commission

(Article 89 CPR)

Date of submitting the proposal

Current version


146

A. Summary of the main elements

Priority Fund The amount

covered by the

financing not

linked to costs

Type(s) of operation Conditions to be

fulfilled/results to be

achieved

Corresponding indicator

name(s)

Unit of

measurement for the

indicator

Code Description

The overall

amount

covered


147

B. Details by type of operation (to be completed for every type of operation)

Types of operation:

1.1. Description of the operation

type

1.2 Priority /specific objective(s)

concerned

1.3 Conditions to be fulfilled or

results to be achieved

1.4 Deadline for fulfilment of

conditions or results to be

achieved

1.5 Indicator definition for

deliverables

1.6 Unit of measurement for

indicator for deliverables

1.7 Intermediate deliverables (if

applicable) triggering

reimbursement by the

Commission with schedule for

reimbursements

Intermediate deliverables Date Amounts

1.8 Total amount (including EU

and national funding)

1.9 Adjustment(s) method

1.10 Verification of the

achievement of the result or

condition (and where relevant,

the intermediate deliverables)

- describe what document(s) will

be used to verify the

achievement of the result or


148

condition

- describe what will be checked

during management verifications

(including on-the-spot), and by

whom

- describe what arrangements

there are to collect and store the

data/documents

1.11 Arrangements to ensure the

audit trail

Please list the body(ies)

responsible for these

arrangements.


149


Brussels, 30 May 2018 (OR. en) 9555/18 FSTR 25 REGIO 33 FC 26 CADREFIN 53 IA 153 CODEC 905


PROPOSAL





Subject: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on a mechanism to resolve legal and administrative obstacles in a cross-border context




150

EUROPEAN COMMISSION


COM(2018) 373 final

2018/0198 (COD)

Proposal for a


on a mechanism to resolve legal and administrative obstacles in a cross-border context



151



• Reasons for and objectives of the proposal

One of the main objectives of the Union is the promotion of its overall harmonious

development. The Union shall therefore develop and pursue its actions leading to the

strengthening of its economic, social and territorial cohesion. In particular, the Union shall

aim at reducing disparities between the levels of development of the various regions and the

backwardness of the least favoured regions (Article 174 of the Treaty on the Functioning of

the European Union ('TFEU'), among which "particular attention shall be paid to (…) cross-

border (…) regions". The Union and its immediate neighbours in the European Free Trade

Association ('EFTA') currently have forty internal land borders.

Since 1990, Interreg86 funding has supported cross-border cooperation programmes in EU

border regions including those with EFTA countries. It has financed thousands of projects and

initiatives that have helped improve European integration. The main achievements of Interreg

programmes include: increased trust, greater connectivity, improved environment, better

health and economic growth. The 2014-2020 legal framework allowed the European Regional

Development Fund ('ERDF') under Interreg programmes to support projects "enhancing

institutional capacity of public authorities and stakeholders and efficient public administration

by promoting legal and administrative cooperation and cooperation between citizens and

institutions"87. Since it was set up Interreg has also supported the completion of the internal

86 Interreg, also known as European Territorial Cooperation ('ETC'), is one of the two

goals of cohesion policy and provides a framework for the implementation of joint

actions and policy exchanges between national, regional and local actors from different

Member States. The overarching objective of ETC is to promote a harmonious

economic, social and territorial development of the Union as a whole. Interreg is built

around three strands of cooperation: cross-border (Interreg A), transnational (Interreg B)

and interregional (Interreg C). Five programming periods of Interreg have succeeded

each other: Interreg I (1990-1993), Interreg II (1994-1999), Interreg III (2000-2006),

Interreg IV (2007-2013) and Interreg V (2014-2020). 87 Point (a)(iv) of Article 7(1) of Regulation (EU) No 1299/2013 of the European

Parliament and of the Council of 17 December 2013 on specific provisions for the

support from the European Regional Development Fund to the European territorial

cooperation goal (OJ L 347, 20.12.2013, p. 259).


152

market88. In recent decades, the European integration process has helped internal border

regions to transform themselves from mainly peripheral areas into areas of growth and

opportunities. The completion of the Single Market in 1992 has boosted EU productivity and

reduced costs through the abolition of customs formalities, harmonisation or mutual

recognition of technical rules and lower prices as a result of competition; intra EU trade has

increased by 15% over 10 years; additional growth has been generated and around 2.5 million

more jobs have been created.

However, in a "Cross-border review"89, lasting more than two years, the Commission

gathered evidence that border regions generally perform less well economically than other

regions within a Member State. Access to public services such as hospitals and universities90

is generally lower in border regions. Navigating between different administrative and legal

systems is often still complex and costly. Individuals, businesses, public authorities and non-

governmental organisations have shared with the Commission their at times negative

experiences of interaction across internal borders. As a consequence the Commission adopted

its Communication 'Boosting growth and cohesion in EU border regions'91 ('the Border

Regions Communication'). It highlights ways in which the EU and its Member States can

reduce the complexity, length and costs of cross-border interaction and promote the pooling

of services along internal borders. It looks at what needs to be improved to ensure that citizens

and businesses in border regions can take full advantage of the opportunities offered on both

sides of the border. The Communication proposes a 10 points action plan; one point

specifically addresses legal and administrative border obstacles92.

88 Points 3 and 13 of the Notice C(90) 1562/3 to the Member States, laying down

guidelines for operational programmes which Member States are invited to establish in

the framework of a Community initiative concerning border areas (Interreg) (OJ C 215,

30.8.1990, p. 4). 89 See: http://ec.europa.eu/regional_policy/en/policy/cooperation/european-territorial/cross-border/review/ . 90 'Territories with specific geographical features', European Commission, DG REGIO

(2009), Working Paper No: 02/2009:

http://ec.europa.eu/regional_policy/en/information/publications/working-

papers/2009/territories-with-specific-geographical-features . 91 Communication from the Commission to the Council and the European Parliament

'Boosting growth and cohesion in EU border regions' - COM(2017) 534 final,

20.9.2017. 92 A border obstacle within the context of this Communication is not only a restriction on

free movement as established by the European Court of Justice, but a law, rule or

administrative practice that obstructs the inherent potential of a border region when

interacting across the border.

http://ec.europa.eu/regional_policy/en/policy/cooperation/european-territorial/cross-border/review/

http://ec.europa.eu/regional_policy/en/information/publications/working-papers/2009/territories-with-specific-geographical-features

http://ec.europa.eu/regional_policy/en/information/publications/working-papers/2009/territories-with-specific-geographical-features


153

It is therefore reasonable to consider that legal barriers (especially those related to health

services, labour regulation, taxes, business development), and barriers linked to differences in

administrative cultures and national legal frameworks, are difficult for the programmes alone

to address (as they required decisions beyond programme and project management

structures). A number of effective mechanisms for cross-border cooperation already exist at

inter-governmental, regional and local level93.

One specific action referred to in point nine of the Border Regions Communication refers to

an initiative started under the Luxembourg Presidency in 2015: A number of Member States

are considering the merit of a new instrument to simplify cross-border projects by making it

possible, on a voluntary basis and agreed by the competent authorities in charge, for the rules

of one Member State to apply in the neighbouring Member State. This would apply to a

specific project or action limited in time, located within a border region and initiated by local

and/or regional public authorities94. The Commission hase closely followed this work, agrees

with the concept and is therefore proposing a voluntary mechanism to resolve legal obstacles

in border regions.

For the details of this proposal see Section 5 below.

• Consistency with existing policy provisions

Interreg as the main funding instrument of Cohesion Policy, supports cross-border

cooperation programmes in EU border regions, including those with bordering EFTA

countries. However, as set out in the Border Regions Communication, border regions

generally perform less well economically than other regions within a Member State. Measures

that go beyond European funding but which complement further EU funding in border regions

are therefore needed as these ongoing difficulties cannot be addressed through financing and

investments such as Interreg alone.

A mechanism to resolve legal obstacles in border regions is therefore a necessary complement

both to the financial support under Interreg, but also to institutional support such as European

93 For details see SWD(2017) 307 final, point 3.1, p. 24, 25, 32, 36 and 48. 94 Input paper for the Informal Ministerial Meeting on Territorial Cohesion under the

Luxembourg Presidency, see: http://www.amenagement-territoire.public.lu/fr/eu-

presidency/Informal-Ministerial-Meetings-on-Territorial-Cohesion-and-Urban-Policy-

_26-27-November-2015_-Luxembourg-City_.html# ; see also SWD(2017) 307 final,

point 3.9, p. 49-50.

http://www.amenagement-territoire.public.lu/fr/eu-presidency/Informal-Ministerial-Meetings-on-Territorial-Cohesion-and-Urban-Policy-_26-27-November-2015_-Luxembourg-City_.html




154

groupings of territorial cooperation95, as those groupings are not given legislative powers to

overcome legal obstacles96.

• Consistency with other Union policies

As set out above, Cohesion Policy and the Single Market support each other. The mechanism

to be established under this Regulation would contribute to the objectives of the Border

Regions Communication and boosting the potential of border regions, which is partially

untapped because of differing legal systems. A recent study contracted by the Commission97

on the economic impact of border obstacles on GDP and employment levels in internal land

border regions estimates that, even if only 20% of the existing obstacles were removed,

border regions would increase their GDP by 2%. A mechanism to resolve legal obstacles in

border regions is therefore also a necessary complement to the functioning of the internal

market, a core objective of the Union (Article 3 TEU and Article 3(1)(b) TFEU)98.

The provisions in this proposal on legal protection of persons resident in a cross-border region

who consider themselves wronged by acts or omissions arising from the authorities'

application of the mechanism predominantly concern administrative/public law and do not

affect existing EU law on the resolution of conflict of law99, because that EU law concerns

95 Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July

2006 on a European grouping of territorial cooperation (EGTC) (OJ L 210, 31.7.2006,

p. 19). 96 See the first subparagraph of Article 7(4) of Regulation (EC) No 1082/2006. 97 Politecnico di Milano (2017) 'Quantification of the effects of legal and administrative

border obstacles in land border regions'; see COM(2017) 534 final, p. 6; for more

details see its accompanying SWD(2017) 307 final, point 2.2, p. 20-22. 98 See also the 9th consideration of the preamble TEU (bold added): "DETERMINED to

promote economic and social progress for their peoples, taking into account the

principle of sustainable development and within the context of the accomplishment of

the internal market and of reinforced cohesion and environmental protection, and to

implement policies ensuring that advances in economic integration are accompanied by

parallel progress in other fields,…". 99 Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12

December 2012 on jurisdiction and the recognition and enforcement of judgments in

civil and commercial matters (OJ L 351, 20.12.2012, p. 1) ('Brussels I Recast'),

Council Regulation (EC) No 2201/2003 of 27 November 2003 concerning jurisdiction

and the recognition and enforcement of judgments in matrimonial matters and the

matters of parental responsibility, repealing Regulation (EC) No 1347/2000 (OJ L 338,

23.12.2003, p. 1) ('Brussels II'),

Regulation (EC) No 593/2008 of the European Parliament and of the Council of 17 June

2008 on the law applicable to contractual obligations (Rome I), (OJ L 177, 4.7.2008, p.

6), and


155

civil law only. This Regulation is without prejudice to such law (such EU law may apply to

disputes about contractual or non-contractual matters).


• Legal basis

The third subparagraph of Article 175 TFEU provides for specific actions to be decided upon

outside the Funds listed in the first subparagraph of that Article, in order to achieve the

objective of social and economic cohesion envisaged by the TFEU. The harmonious

development of the entire Community territory and greater economic, social and territorial

cohesion entail more intensive territorial cooperation. To this end it is appropriate to take the

measures to improve implementing conditions for territorial cooperation actions.

• Subsidiarity

The conditions for territorial cooperation should be created in accordance with the

subsidiarity principle enshrined in Article 5(3) of the Treaty on the European Union ('TEU').

Member States have undertaken individual, bilateral and even multilateral initiatives to

resolve legal border obstacles. However, those mechanisms do not exist in all Member States,

or not for all borders of a given Member State. The financing (mainly Interreg) and legal

instruments (mainly EGTCs) provided at EU level so far have not been sufficient to resolve

legal border obstacles throughout the EU. The objectives of the proposed action can

consequently not be sufficiently achieved by the Member States, either at central level or at

regional and local level, but can rather, by reason of the scale or effects of the proposed

action, be better achieved at Union level. Further action by the Union legislator is therefore

needed.

Proportionality

In accordance with the principle of proportionality, as set out in Article 5(4) TEU, the content

and form of EU action should not exceed what is necessary to achieve the objectives of the

Treaties. Recourse to the specific mechanism set up under this Regulation is voluntary. A

Member State may decide, on a specific border with one or more neighbouring Member

Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July

2007 on the law applicable to non-contractual obligations (Rome II) (OJ L 199,

31.7.2007, p. 40).


156

States, to continue to resolve legal obstacles in a specific cross-border region under the

effective mechanisms it has set up at national level or which it has set up formally or

informally, together with one or more neighbouring Member States. In that case, it may opt

not to use the mechanism set up under this Regulation. Likewise, a Member State may decide,

on a specific border with one or more neighbouring Member States, to join an existing

effective mechanism set up formally or informally by one or more neighbouring Member

States. If that mechanism allows it to join, again, it may opt not to use the mechanism set up

under this Regulation. This Regulation does therefore not go beyond what is necessary in

order to achieve its objectives for those cross-border regions, for which Member States have

no efficient mechanisms in place for resolving legal obstacles.

• Choice of the instrument

As set out in Section 1 above, Member States have undertaken individual, bilateral and even

multilateral initiatives to resolve legal border obstacles.

A Regulation establishes obligations on Member States to set up, per border with a

neighbouring Member State, a mechanism to resolve legal obstacles in a joint cross-border

region, while allowing them to implement other effective mechanisms.

A recommendation would not be the most effective instrument, because recommendations do

not have binding force (see the fifth paragraph of Article 288 TFEU).

A Directive would also not be the most effective instrument, as it is binding, as to the result to

be achieved, upon each Member State to which it is addressed, but leaves the choice of form

and methods to the national authorities (see the third paragraph of Article 288 TFEU). As set

out in Section 3.2 of the Border Regions Communication, the transposition of an EU

Directive in two neighbouring Member States may create two different systems which then

meet along internal borders. This may create complexity - and sometimes even legal

uncertainty - and inflate costs100. This proposal is precisely for a mechanism to establish a

method at EU level because only few Member States have set up a different method. A

Directive could therefore create new divergences in border regions.

100 E.g. Directive 2014/24/EU of the European Parliament and of the Council of 26

February 2014 on public procurement contains 19 instances where minimum standards

apply, for example on setting specific time limits. This creates 19 potential occasions


157

3. RESULTS OF RETROSPECTIVE EVALUATIONS, STAKEHOLDERS

CONSULTATIONS AND IMPACT ASSESSMENTS, FUNDAMENTAL

RIGHTS

• Retrospective evaluations/fitness checks of existing legislation

N/A: new legislation

• Stakeholder consultations

The concept for a cross-border policy stems initially from work undertaken by the

Luxembourg Presidency of the Council in 2015, which led to the establishment of an informal

working group of Member States that has met regularly since. The informal working group

has explored options to facilitate the resolution of persisting border obstacles, especially when

implementing cross-border projects. The notion of applying the rules (laws, regulations,

standards) of one Member Sate across the border in the neighbouring Member State has been

formulated by that group. The group normally gathers between 10 and 15 Member States at

its meetings. Groupings of Member States have also been active, in particular the Benelux

Union and the Nordic Council of Ministers.

Other stakeholders, in particular border regions and institutions, have been asking for such an

instrument for quite some time. This has been particularly visible during the Cross-Border

Review undertaken by DG REGIO between 2015 and 2017. During that Review, a public

consultation in all the official languages of the EU took place and received over 620 replies.

To the question linked to potential solution to border issues, several respondents explicitly

asked for the Commission to seek to promote more flexibility in the implementation of

national/regional legislation in border regions. The idea of "freeing" a border region from

national legislation or adapting it to border conditions was suggested several times.

Finally, the draft opinions of the Committee of the Regions and of the European Parliament in

response to the Communication "Boosting Growth and Cohesion in EU Border Regions"

specifically welcome the proposal to develop such an instrument. Both opinions will be

adopted in the summer 2018.

• Impact assessment

The impact and European added value of Interreg programmes are well recognised. However,

in many cases cross-border barriers (especially in relation to health services, labour

regulation, local public transport and business development) stem from differences in

where cross-border public procurement can be particularly difficult, as certain Member


158

administrative practices and national legal frameworks. These are difficult for programmes to

address alone, requiring decisions beyond programme structures.

To tackle this, in 2015 the Luxembourg Presidency and several Member States explored the

use of one Member State's rules in a neighbouring Member State. The Commission proposes

to facilitate such solutions with an "off-the-shelf" legal instrument.

There are two options: a European Cross-Border Commitment ("Commitment") (which itself

enables derogation from normal rules) or a European Cross-Border Statement ("Statement")

(signatories undertake formally to legislate to amend normal rules ). The mechanism will:

• remain voluntary: Member States may opt for the mechanism or use other effective

mechanisms to resolve legal border barriers;

• focus on intra-EU land borders, while allowing Member States to also apply the

mechanism to maritime and external borders;

• cover joint projects for any item of infrastructure with impact in a cross-border

region or any service of general economic interest provided in a cross-border region.

If 20% of existing legal and administrative obstacles found along internal borders were

addressed, border regions would increase their GDP by 2%. The Commitment contributes to

this by providing a cost-free legal framework to reduce the costs and run-in time of certain

cross-border projects.

The framework would help resolve certain expensive complexities when implementing cross-

border projects. It is not, however, "one-size-fits-all" but rather gives Member States the

option of devising solutions that best suit the regional context.

• Simplification

N/A: new legislation

• Fundamental rights

Under Article 6 of the Treaty on the European Union, the Union recognises the rights,

freedoms and principles set out in the Charter of Fundamental Rights of the European Union,

which has the same legal value as the Treaties. Moreover, fundamental rights, as guaranteed

by the European Convention for the Protection of Human Rights and Fundamental Freedoms

and as they result from the constitutional traditions common to the Member States, constitute

general principles of the EU law.

States will apply longer deadlines than others.


159

This proposal concerns a legal mechanism to resolve legal border obstacles and is, therefore,

mainly addressed to authorities in the Member States. People should benefit from the

solutions agreed. Resolving legal border obstacles under this proposal should help people

living in border regions to enjoy their fundamental rights. In particular, this refers to the right

to protection of personal data (Article 8), to the right to education including access to

vocational and continuing training (Article 14), the freedom to choose an occupation and the

right to engage in work (Article 15), especially freedom to seek employment, to work, to

exercise the right of establishment and to provide services in any Member State; freedom to

conduct a business (Article 16); access to social security and social assistance (Article 34);

access to health care (Article 35); and access to services of general economic interest (Article

36).

The proposal therefore also covers the issue of effective legal protection of people in border

regions.


The present proposal is not expected to have immediate budgetary implications, in so far as it

is to set up a mechanism and not a financial instrument.

The involvement of the Border Focal Point ('BFP') set up within the Commission also has no

immediate budgetary implications, in so far as it has already been set up and assigned its own

staff.

5. OTHER ELEMENTS

• Implementing plans and monitoring, evaluation and reporting arrangements

Like any EU Regulation the proposed Regulation will be binding in its entirety and directly

applicable in all Member States. Article 291(1) TFEU requires Member States to adopt all

measures of national law necessary to implement legally binding Union acts. As set out in

Section 3.2 of the Border Regions Communication, even where there is European legislation ,

Member States have a degree of flexibility and discretion in the way they apply the legislation

in their national systems and in the detailed rules for implementing EU Regulations. As a

result, when two different systems meet along internal borders, this may create complexity -

and sometimes even legal uncertainty - and inflate costs. Consequently, uniform conditions

for implementing legally binding Union acts are needed. As allowed under Article 291(2)

TFEU, the proposed Regulation may confer implementing powers on the Commission. Like


160

the method for controlling the implementation of other legal instruments at EU level101, this

proposal limits itself to requiring Member States to communicate their national implementing

rules to the Commission, thus enabling the Commission to assess whether those national rules

implement this Regulation effectively.

To assess whether the mechanism established under the proposed Regulation has proven an

additional effective tool to resolve legal obstacles in border regions, the Commission should,

in line with the Better Regulation Agenda102, evaluate existing legislation. It is therefore

proposed, as for the EGTC, that the Commission forward a report to the European Parliament,

the Council and the Committee of the Regions on the application of the proposed Regulation,

using indicators to evaluate its effectiveness, efficiency, relevance, European added value and

scope for simplification within 5 years of application of the proposed Regulation.

• Detailed explanation of the specific provisions of the proposal

Chapter 1 - General provisions (Articles 1 to 7)

Title 1 sets out the subject matter and scope of the Regulation, definitions and clarifications,

the Member States' choice of whether to use the mechanism established under this proposal,

the national and regional Cross-border Coordination Points in the Member States and a

coordination point at EU level.

The subject matter (Article 1) is a mechanism to apply, for a common cross-border region, in

a given Member State, the legal provisions from the neighbouring Member State if applying

its own laws would present a legal obstacle to implementing a joint project (which might be

an item of infrastructure or any service of general economic interest).

The Mechanism consists in concluding a European Cross-border Commitment

(Commitment'), which is self-executing, or a European Cross-border Statement ('Statement')

which requires a further legislative procedure in the Member State.

The scope of the proposed Regulation (Article 2) covers common-border regions on land

borders. Based on the evidence gathered under the Cross-border Review and as set out in the

Border Regions Communication , legal obstacles are predominantly presented to people

101 See the third subparagraph of Article 16 of Regulation (EU) No 1082/2006: "The

Member State shall submit to the Commission any provisions adopted under this

Article, as well as any amendments thereof." 102 Communication from the Commission to the European Parliament, the European

Council and the Council 'Better Regulation: Delivering better results for a stronger

Union' - COM(2016) 615 final, 14.9.2016.


161

interacting on land borders, because people cross borders on a daily or weekly basis for

working, learning, shopping or using facilities and services of general economic interest, or a

combination of these.

Article 3 lists definitions needed to implement the proposed Regulation together with some

clarifications, in particular with regard to Member States which cover several territorial

entities with legislative powers, in order to guarantee that all relevant levels of a given

Member State can, where relevant, amend legal obstacles under its competence.

To respect the principle of subsidiarity, Member States may opt for the Mechanism

established under the proposed Regulation or continue to use other effective mechanisms to

resolve legal obstacles, or, for certain borders, join other effective mechanisms (Article 4).

Most Member States will probably need to adopt legislation first to enable competent

authorities to conclude a Commitment, which by force of its conclusion would allow the

Member State to "pull over the border" legal provisions from the neighbouring Member State

thus derogating from its "normally" applicable national rules. Some Member States may just

allow its competent authorities to sign up to a Statement, committing it to legislate to derogate

from the "normally" applicable national rules by means of a formal legislative act. In case of

the self-executing Commitment the "normally" applicable national rules remain, but the

Commitment creates a derogation. In case of the Statement, the "normally" applicable

national rules will be formally amended to allow for an explicit derogation.

Member States opting for the Mechanism set up under the proposed Regulation are obliged to

establish a national or, in the case of federal states, regional Cross-border Coordination Points

(Article 5). Finally, Article 6 lists the tasks of the coordination point at EU level, as

announced in the Border Regions Communication and already set up in the Commission's

Directorate-General for Regional and Urban Policy. In order to ensure uniform conditions for

the implementation of this Regulation, Article 7 confers implementing powers on the

Commission in accordance with Regulation (EU) No 182/2011 of the European Parliament

and of the Council 103 for setting up a database and rules for maintaining it, for the protection

of data and for the model to be used when information on the implementation and use of the

103 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16

February 2011 laying down the rules and general principles concerning mechanisms for

control by Member States of the Commission's exercise of implementing powers (OJ L

55, 28.2.2011, p. 13).


162

Mechanism is submitted by Cross-border Coordination Points. The database must comply

with the provisions on the protection of data under Regulation (EC) No 45/2001 of the

European Parliament and of the Council104.

Chapter 2 - Procedure for concluding a Commitment or Statement (Articles 8 to 17)

The procedure for concluding a Commitment or Statement consists in the preparation and

submission of the initiative document (Articles 8 and 9), to be drafted by the "initiator", a

preliminary analysis by the Member State which is requested to "pull over the border" the

legal provisions of the neighbouring Member State (Articles 10 and 11), the drafting of the

Commitment or Statement to be concluded (Articles 12 to 15) and finally the conclusion of

the Commitment or Statement and its signing by the competent authorities of both Member

States (Articles 16 and 17).

More specifically Article 8 establishes who can be an "initiator": (a) the public or private

body responsible for initiating or both initiating and implementing a joint project (e.g. the

company organising public transport in Strasbourg planning to extend a tramline over the

border to the German town of Kehl); or (b) one or more local or regional authority located in

a given cross-border region or exercising public power in that cross-border region (e.g. the

city of Strasbourg or the intercommunal structure of Strasbourg Eurométropole or the city of

Kehl); or (c) a body with or without legal personality set up for cross-border cooperation

located in or covering at least partially a given cross-border region, including European

groupings of territorial cooperation under Regulation (EC) No 1082/2006 of the European

Parliament and of the Council, Euroregions, Euregios and similar bodies (e.g. the EGTC

Eurodistrict Strasbourg-Ortenau); or (d) an organisation set up on behalf of cross-border

regions with the aim of promoting the interests of cross-border territories and of facilitating

the networking of players and the sharing of experiences, such as the Association of European

Border Regions, the Mission Opérationnelle Transfrontalière or the Central European Service

for Cross-border Initiatives; or (e) several of the entities referred to in points (a) to (d) jointly.

104 Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18

December 2000 on the protection of individuals with regard to the processing of

personal data by the Community institutions and bodies and on the free movement of

such data (OJ L 8, 12.1.2001, p. 1).


163

The initiator shall prepare an initiative document covering the elements listed in Article 9.

The derogation from the "normally" applicable national law is limited to the strict minimum

with regard to both the territory it covers and its duration.

The key actors in the Member States requested to conclude a Commitment or Statement are

the respective national or regional Cross-border Coordination Points which will liaise with all

the competent authorities in the Member State and with their counterpart(s) in the

neighbouring Member State (Articles 10 and 11). By a certain deadline, the Cross-border

Coordination Point must react and decide whether to launch a procedure leading to the

conclusion of a Commitment or Statement, whether the legal obstacle is "real" and whether

for one or more legal obstacles a resolution has been found which could be applied. The

initiator may be asked to revise or add to its document (Article 12).

Once the initiative document is considered complete, the Cross-border Coordination Point

must prepare a draft Commitment or Statement and, again by a certain deadline, reach an

agreement on the text with the other Member State (Articles 13 to 15) and finally conclude it

(Articles 16 and 17). The signed Commitment or Statement must set out the elements listed

in Article 14(1). The signed Commitment or Statement must be transmitted not only to the

initiator, but also to the Cross-border Coordination Point of the neighbouring Member State,

the competent authority of its own Member State, the EU coordination point and the authority

or body designated by the committing Member State for official publication (Article

17(2)(e)).

Chapter 3 - Implementation and monitoring of Commitments or Statements (Articles 18

to 20)

The Commitment is implemented by, where relevant, amending existing administrative acts

based on the "normally" applicable law or adopting new administrative acts based on the law

"pulled over the border" (Article 18). Where several authorities are each competent for

different aspects of a complex legal obstacle, the Commitment must be accompanied by a

timetable for each of them. Respecting the principle of subsidiarity, the adoption and

transmission of those amended or new administrative acts must be governed by the national

law on administrative procedures (Article 18(5)).


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The Statement must be implemented by one or more submissions of proposals to the

competent legislative body in order to amend the national law to cover the necessary

derogations (Article 19).

In both cases, once all steps planned are implemented, the Cross-border Coordination Point

must inform its counterpart in the other Member State and the EU coordination point

(Article 18(4) and (5) and Article 19(6) and (7)).

Member States may decide that the Cross-border Coordination Point may remind the

competent authority to comply with the deadlines and the timetables referred to in Articles

14(3) and 18(1) and may inform the authority supervising the competent committing authority

or the competent member of government of missed deadlines or timetables fixed in a given

Commitment or Statement (Article 6(2)(e)).

Member States should decide which authorities will monitor compliance with a given

Commitment and with the amended provisions adopted pursuant to a Statement (Article 20).

Based on the adminisitrative acts the respect for the obligations and rights of the addressees

thereof should be monitored. Member States should be allowed to decide whether that

monitoring is entrusted to the authorities of the Member State which transferred its legal

provisions because those authorities are more familiar with those rules or is entrusted to the

authorities of the Member State where those provisions are applied because those authorities

are more familiar with the remaining legal system of the committing Member States and the

law governing the addressees.

Chapter 4 - Legal protection under Commitment and Statement (Articles 21 and 22)

Based on experience in negotiating the EGTC Regulation, and in response to specific

concerns of some Member States, it is appropriate to address the issue of legal protection of

persons resident in a cross-border region who consider themselves wronged by acts or

omissions arising from the authorities' application, under a Commitment or Statement, of

another Member State' legal provision (Article 21(1)).

Both for Commitments and Statements, the law of the neighbouring Member State is applied

in the committing Member State as incorporated into its own legislation and the legal

protection should therefore fall to the courts of the committing Member States even where

persons have their legal residence in the transferring Member State. The same should apply to


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legal redress against the Member State whose administrative act is challenged (Article 21(2)).

For example, an administrative act allowing a tram to operate on German territory under

French law should only be challenged in German courts.

A different approach should apply to legal redress against the monitoring of the application of

the Commitment and Statement. Where an authority from the neighbouring Member State

(e.g. France) has agreed to monitor the application of the amended law in Germany (by way

of integrating French provisions and derogating from "normally" applicable German

provisions) and can act in respect of persons resident in the cross-border area in its own name,

the competent courts are those of the Member State where those persons have their legal

residence (Article 22(1)). So if a French authority can adopt in its own name an

administrative act addressed to the tram operator whose legal residence is in France (stating

that the tram operator has not complied with French law on technical requirements for electric

signals on German territory), then French courts are competent. However, where the

competent transferring authority cannot act in its own name, but only in the name of the

competent committing authority, the competent courts are those of the committing Member

State, regardless of the legal residence of the person (Article 22(2)). So if the French

authority monitors compliance with French law, but the administrative act is in the name of a

German authority, then German courts are competent.

Chapter 5 – Implementing and final provisions (Articles 23 to 26)

In order to ensure uniform conditions for the implementation of this Regulation, in particular

for the exchange of information between the Cross-border Coordination Points and the

Commission through a database set up end maintained by the Commission, implementing

powers should be conferred in accordance with the legislation on committee procedure. For

practical and coordination purposes, that will be the ‘Coordination Committee for the

European Structural and Investment Funds’ (Article 23).

The final provisions105 establish the Member States' obligation to make the national

provisions needed to ensure effective application of the proposed Regulation (Article 24(1))

and to inform the Commission within a year of the entry into force of the proposed Regulation

105 Based on the experience with the corresponding provisions of Regulation (EU)

No 1082/2006 (Articles 16 to 18).


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both of those national implementing rules and of the setting up of national or regional Cross-

border Coordination Points (Article 24(2)).

As those provisions will specify which border regions of a given Member State are covered

by the Mechanism, the Commission will be in a position to assess whether the Member State

has opted for a different mechanism for borders not specified. Member States should

nevertheless also inform explicitly about such choice under Article 4, but without deadline

(Article 24(3)).

Article 25 establishes an obligation of the Commission to forward a report on the application

of the proposed Regulation within five years after its adoption.

The application of the Regulation should be deferred by one year after its entry into force in

order to grant Member States a year to adopt its national implementation provisions

(Article 26).


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2018/0198 (COD)

Proposal for a


on a mechanism to resolve legal and administrative obstacles in a cross-border context


Having regard to the Treaty on the Functioning of the European Union, and in particular the third

paragraph of Article 175 thereof,






Whereas:

(1) The third paragraph of Article 175 of the Treaty provides for specific actions to be decided

upon outside the Funds which are the subject of the first subparagraph of that Article, in

order to achieve the objective of social and economic cohesion envisaged by the Treaty. The

harmonious development of the entire Union territory and greater economic, social and

territorial cohesion imply the strengthening of territorial cooperation. To this end it is

appropriate to adopt the measures necessary to improve the implementation conditions for

actions of territorial cooperation.

(2) Article 174 of the Treaty recognises the challenges faced by border regions and provides

that the Union should pay particular attention to these regions, when developing and

pursuing actions leading to the strengthening of the Union’s economic, social and territorial

cohesion. Due to the increase in the number of land and maritime borders, the Union and its

immediate neighbours in the European Free Trade Association ('EFTA') have forty internal

land borders.

(3) In its Communication 'Boosting growth and cohesion in EU border regions'108 ('the Border

Regions Communication') the Commission sets out that over the past decades, the European

integration process has helped internal border regions to transform from mainly peripheral

areas into areas of growth and opportunities. The completion of the Single Market in 1992

has boosted Union productivity and reduced costs through the abolition of customs

106 Not yet published in the Official Journal. 107 Not yet published in the Official Journal. 108 Communication from the Commission to the Council and the European Parliament 'Boosting

growth and cohesion in EU border regions' - COM(2017) 534 final, 20.9.2017.


168

formalities, harmonisation or mutual recognition of technical rules and lower prices as a

result of competition; intra-EU trade has increased by 15% over 10 years; additional growth

has been generated and around 2.5 million more jobs have been created.

(4) The Border Regions Communication has also given evidence of the fact that there still exist

a number of legal barriers in border regions, especially those related to health services,

labour regulation, taxes, business development, and barriers linked to differences in

administrative cultures and national legal frameworks. Neither European Territorial

Cooperation funding nor the institutional support to cooperation by the European groupings

of territorial cooperation (EGTCs) is sufficient alone to address the resolution of those

barriers which constitute real obstacles to effective cooperation.

(5) Since 1990, programmes under the European Territorial Cooperation goal, better known as

'Interreg'109 have supported cross-border cooperation programmes along Union border

regions, including those with EFTA countries. It has financed thousands of projects and

initiatives that have helped improve European integration. The main achievements of

Interreg programmes include: increased trust, higher connectivity, improved environment,

better health and economic growth. From people-to-people projects via infrastructure

investments and support to institutional cooperation initiatives, Interreg has made a genuine

difference to border regions and has contributed to their transformation. Interreg has also

supported cooperation on certain maritime borders. However, legal obstacles are much less

an issue for maritime border regions because of the physical impossibility to cross the

border daily or several times per week for work, education and training, shopping, the use of

facilities and services of general economic interest or a combination or for rapid emergency

interventions.

(6) Financial support by Interreg to cross-border cooperation has been complemented by the

EGTCs, set up since 2006 under Regulation (EU) No 1082/2006 of the European Parliament

and of the Council110. However, pursuant to the first subparagraph of Article 7(4) of

Regulation (EC) No 1082/2006, EGTCs cannot exercise regulatory powers to resolve legal

and administrative obstacles in cross-border context.

(7) In its Border Regions Communication, the Commission referred among other measures to an

initiative started under the Luxembourg Presidency in 2015: A number of Member States are

considering the merits of a new instrument to simplify cross-border projects by making it

possible, on a voluntary basis and agreed by the competent authorities in charge, for the

rules of one Member State to apply in the neighbouring Member State. This would apply to

an individual project or action limited in time, located within a border region and initiated

by local or regional authorities.

(8) Even though a number of effective mechanisms for cross-border cooperation already exist at

inter-governmental, regional and local level in certain regions of the Union, they do not

cover all border regions in the Union. In order to complement the existing systems, it is

therefore necessary to set up a voluntary mechanism to resolve legal and administrative

obstacles in all border regions ('the Mechanism').

109 Five programming periods of Interreg have succeeded each other: INTERREG I (1990-1993),

INTERREG II (1994-1999), INTERREG III (2000-2006), INTERREG IV (2007-2013) and

INTERREG V (2014-2020). 110 Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006

on a European grouping of territorial cooperation (EGTC) (OJ L 210, 31.7.2006, p. 19).


169

(9) In full respect of the constitutional and institutional set-up of the Member States, the use of

the Mechanism should be voluntary with regard to those border regions of a given Member

State where another effective mechanism exists or could be set up with the neighbouring

Member State. It should consist of two measures: the signature and the conclusion of a

European Cross-Border Commitment (the 'Commitment') or the signature of a European

Cross-Border Statement (the 'Statement').

(10) The Commitment should be self-executing, meaning that pursuant to the conclusion of the

Commitment certain legal provisions of one Member State are to be applied on the territory

of the neighbouring Member State. It should also be acceptable that the Member States are

to adopt a legislative act to allow for the conclusion of a Commitment, in order to prevent

national legislation formally adopted by a legislative body from being derogated from by an

authority other than that legislative body and in breach of legal clarity and transparency or

both.

(11) The Statement would still require a legislative procedure in the Member State. The authority

concluding the Statement should make a formal statement that it will trigger by a certain

deadline the legislative procedure necessary to amend the normally applicable national law

and to apply, by way of an explicit derogation, the law of a neighbouring Member State.

(12) Legal obstacles are predominantly felt by persons interacting on land borders, because

people cross borders on a daily or weekly basis. In order to concentrate the effect of this

Regulation to the regions closest to the border and with the highest degree of integration and

interaction between neighbouring Member States, this Regulation should apply to cross-

border regions within the meaning of the territory covered by neighbouring land border

regions in two or more Member States at NUTS level 3 regions111. This should not prevent

Member States from applying the Mechanism also to maritime and external borders others

than those with EFTA countries.

(13) In order to coordinate the tasks of different authorities which in some Member States will

include national and regional legislative bodies, within a given Member States and between

those of one or more neighbouring Member States, each Member State which opts for the

Mechanism should be obliged to set up a national and, where applicable, regional Cross-

border Coordination Points and define their tasks and competencies during the different

steps of the Mechanism covering initiation, conclusion, implementation and monitoring of

Commitments and Statements.

(14) The Commission should set up a coordination point at Union level, as announced in the

Border Regions Communication. That coordination point should liaise with the different

national and, where relevant, regional Cross-border Coordination Points. The Commission

should set up and maintain a database on Commitments and Statements in accordance with

Regulation (EC) No 45/2001 of the European Parliament and of the Council112.

111 Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May

2003 on the establishment of a common classification of territorial units for statistics (NUTS)

(OJ L 154, 21.6.2003, p. 1). 112 Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December

2000 on the protection of individuals with regard to the processing of personal data by the

Community institutions and bodies and on the free movement of such data (OJ L 8,

12.1.2001, p. 1).


170

(15) This Regulation should set out the procedure to conclude a Commitment or Statement and

describe in detail the different steps; preparation and submission of an initiative document, a

preliminary analysis by the Member State which is to apply the legal provisions of the

neighbouring Member State, preparation of the Commitment or Statement to be concluded

and finally the conclusion procedure both for the Commitment and the Statement. The

elements to be covered in the initiative document, the draft and final Commitments and

Statements should also be set out in detail as well as the applicable deadlines.

(16) More specifically, this Regulation should define who can be an initiator of a joint project. As

the Mechanism should improve the implementation of joint cross-border projects, the first

group should be bodies initiating or both initiating and implementing such joint project. The

term project should be understood in a broad sense, covering both a specific item of

infrastructure or a number of activities with regard to a certain territory or both. Secondly, a

local or regional authority located in a given cross-border region or exercising public power

in that cross-border region should be empowered to take the initiative to apply national law

which constitutes an obstacle, but the amendment of or derogation from that law is outside

their institutional competence. Thirdly, bodies set up for cross-border cooperation located in

or covering at least partially a given cross-border region, including EGTCs, or similar bodies

to organise cross-border development in a structured way should be initiator. Finally, bodies

specialised in cross-border cooperation which may also be aware of effective resolutions

found elsewhere in the Union for a comparable issue should also be enabled to start an

initiative. In order to create synergy of bodies directly affected by the obstacle and those

expert in cross-border cooperation in general, all groups may initiate the Mechanism jointly.

(17) The key actor in the Member States requested to conclude a Commitment or Statement

should be the respective national or regional Cross-border Coordination Points which is to

liaise with all competent authorities in its Member State and with its counterpart in the

neighbouring Member State. It should also be clearly established that the Cross-border

Coordination Point may decide whether a procedure leading to the conclusion of a

Commitment or a Statement is to be launched or whether for one or more legal obstacles a

resolution has already found which could be applied. On the other hand, it should also be

established that the Member State the legal provisions of which are to be applied in the other

Member State may refuse such application outside its territory. Any decision should be

justified and communicated.

(18) This Regulation should establish detailed rules on the implementation, application and

monitoring of Commitments and Statements to be concluded and signed.

(19) The implementation of a self-executing Commitment should consist in the application of

national provisions of another Member State. This should mean either the amendment of

legally binding administrative acts already adopted in accordance with the normally

applicable national law or, where this has not yet been done, the adoption of new

administrative acts based on the legislation of another Member State. Where several

authorities are each competent for different aspects of a complex legal obstacle, the

Commitment should be accompanied by a timetable for each of these aspects. Respecting

the subsidiarity principle, the adoption and transmission of those amended or new

administrative acts should follow the national law on administrative procedures.

(20) The implementation of Statements should mainly consist in the preparation and submission

of a legislative proposal to amend existing national law or to derogate from it. After

adoption, those amendments or derogations should be made public and then also


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implemented like the Commitments by the amendment and adoption of legally binding

administrative acts.

(21) Based on the legally binding acts, the respect for the obligations and rights of the addressees

thereof should be monitored. Member States should be allowed to decide whether that

monitoring is entrusted to the authorities of the Member State which transferred its legal

provisions because those authorities are more familiar with those rules or whether that

monitoring is entrusted to the authorities of the Member State where those provisions are

applied because those authorities are more familiar with the remaining legal system of the

committing Member States and the law governing the addressees.

(22) The protection of persons resident in cross-border regions directly or indirectly affected by

the application and monitoring of a Commitment and the amended legislation pursuant to a

Statement, who consider themselves wronged by acts or omissions by the application should

be clarified. Both for Commitment and Statement, the law of the neighbouring Member

State would be applied in the committing Member State as incorporated into its own

legislation and the legal protection should therefore be in the remit of the courts of the

committing Member States even where persons have their legal residence in the transferring

Member State. The same principle should apply for the legal redress against the Member

State whose administrative act is challenged. However, a different approach should apply to

legal redress against the monitoring of the application of the Commitment or Statement.

Where an authority from the transferring Member State has accepted to monitor the

application of the amended legal provisions of the committing Member State and can act

with regard to persons resident in the cross-border area on behalf of the authorities of the

committing Member State, but in its own name, the competent courts should be those of the

Member State where those persons have their legal residence. On the other hand, where the

competent transferring authority cannot act in its own name, but in the name of the

competent committing authority, the competent courts should be those of the committing

Member State, regardless of the legal residence of the person.

(23) This Regulation should set out rules on its implementation, the monitoring of its application

and on the obligations of the Member States with regard to their national implementing

rules.

(24) In order to establish a database according to Article 8,implementing powers should be

conferred on the Commission to lay down rules on its running, on the protection of data and

the model to be used when information on the implementation and on the use of the

Mechanism is submitted by Cross-border Coordination Points. Those powers should be

exercised in accordance with the advisory procedure under Regulation (EU) No 182/2011 of

the European Parliament and of the Council113. For practical and coordination purposes, the

‘Coordination Committee for the European Structural and Investment Funds’ should be the

committee competent for the procedure of adoption of implementing acts.

(25) The national implementing rules are to specify which border regions of a given Member

State are covered by the Commitment or the Statement. Consequently, the Commission will

113 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February

2011 laying down the rules and general principles concerning mechanisms for control by

Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p.

13).


172

be in a position to assess whether for the border which is not mentioned the Member State

has opted for a different mechanism.

(26) This Regulation respects the fundamental rights and observes the principles recognised by

the Charter of Fundamental Rights of the European Union, in particular the right to the

protection of personal data (Article 8), the right to education (Article 14), the freedom to

choose an occupation and the right to engage in work (Article 15), in particular the freedom

to seek employment, to work, to exercise the right of establishment and to provide services

in any Member State, the freedom to conduct business (Article 16), access to social security

and social assistance (Article 34), acces to health care (Article 35) and access to services of

general economic interest (Article 36).

(27) The conditions for territorial cooperation should be created in accordance with the

subsidiarity principle enshrined in Article 5(3) of the Treaty on the European Union.

Member States have undertaken individual, bilateral or even multilateral initiatives to

resolve legal border obstacles. However, those mechanisms do not exist in all Member

States or not for all borders of a given Member State. The financing instruments (mainly

Interreg) and the legal instruments (mainly EGTCs) provided at Union level so far have not

been sufficient to resolve legal border obstacles throughout the Union . The objectives of the

proposed action can consequently not be sufficiently achieved by the Member States, either

at central level or at regional and local level, but can rather, by reason of the scale or effects

of the proposed action, be better achieved at Union level. Further action by the Union

legislator is therefore needed.

(28) In accordance with the principle of proportionality, as set out in Article 5(4) TEU, the

content and form of Union action should not exceed what is necessary to achieve the

objectives of the Treaties. The recourse to the specific Mechanism set up under this

Regulation is voluntary. Where a Member State decides, on a specific border with one or

more neighbouring Member States, to continue to resolve legal obstacles in a specific cross-

border region under the effective mechanisms it has set up at national level or which it has

set up formally or informally, together with one or more neighbouring Member States, the

Mechanism set up under this Regulation does not need to be selected. Likewise, where a

Member State decides, on a specific border with one or more neighbouring Member States,

to join an existing effective mechanism set up formally or informally by one or more

neighbouring Member States, provided that mechanism allows for accession, again, the

Mechanism set up under this Regulation does not need to be selected. This Regulation does

therefore not go beyond what is necessary in order to achieve its objectives for those cross-

border regions, for which Member States have no efficient mechanisms to resolve legal

obstacles in place,


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CHAPTER I

General provisions

Article 1

Subject matter

1. This Regulation sets up a mechanism to allow for the application in one Member State,

with regard to a cross-border region, of the legal provisions from another Member State,

where the application of the legal provisions of the former would constitute a legal obstacle

hampering the implementation of a joint Project ('the Mechanism').

2. The Mechanism shall consist of one of the following measures:

(e) the conclusion of a European Cross-Border Commitment, which is self-executing,

(f) the conclusion of a European Cross-Border Statement which would require a

legislative procedure in the Member State.

3. This Regulation also lays down

(g) the organisation and tasks of Cross-border Coordination Points in the Member States,

(h) the coordinating role of the Commission with respect to the Mechanism,

(i) the legal protection of persons resident in a cross-border region with regard to the

Mechanism.

Article 2

Scope

1. This Regulation applies to cross-border regions as defined in point (1) of Article 3.

2. Where a Member State comprises several territorial entities with legislative powers, this

Regulation shall also apply to those territorial entities including their respective authorities

or legal provisions.

Article 3

Definitions

For the purposes of this Regulation, the following definitions shall apply:

(2) 'cross-border region' means the territory covered by neighbouring land border regions in

two or more Member States at NUTS level 3 regions;

(3) 'joint project' means any item of infrastructure with an impact in a given cross-border

region or any service of general economic interest provided in a given cross-border region;


174

(4) 'legal provision' means any legal or administrative provision, rule or administrative

practice applicable to a joint project, regardless whether adopted or implemented by a

legislative or executive body;

(5) 'legal obstacle' means any legal provision with regard to the planning, development,

staffing, financing or functioning of a joint project that obstructs the inherent potential of a

border region when interacting across the border;

(6) 'initiator' means the actor who identifies the legal obstacle and triggers the Mechanism by

submitting an initiative document;

(7) 'initiative document' means the document prepared by one or more initiators to trigger the

Mechanism;

(8) 'committing Member State' means the Member State on the territory of which one or more

legal provisions from a transferring Member State will apply under a given European

Cross-border Commitment (the “Commitment”) or European Cross-border Statement (the

“Statement”) or where, in the absence of an appropriate legal provision, an ad hoc legal

resolution will be established;

(9) 'transferring Member State' means the Member State whose legal provisions will apply in

the committing Member State under a given Commitment or Statement;

(10) 'competent committing authority' means the authority in the committing Member State

competent to accept the application of the legal provisions of the transferring Member

State on its territory under a given Commitment or, in the case of a Statement, to commit

itself to starting the legislative procedure needed for a derogation from its domestic legal

provisions;

(11) 'competent transferring authority' means the authority in the transferring Member State

competent for the adoption of the legal provisions which will apply in the committing

Member State and for its application on its own territory or for both;

(12) 'area of application' means the area in the committing Member State where the legal

provision of the transferring Member State or an ad hoc legal resolution shall apply.

Article 4

Member States' options for resolving legal obstacles

1. Member State shall either opt for the Mechanism or opt for existing ways to resolve legal

obstacles hampering the implementation of a joint project in cross-border regions on a

specific border with one or more neighbouring Member States.

2. A Member State may also decide, with regard to a specific border with one or more

neighbouring Member States, to join an existing effective way set up formally or

informally by one or more neighbouring Member States.

3. Member States may also use the Mechanism in cross-border regions on maritime borders

or in cross-border regions between one or more Member States and one or more third

countries or one or more overseas countries and territories.


175

4. Member States shall inform the Commission about any decision taken under this Article.

Article 5

Cross-border Coordination Points

1. Where a Member State opts for the Mechanism, it shall establish one or more Cross-border

Coordination Points in one of the following ways:

(a) designate, at national or regional level or at both levels, a Cross-border Coordination

Point as a separate body;

(b) set up a Cross-border Coordination Point within an existing authority or body, at

national or regional level;

(c) entrust an appropriate authority or body with the additional tasks as national or

regional Cross-border Coordination Point.

2. Committing Member States and transferring Member States shall also determine:

(a) whether it is the Cross-border Coordination Point or a competent

committing/transferring authority which may conclude and sign a Commitment and

decide the applicable national law will be derogated from the date of the entry into

force of that Commitment; or

(b) whether it is the Cross-border Coordination Point or a competent

committing/transferring authority which may sign a Statement and state formally

therein that the competent committing authority will do the necessary as to

legislative or other acts be taken by the competent legislative bodies in that Member

State by a given deadline.

3. The Member States shall inform the Commission of the designated Cross-border

Coordination points by the date of the start of application of this Regulation.

Article 6

Tasks of Cross-border Coordination Points

1. Each Cross-border Coordination Points shall have at least the following tasks:

(a) implement the procedure set out in Articles 10 and 11;

(b) coordinate the preparation, signature, implementation and monitoring for all

Commitments and Statements concerning the territory of its Member State;

(c) build up and maintain a database covering all Cross-border Coordination Points

concerning the territory of its Member State;

(d) liaise, where they exist, with the Cross-border Coordination Points in the

neighbouring Member State or States and with the Cross-border Coordination Points

in other territorial entities with legislative powers of its own Member State or another

Member State;


176

(e) liaise with the Commission;

(f) support the Commission as regards its database on Statements and Commitments.

2. Each Member State or each territorial entity with legislative powers in that Member State

may decide to entrust the respective Cross-border Coordination Point also with the

following tasks:

(a) where applicable, to conclude Commitments or Statements pursuant to Articles 16(2)

and 17(2);

(b) upon request from a given initiator, support that initiator by, among other things,

identifying the competent committing authority in the same Member State or the

competent transferring authority in another Member State;

(c) upon request from a given competent committing authority located in another

Member State without its own Cross-border Coordination point, perform the

preliminary analysis of an initiative document;

(d) monitor the implementation of all Commitments and Statements concerning the

territory of its Member State;

(e) remind the competent committing authority to comply with the deadlines established

by in a given Commitment or Statement and request a reply within a given deadline;

(f) inform the authority supervising the competent committing authority on any missed

deadlines as established in a given Commitment or Statement.

3. Where at least one among several legal obstacles concerns an issue of legislative

competence at national level, the national Cross-border Coordination Point shall assume

the tasks set out in Articles 9 to 17 and coordinate with the relevant regional Cross-border

Coordination Point or Points in the same Member State, unless the Member State has

decided that the tasks set out in Articles 14 to 17 are entrusted to a competent committing

authority at national level.

4. Where none of the legal obstacles concerns an issue of legislative competence at national

level, the competent regional Cross-border Coordination Point shall assume the tasks set

out in Articles 9 to 17 and coordinate, with the other regional Cross-border Coordination

Point or Points in the same Member States, in the cases where more than one territorial

entity is concerned by the joint project, unless the Member State has decided that the tasks

set out in Articles 14 to 17 are entrusted to a national Cross-border Coordination Point.

That competent regional Cross-border Coordination Point shall keep the national Cross-

border Coordination Point informed about any Commitment or Statement procedure.

Article 7

Coordination tasks of the Commission

1. The Commission shall fulfil the following coordination tasks:

(a) liaise with the Cross-border Coordination Points;


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(b) publish and keep an up-dated list of all national and regional Cross-border

Coordination Points;

(c) set up and maintain a database on all Commitments and Statements.

2. The Commission shall adopt an implementing act with regard to the functioning of the

database referred to in point (c) of paragraph 1 and the forms to be used when information

on the implementation and on the use of the Mechanism is submitted by Cross-border

Coordination Points. That implementing act shall be adopted in accordance with the

advisory procedure referred to in Article 23(2).

CHAPTER II

Procedure for concluding and signing a Commitment or for signing a

Statement

Article 8

Preparation and submission of the initiative document

1. The initiator shall identify the legal obstacle with regard to the planning, development,

staffing, financing or functioning of a joint project.

2. The initiator shall be one of the following:

(a) the public or private body responsible for initiating or both initiating and

implementing a joint project;

(b) one or more local or regional authorities located in a given cross-border region or

exercising public power in that cross-border region;

(c) a body with or without legal personality set up for cross-border cooperation located

in or covering at least partially a given cross-border region, including European

groupings of territorial cooperation under Regulation (EC) No 1082/2006,

Euroregions, Euregios and similar bodies;

(d) an organisation set up on behalf of cross-border regions with the aim to promote the

interests of cross-border territories and to facilitate the networking of players and the

sharing of experiences, such as the Association of European Border Regions, the

Mission Opérationnelle Transfrontalière or the Central European Service for Cross-

border Initiatives; or

(e) several of the entities referred to in points (a) to (d) jointly.

3. The initiator shall prepare an initiative document drafted in accordance with Article 9.

4. The initiator shall submit the initiative document to the competent Cross-border

Coordination Point of the committing Member State and send a copy to the competent

Cross-border Coordination Point of the transferring Member State.


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Article 9

Content of the initiative document

1. The initiative document shall include at least the following elements:

(a) a description of the joint project and of its context, of the corresponding legal

obstacle in the committing Member State as well as of the rationale for resolving the

legal obstacle;

(b) a list of the specific legal provisions of the transferring Member State resolving the

legal obstacle or, where no appropriate legal provision exists, a proposal for an ad

hoc legal resolution;

(c) a justification for the area of application;

(d) the foreseeable duration or, where duly justified, its unlimited duration;

(e) a list of the competent committing authority or authorities;

(f) a list of the competent transferring authority or authorities.

2. The area of application shall be limited to the minimum necessary for the effective

implementation of the joint project.

Article 10

Preliminary analysis of the initiative document by the committing Member State

1. The competent Cross-border Coordination Point shall analyse the initiative document. It

shall liaise with all competent committing authorities and with the national or, where

relevant, other regional Cross-border Coordination Points in the committing Member State

and with the national Cross-border Coordination Point in the transferring Member State.

2. Within three months after receipt of the initiative document the competent Cross-border

Coordination Point shall take, one or more of the following actions, to be transmitted to the

initiator in writing:

(a) inform the initiator that the initiative document was prepared in accordance with

Article 9 and is therefore admissible;

(b) request, if necessary, the submission of a revised initiative document or of additional

specific information while setting out why and in which aspect the initiative

document is not considered sufficient;

(c) inform the initiator about its assessment that there is no legal obstacle while setting

out the reasons and also referring to the means of legal redress against that decision

under the law of the committing Member State;

(d) inform the initiator about its assessment that the legal obstacle consists in one of the

cases listed in Article 12(4) and describe the commitment of the competent

committing authority, to change or adapt that legal obstacle;


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(e) inform the initiator about its assessment that the legal obstacle consists in one of the

situations under Article 12(4) while setting out its reasons to refuse to change or

adapt that legal obstacle and referring to the means of legal redress against that

decision under the law of the committing Member State;

(f) commit itself towards the initiator to find a resolution to the legal obstacle or

obstacles within six months, either by signing a Commitment with the Cross-border

Coordination point of the transferring Member State or with the competent

transferring authority, as designated by the transferring Member State, or by

proposing an ad hoc legal resolution within the legal framework of the committing

Member State.

3. In duly justified cases, the competent committing authority may extend the deadline

referred to in point (f) of paragraph 2 once, by a maximum of six months and shall inform

the initiator and the transferring Member State accordingly, while setting out the reasons in

writing.

Article 11

Preliminary analysis of the initiative document by the transferring Member State

Upon receipt of an initiative document, the competent Cross-border Coordination Point of the

transferring Member State shall also carry out the tasks listed in Article 10(2) and may send its

preliminary reaction to the competent Cross-border Coordination Point of the committing Member

State.

Article 12

Follow-up on the preliminary analysis of the initiative document

1. Where the competent Cross-border Coordination Point of the committing Member State

requests a revised initiative document or additional specific information, it shall analyse

the revised initiative document or the additional specific information or both and take,

within three months after receipt thereof, the actions as if the initiative document was

submitted for the first time.


considers that the revised initiative document is still not prepared in accordance with

Article 10 or that the additional specific information is still not sufficient, it shall, within

three months after receipt of the revised initiative document, inform the initiator in writing

about its decision to end the procedure. This decision shall be duly justified.

3. Where the analysis by the competent Cross-border Coordination Point of the committing

Member State or the competent committing authority concludes that the legal obstacle

described in the initiative document is based on a misunderstanding or misinterpretation of

the relevant legislation or on the lack of sufficient information about the relevant

legislation, the procedure ends by informing the initiator about the assessment that there is

no legal obstacle.

4. Where the legal obstacle consists only in an administrative provision, rule or

administrative practice of the committing Member State or in a an administrative


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provision, rule or administrative practice clearly distinct from a provision adopted under a

legislative procedure and can therefore be changed or adapted without a legislative

procedure, the competent committing authority shall inform the initiator in writing its

refusal or willingness to change or adapt the relevant administrative provision, rule or

administrative practice within eight months.

5. In duly justified cases, the competent committing authority may extend the deadline

referred to in paragraph 4 once by a maximum of eight months and shall inform the

initiator and the transferring Member State accordingly, while setting out the reasons in

writing.

Article 13

Preparation of the draft Commitment or Statement

The Cross-border Coordination Point or the competent committing authority of the committing

Member State shall draw up a draft Commitment or a draft Statement in accordance with Article 14,

based on the initiative document.

Article 14

Content of the draft Commitment and draft Statement

1. The draft Commitment shall include at least the following elements:

(a) the description of the joint project and of its context, of the corresponding legal

obstacle as well as of the rationale for resolving the legal obstacle;

(b) the list of the specific legal provision or provisions constituting the legal obstacle and

which shall therefore not apply to the joint project;

(c) the area of application;

(d) the duration of the application and a justification for that duration;

(e) the competent committing authority or authorities;

(f) the specific legal provision of the transferring Member State which shall apply to the

joint project;

(g) the proposal of the ad hoc legal resolution, where no appropriate legal provision

exists in the legal framework of the transferring Member State;

(h) the competent transferring authority or authorities;

(i) the authority or authorities from the committing Member State competent for the

implementation and monitoring;

(j) the authority or authorities from the transferring Member State which are proposed to

be designated jointly for the implementation and monitoring;

(k) the date of its entry into force.


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The date of entry into force referred to in point (k) shall be either the date when the last of the

two Cross-border Coordination Points or competent authorities have signed or the date when it

has been notified to the initiator.

2. In addition to the elements listed in paragraph 1, the draft Commitment shall also include a

date of application which may be

(a) set at the same date as its entry into force;

(b) set with retroactive effect;

(c) deferred to a date in the future.

3. In addition to the elements listed in paragraph 1, the draft Statement shall also include a

formal statement of the date or dates by which each competent committing authority shall

submit a formal proposal to the respective legislative body in order to amend the national

legal provisions accordingly.

The date referred to in the first subparagraph shall not be later than twelve months after the

conclusion of the Statement.

Article 15

Transmission of the draft Commitment or draft Statement

1. Where the competent committing authority has prepared the draft Commitment or draft

Statement, it shall transmit this draft to the competent Cross-border Coordination Point of

the committing Member State:

(a) within a maximum of three months after having transmitted information under

Article 10(2) or Article 12(1) and (2);

(b) within a maximum of eight months pursuant to Article 12(4) and (5).


has prepared the draft Commitment or draft Statement or where it has received it from the

competent committing authority it shall transmit this draft to the competent Cross-border

Coordination Point of the transferring Member State within the periods referred to in

points (a) or (b) of paragraph 1.

3. In both cases, a copy shall also be sent for information to the initiator.

Article 16

Tasks of the transferring Member State in concluding and signing the Commitment or in signing

the Statement

1. The competent Cross-border Coordination Point of the transferring Member State shall

examine the draft Commitment or draft Statement received pursuant to Article 15 and,

within a maximum of three months after receipt of the draft and after consulting the

competent transferring authorities, take one or more of the following actions:


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(a) agree with the draft Commitment or draft Statement, sign two original copies and

send one back to the competent Cross-border Coordination Point of the committing

Member State;

(b) agree with the draft Commitment or draft Statement, after correcting or

supplementing the information referred to in points (f) and (h) of Article 14(1), sign

two original copies of the revised draft Commitment or draft Statement and send one

back to the competent Cross-border Coordination Point of the of the committing

Member State;

(c) refuse to sign the draft Commitment or draft Statement and transmit a detailed

justification to the competent Cross-border Coordination Point of the committing

Member State;

(d) refuse to sign the draft Commitment or draft Statement and send back an amended

draft as regards the information referred to in points (c), (d) and, where relevant, (g)

of Article 14(1), as well as for the draft Commitment the information referred to

under Article 14(2), with a justification for the amendments to the competent Cross-

border Coordination Point of the committing Member State.

2. In Member States where the competent transferring authority shall sign a Commitment or

Statement, the competent Cross-border Coordination Point of the transferring Member

State shall send, in accordance with points (a) and (b) of paragraph 1, the two original

copies signed by the competent transferring authority.

3. Where the transferring Member State agrees in accordance with point (a) or (b) of

paragraph 1 to sign a Commitment or a Statement, it shall, in addition, explicitly confirm

or refuse that the competent authority or authorities which are proposed to be designated

jointly for the implementation and monitoring of the Commitment or the Statement

pursuant to point (j) of Article 14(1) shall assume those tasks to be carried out in the area

of application.

Article 17

Tasks of the committing Member State in concluding and signing the Commitment or in signing

the Statement

1. The competent Cross-border Coordination Point of the committing Member State shall

examine the reply transmitted by the competent Cross-border Coordination Point of the

transferring Member State and take, within a maximum of one month after its receipt one

or more of the following actions, to be transmitted to the competent transferring authority

in writing:

(a) in the case of point (a) of paragraph 2, finalise the Commitment or the Statement,

sign two original copies and send one back to the competent Cross-border

Coordination Point of the transferring Member State for signature;

(b) in the case of point (b) of paragraph 2, amend the Commitment or the Statement as

regards the information in the draft Commitment or the draft Statement covered by

points (f) and (h) of Article 14(1) accordingly, finalise the Commitment or

Statement, sign two original copies and send one back to the competent Cross-border

Coordination Point of the transferring Member State for signature;


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(c) in the case of point (c) of paragraph 2, inform the initiator and the Commission,

while adding the justification as set out by the competent transferring authority;

(d) in the case of point (d) of paragraph 2, consider the amendments and either proceed

as under point (b) of this paragraph or relaunch a second procedure under Article 9

setting out why some or all of the amendments could not be accepted by the

competent committing authority.

2. Upon receipt of the Commitment or the Statement, as also signed by the competent Cross-

border Coordination Point or competent transferring authority in the cases of points (a) or

(b) of paragraph 1 or, where the competent Cross-border Coordination Point of the

transferring Member State has reacted positively under the second procedure of point (d)

of paragraph 1, the competent Cross-border Coordination Point of the committing Member

State shall:

(a) transmit the final Commitment or Statement to the initiator;

(b) transmit the second original copy to the competent Cross-border Coordination Point

of the transferring Member State;

(c) send a copy to all competent committing authorities;

(d) send a copy to the coordination point at Union level; and

(e) request the competent service in the committing Member State responsible for

official publications to publish the Commitment or the Statement.

CHAPTER III

Implementation and monitoring of Commitments and Statements

Article 18

Implementation of the Commitment

1. The information referred to under point (c) of Article 17(2) and sent to all competent

committing authorities concerned, shall be accompanied by a timetable, by which each of

those authorities shall, where relevant, amend any administrative act adopted under the

applicable law with regard to the joint project and adopt any administrative act necessary

to apply the Commitment to the joint project in order to apply to it the legal provision of

the transferring Member State or an ad hoc legal resolution.

2. A copy of the timetable shall be sent to the national and, where relevant, regional Cross-

border Coordination Point of the committing Member State.

3. Any administrative act referred to in paragraph 1 shall be adopted and notified to the

initiator, in particular to the public or private body responsible for initiating or both

initiating and implementing a joint project, in accordance with the national law applicable

to such administrative acts.


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4. Once all administrative acts with regard to a given joint project are adopted, the Cross-

border Coordination Point of the committing Member State shall inform the Cross-border

Coordination Point of the transferring Member State and the coordination point at Union

level.

5. The Cross-border Coordination Point of the transferring Member State shall inform, where

relevant, the competent transferring authorities.

Article 19

Implementation of the Statement

1. Each competent committing authority listed in a Statement under Article 14(3) shall submit

by the respective date fixed in the signed Statement a formal proposal to the respective

legislative body in order to amend the national legal provisions accordingly.

2. In case the respective date fixed in the signed Statement cannot be respected, in particular

in view of upcoming elections for the competent legislative body, the competent

committing authority shall inform in writing the initiator as well as the competent Cross-

border Coordination Point of both the committing and the transferring Member States.

3. Once a formal proposal has been submitted to the respective legislative body, the

respective competent committing authority shall up-date in writing the initiator as well as

the competent Cross-border Coordination Point of both the committing and the transferring

Member States about the monitoring in the respective legislative body, and this every six

months after the date of formal submission.

4. Upon entry into force of the amending legislative act or its publication in the official

Gazette or both, each competent committing authority shall amend any administrative act

adopted under the applicable national law with regard to the joint project and adopt any

administrative act necessary to apply the amended legal provisions to the joint project.

5. Any administrative act as referred to in paragraph 4 shall be adopted and notified to the

initiator, in particular where this initiator is a public or private body responsible for

initiating or both initiating and implementing a joint project, in accordance with the

national law applicable to such administrative acts.

6. Once all administrative acts with regard to a given joint project are adopted, the Cross-

border Coordination Point of the committing Member State shall inform the Cross-border

Coordination Point of the transferring Member State and the coordination point at Union

level.

7. The Cross-border Coordination Point of the transferring Member State shall, where

relevant, inform the competent transferring authorities.

Article 20

Monitoring of Commitments and Statements

1. Based on the administrative acts referred to in Articles 18(1) and 19(4), the committing

and transferring Member States shall decide whether the monitoring of the application of a

Commitment or of the amended national legislation pursuant to a Statement shall be


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entrusted to the authorities of the transferring Member State, in particular due to their

expertise with the legal provisions transferred, or to the authorities of the committing

Member State.

2. Where the monitoring of the application of the transferred legal provisions is entrusted to

the authorities of the transferring Member State, the committing Member State shall

decide, in agreement with transferring Member States, whether the authorities of the

transferring Member State shall act with regard to the addressees of the monitoring tasks

on behalf and in the name of the authorities of the committing Member State or on behalf,

but in their own name.

CHAPTER IV

Legal protection against the application and monitoring of

Commitments and Statements

Article 21

Legal protection against the application of a Commitment or Statement

1. Any person resident in the territory covered by a Commitment or Statement or, although

not resident in that territory, being user of a service of general economic interest provided

in that territory ('person resident in the cross-border region'), who considers itself wronged

by the acts or omissions by the application, pursuant to a Commitment or a Statement, of a

legal provision of a transferring Member State shall be entitled to seek legal redress before

the courts of the committing Member State.

2. However, the competent courts for legal redress against any administrative acts adopted

under Article 18(3) and 19(5) shall be exclusively the courts of the Member State whose

authorities issued the administrative act.

3. Nothing in this Regulation shall deprive persons from exercising their national

constitutional rights of appeal against authorities which are parties of a Commitment in

respect of:

(a) administrative decisions in respect of activities which are being carried out pursuant

to a Commitment;

(b) access to services in their own language; and

(c) access to information.

In these cases the competent courts shall be those of the Member State under whose

constitution the rights of appeal arise.


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Article 22

Legal protection against the monitoring of Commitments or Statements

1. Where the competent transferring authority has accepted to monitor the application of the

legal provisions of the transferring Member State in the relevant area and can act in its own

name towards persons resident in the cross-border region of the committing Member State,

the competent courts for legal redress against any action or omission by that authority shall

be the courts of the Member State where those persons have their legal residence.

2. Where the competent transferring authority has accepted to monitor the application of the

legal provisions of the committing Member State on the territory of the committing

Member State, but cannot act on its own name towards persons resident in the cross-border

region, the competent courts for legal redress against any action or omission by that

authority shall be only the courts of the committing Member State, including for persons

having their legal residence in the transferring Member State.

CHAPTER V

Final provisions

Article 23

Committee procedure

1. The Commission shall be assisted by the Coordination Committee for the European

Structural and Investment Funds established by Article 108(1) of Regulation (EU) No [new

CPR]. That committee shall be a committee within the meaning of Regulation

(EU) No 182/2011.

2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall

apply.

Article 24

Implementing provisions in the Member States

1. Member States shall make such provisions as are appropriate to ensure the effective

application of this Regulation

2. By the date of the start of application of this Regulation, Member States shall inform the

Commission accordingly of any provisions adopted under paragraph 1.

3. The Commission shall render public the information received from the Member States.

Article 25

Reporting

By dd mm yyyy [i.e. the 1st of the month following the entry into force of this Regulation + five

years; to be filled in by the Publication Office], the Commission shall present a report to the


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European Parliament, the Council and the Committee of the Regions assessing the application of

this Regulation based on indicators on its effectiveness, efficiency, relevance, European added

value and scope for simplification.

Article 26

Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the

Official Journal of the European Union.

It shall apply from [the 1st of the month following the entry into force of this Regulation + one year;

to be filled in by the Publication Office].

However, Article 24 shall apply from [the 1st of the month following the entry into force of this

Regulation; to be filled in by the Publication Office].


Done at Brussels,




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La Sede di Bruxelles della Regione Abruzzo è a disposizione per ulteriori approfondimenti in merito ai temi trattati

nel presente Speciale

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Anno XIV° - Numero 5/57 del 1° giugno 2018 · Gestione a livello locale - La politica di coesione...

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