Activities of Lambert van NISTELROOIJ related to 2011/0276(COD)
Reports (1)
REPORT on the amended proposal for a regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund covered by the Common Strategic Framework and laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Council Regulation (EC) No 1083/2006 PDF (3 MB) DOC (6 MB)
Amendments (144)
Amendment 1 #
Proposal for a regulation
Article 9
Article 9
Each CSF Fund shall support the following thematic objectives in accordance with its missionEuropean Structural and Investment Fund, in order to contribute to the Union strategy for smart, sustainable and inclusive growth as well as the Fund- specific missions pursuant to their Treaty- based objectives, including economic, social and territorial cohesion shall support the following thematic objectives: (1) strengthening research, technological development and innovation; (2) enhancing access to, and use and quality of, information and communication technologies; (3) enhancing the competitiveness of small and medium-sized enterprises, the agricultural sector (for the EAFRD) and the fisheries and aquaculture sector (for the EMFF); (4) supporting the shift towards a low- carbon economy in all sectors; (5) promoting climate change adaptation, risk prevention and management; (6) preserving and protecting the environment and promoting resource efficiency; (7) promoting sustainable transport and removing bottlenecks in key network infrastructures; (8) promoting sustainable and quality employment and supporting labour mobility; (9) promoting social inclusion and, combating poverty; and any discrimination; (10) investing in education, training and vocational training for skills and lifelong learning; (11) enhancing institutional capacity of public authorities and stakeholders and an efficient public administration. Thematic objectives shall be translated into priorities specific to each CSFof the European Structural and Investment Funds and set out in the Fund-specific rules.
Amendment 2 #
Proposal for a regulation
Article 11 – point d
Article 11 – point d
(d) the arrangements to address the key territorial challenges and the steps to be taken to encourage an integrated approach that reflects the role of urban, rural, coastal and fisheries areas, as well as the specific challenges for areas with particular territorial featurefor urban, rural, coastal and fisheries areas, the demographic challenges of regions or specific needs of geographical areas which suffer by severe and permanent natural or demographic handicaps as referred to in Article 174 of the Treaty on the Functioning of the European Union, and the specific challenges of outermost regions as rdeferred toined in Articles 174 and 349 of the Treaty on the Functioning of the European Union;
Amendment 3 #
Proposal for a regulation
Article 17
Article 17
Amendment 4 #
Proposal for a regulation
Article 32
Article 32
Financial instruments 1. The CSFEuropean Structural and Investment Funds may be used to support financial instruments under aone or more programmes, including when organised through funds of funds, in order to contribute to the achievement of specific objectives set out under a priority, based on an ex ante assessment which has identified market failures or sub-optimal investment situations, and investment needs. Financial instruments may be combined with grants, interest rate subsidies and guarantee fee subsidies. In this case, separate records must be maintained for each form of financing. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down detailed rules concerning the ex ante assessment of financial instruments, the combination of support provided to final recipients through grants, interest rate subsidies, guarantee fee subsidies and financial instruments, additional specific rules on eligibility of expenditure and rules specifying the types of activities which shall not be supported through financial instruments. Note to translation: This paragraph has been transformed into Article 32, paragraph 3h (new); wording has been chang. Financial instruments shall be implemented to support investments which are expected to be financially viable and do not give rise to sufficient funding from market sources. When applying this title, the managing authority, the fund of funds, and the bodies implementing the financial instrument shall comply with applicable Union and national law, in particular on state aid and public procurement. deleted.
Amendment 5 #
Proposal for a regulation
Article 32 – paragraph 1 a (new)
Article 32 – paragraph 1 a (new)
Amendment 6 #
Proposal for a regulation
Article 32 – paragraph 1 b (new)
Article 32 – paragraph 1 b (new)
1b. The ex ante assessment may be performed in stages. It shall, in any event, be completed before the managing authority decides to make programme contributions to a financial instrument. The summary findings and conclusions of ex-ante assessments in relation to financial instruments shall be published within three months from their date of finalisation. The ex-ante assessment shall be submitted to the monitoring committee for information purposes in accordance with Fund-specific rules.
Amendment 7 #
Proposal for a regulation
Article 32 – paragraph 2
Article 32 – paragraph 2
Amendment 8 #
Proposal for a regulation
Article 32 – paragraph 3
Article 32 – paragraph 3
Amendment 9 #
Proposal for a regulation
Article 32 – paragraph 3 a (new)
Article 32 – paragraph 3 a (new)
3a. Where financial instruments support financing to enterprises, including SMEs, such support shall target the establishment of new enterprises, early stage-capital, i.e., seed capital and start- up capital, expansion capital, capital for the strengthening of the general activities of an enterprise, or the realization of new projects, penetration of new markets or new developments by existing enterprises, without prejudice to applicable EU State aid rules and in accordance with Fund- specific rules. Support may include investment in both tangible and intangible assets as well as working capital within the limits of applicable EU State aid rules and with a view to stimulate the private sector as a supplier of funding to enterprises. It may also include the costs of transfer of proprietary rights in enterprises provided that such transfer takes place between independent investors.
Amendment 10 #
Proposal for a regulation
Article 32 – paragraph 3 b (new)
Article 32 – paragraph 3 b (new)
3b. Financial instruments may be combined with grants, interest rate subsidies and guarantee fee subsidies. Where support from European Structural and Investment Funds is provided by means of financial instruments and combined in a single operation, with other forms of support directly related to financial instruments targeting the same final recipients, including technical support, interest rate subsidies and guarantee fee subsidies, the provisions applicable to financial instruments shall apply to all forms of support within that operation. In such cases, applicable EU State aid rules shall be respected and separate records shall be maintained for each form of support.
Amendment 11 #
Proposal for a regulation
Article 32 – paragraph 3 c (new)
Article 32 – paragraph 3 c (new)
3c. Final recipients supported by an European Structural and Investment Fund financial instrument may also receive assistance from another European Structural and Investment Funds priority or programme or from another instrument supported by the budget of the Union in accordance with applicable EU State aid rules. In this case, separate records must be maintained for each source of assistance and the European Structural and Investment Funds financial instrument support shall be part of an operation with eligible expenditure distinct from the other sources of assistance.
Amendment 12 #
Proposal for a regulation
Article 32 – paragraph 3 d (new)
Article 32 – paragraph 3 d (new)
3d. The combination of support provided through grants and financial instruments as referred to under paragraphs 5 and 6 may cover the same expenditure item provided that the sum of all forms of support combined does not exceed the total amount of the expenditure item concerned and subject to applicable EU State aid rules. Grants shall not be used to reimburse support received from financial instruments. Financial instruments shall not be used to pre-finance grants.
Amendment 13 #
Proposal for a regulation
Article 32 – paragraph 3 e (new)
Article 32 – paragraph 3 e (new)
3e. Contributions in kind are not eligible expenditure in respect of financial instruments, except for contributions of land or real estate in respect of investments with the objective of supporting rural development, urban development or urban regeneration, where the land or real estate forms part of the investment. Such contributions of land or real estate shall be eligible provided that the conditions in Article 59(1) are met.
Amendment 14 #
Proposal for a regulation
Article 32 – paragraph 3 f (new)
Article 32 – paragraph 3 f (new)
3f. VAT shall not constitute eligible expenditure of an operation, except in the case of VAT which is non-recoverable under national VAT legislation. The treatment of VAT at the level of investments made by final recipients shall not be taken into account for the purposes of determining the eligibility of expenditure under the financial instrument. However, where financial instruments are combined with grants under paragraph 5 and paragraph 6, the provisions of Article 59(3) shall apply to the grant.
Amendment 15 #
Proposal for a regulation
Article 32 – paragraph 3 g (new)
Article 32 – paragraph 3 g (new)
3g. For the purposes of the application of this article the applicable state aid rules shall be those in force at the time when the managing authority or the fund of funds contractually commit programme contributions to a financial instrument, or when the financial instrument contractually commits programme contributions to final recipients, as applicable.
Amendment 16 #
Proposal for a regulation
Article 32 – paragraph 3 h (new)
Article 32 – paragraph 3 h (new)
3h. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down additional specific rules on purchase of land and on combination of technical support with financial instruments.
Amendment 17 #
Proposal for a regulation
Article 33
Article 33
Implementation of financial instruments 1. In implementing Article 32, managing authorities may provide a financial contribution to the following financial instruments: (a) financial instruments set up at Union level, managed directly or indirectly by the Commission; (b) financial instruments set up at national, regional, transnational or cross-border level, managed by or under the responsibility of the managing authority. 2. Title [VIII] of the Financial Regulation shall apply to financial instruments referred to in paragraph 1(a). Contributions from the CSF Funds to financial instruments under paragraph 1(a) shall be placed in separate accounts and used, in accordance with the objectives of the respective CSF Funds, to support actions and final recipients consistent with the programme or programmes from which such contributions are made. 3. For financial instruments under paragraph 1(b), the managing authority may provide a financial contribution to the following financial instruments: (a) financial instruments complying with the standard terms and conditions laid down by the Commission, by means of implementing acts in accordance with the examination procedure referred to in Article 143(3); (b) already existing or newly created financial instruments which are specifically designed to achieve the intended purpose and which respect the applicable Union and national rules. The Commission shall adopt delegated acts in accordance with Article 142 laying down the specific rules regarding certain types of financial instruments referred to in point (b), as well as the products that may be delivered through such instruments. 4. When supporting financial instruments referred to in paragraph 1(b) the managing authority may: (a) invest in the capital of existing or newly created legal entities, including those financed from other CSF Funds, dedicated to implementing financial instruments consistent with the objectives of the respective CSF Funds, which will undertake implementations tasks; the support to such investments shall be limited to the amounts necessary to implement new financial instruments consistent with the objectives of this Regulation; or (b) entrust implementation tasks to: (i) the European Investment Bank; (ii) international financial institutions in which a Member State is a shareholder, or financial institutions established in a Member State aiming at the achievement of public interest under the control of a public authority, selected in accordance with applicable Union and national rules; (iii) a body governed by public or private law selected in accordance with applicable Union and national rules. (c) undertake implementation tasks directly, in the case of financial instruments consisting solely of loans or guarantees. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down rules concerning funding agreements, the role and responsibility of the entities to which the implementation tasks are entrusted, as well as management costs and fees. Note to translation: This paragraph has been transformed into Article 33, paragraph 4, last subparagraph; wording has been changed. 5. The entities referred to in paragraph 4(b)(i) and (ii), when implementing financial instruments through funds of funds, may further entrust part of the implementation to financial intermediaries provided that these entities ensure under their responsibility that the financial intermediaries satisfy the criteria laid down in [Articles 57 and 131 (1), (1a) and (3)] of the Financial Regulation1. Financial intermediaries shall be selected on the basis of open, transparent, proportionate and non-discriminatory procedures, avoiding conflicts of interests. 6. The entities referred to in paragraph 4(b) to which implementation tasks have been entrusted shall open fiduciary accounts in their name and on behalf of the managing authority. The assets held on such fiduciary accounts shall be managed in accordance with the principle of sound financial management following appropriate prudential rules and shall have appropriate liquidity. Contributions from the European Structural and Investment Funds to financial instruments under paragraph 1(a) shall be placed in separate accounts and used, in accordance with the objectives of the respective European Structural and Investment Funds, to support actions and final recipients consistent with the programme or programmes from which such contributions are made. Contributions to such financial instruments are subject to the provisions of this Regulation unless exceptions are expressly provided for. This is without prejudice to the rules governing the set up and functioning of the financial instruments under the Financial Regulation, unless they conflict with the rules of the CPR, in which case the latter prevail. 3. For financial instruments under paragraph 1(b), the managing authority may provide a financial contribution to the following financial instruments: (a) financial instruments complying with the standard terms and conditions laid down by the Commission, by means of implementing acts in accordance with the examination procedure referred to in Article 143(3); (b) already existing or newly created financial instruments which are specifically designed to achieve the specific objectives set out under the relevant priority. deleted 4. When supporting financial instruments referred to in paragraph 1(b) the managing authority may: (a) invest in the capital of existing or newly created legal entities, including those financed from other European Structural and Investment Funds, dedicated to implementing financial instruments consistent with the objectives of the respective European Structural and Investment Funds, which will undertake implementation tasks; the support to such entities shall be limited to the amounts necessary to implement new investments in accordance with the provisions under Article 32 and consistent with the objectives of this Regulation; or (b) entrust implementation tasks to: (i) the European Investment Bank; (ii) international financial institutions in which a Member State is a shareholder, or financial institutions established in a Member State aiming at the achievement of public interest under the control of a public authority; (iii) a body governed by public or private law. (c) undertake implementation tasks directly, in the case of financial instruments consisting solely of loans or guarantees. In this case the managing authority is considered to be the beneficiary in the meaning of Article 2 (8). When implementing the financial instrument, the bodies referred to in a) b) and c) shall ensure compliance with applicable EU and national law, including rules covering European Structural and Investment Funds, state aid, public procurement and relevant standards and applicable legislation on the prevention of money laundering, the fight against terrorism and tax fraud. They shall not be established and shall not maintain business relations with entities incorporated in territories, whose jurisdictions do not cooperate with the Union in relation to the application of the internationally agreed tax standards and shall transpose such requirements in their contracts with the selected financial intermediaries. deleted 4.1.a. Where a financial instrument is implemented under paragraphs (4)(a) and (b), subject to the implementation structure of the financial instrument, the terms and conditions for contributions from programmes to financial instruments shall be set out in funding agreements in accordance with ANNEX X at the following levels: (a) where applicable, between the duly mandated representatives of the managing authority and the body that implements the fund of funds, and (b) between the duly mandated representatives of the managing authority, or where applicable, the body that implements the fund of funds, and the body that implements the financial instrument. 4.1.b. For financial instruments implemented under paragraph (4)(c), the terms and conditions for contributions from programmes to financial instruments shall be set out in a strategy document in accordance with ANNEX X to be examined by the monitoring committee. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down additional specific rules on the role, liabilities and responsibility of bodies implementing financial instruments, related selection criteria and products that may be delivered through financial instruments in accordance with the provisions under Article 32. The Commission shall notify the delegated acts, adopted in accordance with Article 142, simultaneously to the European Parliament and the Council within four months of the adoption of this Regulation. 5. The bodies referred to in paragraph 4(a) and (b), when implementing funds of funds may further entrust part of the implementation to financial intermediaries provided that these entities ensure under their responsibility that the financial intermediaries satisfy the criteria laid down in Article 140(1), (2) and (4) of the Financial Regulation1. Financial intermediaries shall be selected on the basis of open, transparent, proportionate and non-discriminatory procedures, avoiding conflicts of interests. 6. The bodies referred to in paragraph 4(b) to which implementation tasks have been entrusted shall open fiduciary accounts in their name and on behalf of the managing authority, or set up the financial instrument as a separate block of finance within a financial institution. In case of a separate block of finance, separate accounting shall distinguish programme resources invested in the financial instrument from the other resources available in the financial institution. The assets held on fiduciary accounts and such separate blocks of finance shall be managed in accordance with the principle of sound financial management following appropriate prudential rules and shall have appropriate liquidity. 6a. National public and private contributions, including where relevant in-kind contributions as referred to under Article 32(8), may be provided at the level of the fund of funds, at the level of the financial instrument or at the level of final recipients, in accordance with Fund- specific rules. 7. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down detailed rules concerning specific requirements regarding the transfer and management of assets managed by the entities to which implementation tasks are entrusted, as well as conversion of assets between euro and national currencies.
Amendment 18 #
Proposal for a regulation
Article 34 – paragraph 1
Article 34 – paragraph 1
1. The bBodies accredidesignated in accordance with Article 64113bis for ERDF, CF, ESF, EMFF and with Article 72 of the RDR for the EAFRD shall not carry out on-the- spot verifications of operations comprising financial instruments implemented under Article 33(1)(a). They shall receive regular control reports from the bodies entrusted with the implementation of these financial instruments.
Amendment 19 #
Proposal for a regulation
Article 36 – paragraph 1 – point a
Article 36 – paragraph 1 – point a
(a) payments to final recipients, and in the cases referred to under Article 32(5) payments to the benefit of final recipients;
Amendment 20 #
Proposal for a regulation
Article 36 – paragraph 4 a (new)
Article 36 – paragraph 4 a (new)
4a. Management cost and fees as referred to in paragraphs (1)(d) and (2) may be charged by the body implementing the fund of funds or bodies implementing financial instruments pursuant to Articles 33(4)(a) and (b) and shall not exceed the thresholds defined in the delegated act referred to in this paragraph. Whereas management costs shall comprise direct or indirect cost items reimbursed against evidence of expenditure, management fees shall refer to an agreed price for services rendered established via a competitive market process, where applicable. Management costs and fees shall be based on a performance based calculation methodology. Management costs and fees may comprise arrangement fees. Where arrangement fees, or any part thereof, are charged to final recipients, they shall not be declared as eligible expenditure. Management costs and fees, including those incurred for preparatory work in relation to the financial instrument before the signature of the relevant funding agreement, are eligible as from the date of signature of the relevant funding agreement. The Commission shall be empowered to adopt, by means of delegated acts in accordance with Article 142, the rules for calculating management costs and fees and on the reimbursement of capitalised management costs and fees for equity- based instruments and micro-credit.
Amendment 21 #
Proposal for a regulation
Article 38 – paragraph 2 – point c
Article 38 – paragraph 2 – point c
(c) further investments through the same or other financial instruments, in accordance with the aims of the programme or programmes. (Note: this point (c) will become a point (a) under Article 1 of paragraph 38 of Parliament's amendment.)specific objectives set out under a priority;
Amendment 22 #
Proposal for a regulation
Article 40
Article 40
Report on Implementation of Financial Instruments 1. The managing authority shall send to the Commission a specific report covering the operations comprising financial instruments as an annex to the annual implementation report. 2. The report referred to in paragraph 1 shall include, for each financial instrument, the following information: (a) identification of the programme and of the priority or measure from which support from the CSFEuropean Structural and Investment Funds is provided; (b) description of the financial instrument and implementation arrangements; (c) identification of the bodies to whom implementation tasks have been entrusted; (d) total amount of support by programme andimplementing financial instruments, and the bodies implementing funds of funds where applicable, as referred to under Articles 33(1)(a), 33(4)(a), (b) and (c), and the financial intermediaries referred to under Article 33(6); (d) total amount of programme contributions by priority or measure paid to the financial instrument included in requests f; (e) total amount of support payment submitted to the Commission; (e) total amount of support paid or committed in guarantee contracts by the financial instrument to the final recipients by programme and priority or measure included in requests for payment submitted to the Commission; (f) revenues of, and repayments to, the financiid to the final recipients or to the benefit of final recipients, or committed in guarantee contracts by the financial instrument for investments in final recipients, as well as management costs incurred or management fees paid, by programme and priority or measure; (f) the performance of the financial instrument including progress in its set-up and in selection of bodies implementing the financial instrument (including the body implementing a fund of funds); (fa) interest and other gains generated by support from the European Structural and Investment Funds to the financial instrument, cumulative amounts of programme resources paid back to financial instruments from investments or from the release of resources committed, including capital repayments and gains and other earnings or yields, such as interest, guarantee fees, dividends, capital gainstru or any other income generated by investments; (g) multiplierprogress in achieving the expected leverage effect of investments made by the financial instrument and value of investments and participations; (ga) the value of equity investments, with respect to previous years; (h) contribution of the financial instrument to the achievement of the indicators of the programme and of the priority concerned. 3iority or measure concerned. The information in (g) and (h) may be included only in the annex to the annual implementation reports submitted in 2017 and 2019 as well as in the final report. The monitoring obligations as set out in (a) and (h) shall not be applied at the level of final. 2a. The Commission shall adopt, by means of implementing act, in accordance with the examination procedure referred tolaid down in Article 143(3), thearrangements for uniform conditions concerning the monitoring and provision of monitoring information to the Commission, including in respect of financial instruments referred to in Article 33(1)(a)dels to be used when monitoring and reporting on financial instruments and on the reporting of monitoring information to the Commission. 2b. Each year, starting in 2016, the Commission shall within 6 months of the deadline for the submission of the annual implementation reports referred to in Article 101(1) for the ERDF, ESF and the CF, Article 82 of the EAFRD regulation for the EAFRD, and the relevant provisions of Funds-specific rules for the EMFF provide summaries of the data on the progress made in financing and implementing the financial instruments, sent by the managing authorities in accordance with this Article. These summaries shall be transmitted to the European Parliament and the Council and shall be made public. 3. The Commission shall ensure s uniform conditions for the implementation of this Article by adopting, by means of implementing acts, in accordance with the examination procedure laid down in Article 143(3), the models to be used when reporting on financial instruments to the Commission.
Amendment 23 #
Proposal for a regulation
Article 54
Article 54
Amendment 24 #
Proposal for a regulation
Article 65
Article 65
Commission powers and responsibilities 1. The Commission shall satisfy itself, on the basis of available information, including the accreditation procedure, annual management declaration, annual control reports, annual audit opinioninformation on the designation of bodies responsible for the management and control, the documents provided each year by the designated bodies under Article 59(5) of the Financial Regulation, control reports, annual implementation reports and audits carried out by national and Union bodies, that the Member States have set up management and control systems that comply with this Regulation and the Fund- specific rules and that these systems function effectively during the implementation of programmes. 2. Without prejudice to audits carried out by Member States, Commission officials or authorised Commission representatives may carry out on-the-spot audits or checks upon giving adequate prior noticet least twelve working days notice to the competent national authority, except in urgent cases. The Commission shall respect the principle of proportionality by taking into account the need to avoid unjustified duplication of audits or checks carried out by Member States, the level of risk to the Union budget and the need to minimise administrative burdens for beneficiaries in accordance with the Fund-specific rules. The scope of such audits or checks may include, in particular, verification of the effective functioning of management and control systems in a programme or a part thereof, operations and assessment of the sound financial management of operations or programmes. Officials or authorised representatives of the Member State may take part in such audits or checks. Commission officials or authorised Commission representatives, duly empowered to carry out on-the-spot audits or checks, shall have access to all necessary records, documents and metadata, irrespective of the medium in which they are stored, relating to operations supported by the CSFEuropean Structural and Investment Funds or to management and control systems. Member States shall provide copies of such records, documents and metadata to the Commission upon request. The powers set out in this paragraph shall not affect the application of national provisions which reserve certain acts for agents specifically designated by national legislation. Commission officials and authorised representatives shall not take part, inter alia, in home visits or the formal questioning of persons within the framework of national legislation. However, they shall have access to the information thus obtained without prejudice to the competences of national courts and in full respect of the fundamental rights of the concerned legal subjects. 3. The Commission may require a Member State to take the actions necessary to ensure the effective functioning of their management and control systems or the correctness of expenditure in accordance with the Fund-specific rules. 4. The Commission may require a Member State to examine a complaint submitted to the Commission concerning the selection or implementation of operations co-financed by the CSF Funds or the functioning of the management and control system.deleted
Amendment 25 #
Proposal for a regulation
Article 84 – paragraph 3
Article 84 – paragraph 3
3. At least 25 % of the Structural Funds resources for less developed regions, 40% for transition regions and 52% for more developed regions in each Member State shall be allocated to the ESF. For the purposes of this provision, the support to a Member State through the [Food for deprived people instrument]In order to ensure that sufficient investment is targeted at youth employment, labour mobility, knowledge, social inclusion and combating poverty, the share of Structural Funds resources available for programming for operational programmes under the Investment for growth and jobs goal allocated to the ESF in each Member State shall not be lower than the corresponding ESF share for that Member State observed in the operational programmes for the Convergence and Regional competitiveness and employment objectives for the period 2007-2013. To this share shall be added an additional amount for each Member State determined according to the method set out in Annex IIIquater in order to ensure that the share of the ESF as a percentage of total combined resources for the Structural Funds and the Cohesion Fund at EU level, excluding the support from the Cohesion Fund for transport infrastructure under the Connecting Europe Facility referred to in Article 84(4) and support from the Structural Funds for aid for the most deprived people referred to in Article 84(5), in Member States is not less than 23.1%. For the purposes of this provision, investment provided from the ESF to the Youth Employment Initiative shall be considered as part of the share of Structural Funds allocated to the ESF.
Amendment 26 #
Proposal for a regulation
Article 91
Article 91
Information to be submitted to the Commission 1. The Member State ornecessary for the approval of major projects 1. Before a major project is approved, the managing authority shall submiensure that the following information on major projects to the Commission as soon as preparatory work has been completed: (a) information onis available: (a) the body to be responsible for implementation of the major project, and its capacity; (b) a description of and information on the investment and its location; (c) total cost and total eligible cost, taking account of the requirements set out in Article 54; (d) information on the feasibility studies carried out, including the options analysis, and the results, and independent quality review; (e) a cost-benefit analysis, including an economic and a financial analysis, and a risk assessment; (f) an analysis of the environmental impact, taking into account climate change adaptation and mitigation needs, and disaster resilience; (g) the consistency with the relevant priority axes of the operational programme or operational programmes concerned, and its expected contribution to achieving the specific objectives of those priority axes and the expected contribution to socio- economic development; (h) the financing plan showing the total planned financial resources and the planned support from the Funds, the EIB, and all other sources of financing, together with physical and financial indicators for monitoring progress, taking account of the identified risks; (i) the timetable for implementing the major project and, where the implementation period is expected to be longer than the programming period, the phases for which support from the Funds is requested during the 2014 to 2020 programming period. The Commission shall provide indicative guidance on the methodology to be usedadopt implementing acts establishing the methodology to be used based on recognised best practices, in carrying out the cost-benefit analysis referred to in point (e) above, in accordance with the advisory procedure referred to in Article 143(2). The format forAt the initiative of a Member State, the information oin major projects to be submitted shall be set up in accordArticle 91(a) to (i) may be assessed by independent experts supported by technical assistance withof the model adopted by the Commission, by means of implementing acts. Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 143(2). 2. Major projects submitted to the Commission for approval shall be contained in the list of major projects in an operational programme. The list shall be reviewed by the Member State or the managing authority two years following the adoption of an operational programme and may at the request of the Member StateCommission or, in agreement with the Commission, by other independent experts. In other cases, the Member State shall submit to the Commission the information set out in Article 91(a) to (i) as soon as it is available. The Commission shall be empowered to adopt delegated acts, in accordance with Article 142, laying down the methodology to be used in carrying out the quality review of a major project. The Commission shall adopt implementing acts establishing the format for submission of the information set out in points (a) to (i) of the first subparagraph. Those implementing acts shall be adjusopted in accordance with the advisory procedure set outreferred to in Article 26(2), in particular to include major projects with an expected completion date by the end of 2022.143(2). deleted
Amendment 27 #
Proposal for a regulation
Article 92
Article 92
1. TWhe Commission shall appraise the major project on the basis of the informationre the major project has been appraised positively by a quality review by independent experts, on the basis of their assessment of the information referred to in Article 91, the Member State may proceed with the selection of the major project in accordance with article 114 paragraph 3. The Managing Authority shall notify the Commission of the selected major project. The notification shall consist of the following elements: (a) the document referred to in Article 91 114(3)(c) setting order to determine whether the proposed support from the Funds is justified. 2. The Commission shall adoptut: (i) the body to be responsible for implementation of the major project; (ii) a description of the investment, its location, timetable and expected contribution of the major project to the objectives of the relevant priority axis or axes; (iii) total cost and total eligible cost, taking account of the requirements set out in Article 54 and; (iv) the financing plan, and the physical and financial indicators for monitoring progress, taking account of identified risks; (b) the quality review of the independent experts, providing clear statements on the investment's feasibility and economic viability of the major project. The financial contribution to the major project selected by the Member State shall be deemed to be approved by the Commission in the absence of a decision, by means of an implementing act, no later refusing the financial contribution withain three months afterof the date of submission ofnotification. The Commission shall refuse the finformation approving a major project in accordance with Article 91. That decision shall define the physical obancial contribution only on the grounds that it has established a significant weakness in the independent quality review. The Commission shall establish the format for the notification by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 143(3). 2. In other cases the Commission shall appraise the major project, on the amount to which the co- financing rate for the priority axis applies, physical and financial indicators for monitoring progress, and the expectedbasis of the information referred to in Article 91 in order to determine whether the requested financial contribution for the major project selected by the managing authority in accordance with Article 114 (3) is justified. The Commission shall adopt a decision on the approval of the financial contribution tof the selected major project to the objectives of the relevant priority axis or axes. An approval decision shall be conditional on the first works contract being concluded within two years of the date of the decision. 3. Where the Commission refuses to allow support from the Funds to be given to a major project, it shall notify the Member State of its reasons within the period laid down in paragraph 2. 4. Expenditure relating to major projects shall not be included in payment applications before adoption of an approval decision by the Commission, by means of an implementing act, no later than three months after the date of submission of the information referred to in Article 91. The approval by the Commission under 92(1) and 92(2) shall be conditional on the first works contract being concluded, or in the case of operations implemented under PPP structures the signing of the PPP contract between the public body and the private sector body, within three years of the date of the approval. At the duly motivated request of the Member State, in particular in the case of delays resulting from administrative and legal proceedings related to the implementation of major projects, and made within the three year period, the Commission may adopt a decision, by means of an implementing act, on the extension of the period by not more than two years. 3. Where the Commission does not approve the financial contribution to the selected major project, it shall give in its decision the reasons for its refusal. 3a. Major projects notified to the Commission under paragraph 1 or submitted for approval under paragraph 2 shall be contained in the list of major projects in an operational programme. 4. Expenditure relating to a major project may be included in a request for payment after the notification referred to in paragraph 1 of this Article or after the submission for approval referred to in paragraph 2. When the Commission does not approve the major project selected by the Member State, the expenditure declaration following the adoption of the Commission decision must be rectified accordingly.
Amendment 28 #
Proposal for a regulation
Article 92 a (new)
Article 92 a (new)
Amendment 29 #
Proposal for a regulation
Article 108
Article 108
Technical assistance at the initiative of the Commission The Funds, in accordance with the deductions laid down in Article 83(3), may support technical assistance up to a ceiling of 0,35 % of their respective annual allocation.
Amendment 30 #
Proposal for a regulation
Article 109
Article 109
Technical assistance of the Member States 1. Each of the Funds may financeThe amount of the Funds allocated to technical assistance shall be limited to 4% of the total amount of the Funds allocated to operational programmes in a Member State under each category of region, where applicable, of the investment for growth and jobs goal. 1a. Each Fund may support technical assistance operations eligible under any of the other Funds. The amWithount of the Funds allocated toprejudice to the provisions of paragraph 1, the allocation for technical assistance shall be limited to 4from a Fund shall not exceed 10% of the total amountllocation of theat Funds allocated to operational programmes in a Member State under each category of region, where applicable, of the Investment for growth and jobs goal. 2. Technical assistance shall take the form of a mono-fund priority axis within an 1b. By derogation from Article 60(1) and (2), technical assistance operations may be implemented outside the programme area, but within the Union, provided that the operations are for the benefit of the operational programme, or of a specific operational programme. 3. The allocation for technical assistance from a Fund shall not exceed 10%, in the case of a technical assistance operational programme for the other programmes concerned. 1c. Where the Structural Funds allocations referred to in paragraph 1 are used to support technical assistance operations relating to more than one category of region, the expenditure relating to the operations may be implemented under a priority axis combining different categories of region and attributed on a pro rata basis taking into account the allocation under each category of region as a share of the total allocation tof that Fund to operational programmes in a Member State under each category of region of the Investment for growth and jobs goal.e Member State. 1d. By way of derogation from paragraph 1, when the total amount of the Funds allocated to a Member State under the Investment for growth and jobs goal is up to EUR 1 billion, the amount allocated to technical assistance may increase up to the lower of 6% or EUR 50 000 000. 2. Technical assistance shall take the form of a mono-fund priority axis within an operational programme or of a specific operational programme, or both. deleted
Amendment 31 #
Proposal for a regulation
Article 110 – paragraphs 3 and 4
Article 110 – paragraphs 3 and 4
3. The co-financing rate at the level of each priority axis of operational programmes under the Investment for growth and jobs goal shall be no higher than: (a) 85 % for the Cohesion Fund; (b) 85 % for the less developed regions of Member States whose average GDP per capita for the period 2007 to 2009 was below 85 % of the EU-27 average during the same period and for the outermost regions; (c) 80% for the less developed regions of Member States other than those referred to in point (b), for the outermost regions including additional funding and for Member States consisting of one single NUTS level 2 region eligible for the transitional regime of the Cohesion Fund on 1 January 2014; (dc) 7580 % for the less developed regions of Member States other than those referred to in points (b) and (c),transition regions and for all regions whose GDP per capita for the 2007-2013 period was less than 75% of the average of the EU-25 for the reference period but whose GDP per capita is above 75% of the GDP average of the EU-27; (e) 60 % for the transition regions other than those referred to in point (d);ich were eligible for funding under Transitional support pursuant to Article 8(1) of Regulation (EC) No 1083/2006; deleted deleted (f) 50 % for the more developed regions other than those referred to in point (dc). The co-financing rate at the level of each priority axis of operational programmes under the European territorial cooperation goal shall be no higher than 785%. 4. The co-financing rate of the additional allocation in accordance with Article 84(1)(e) shall be no higher than 50%. The same co-financing rate shall apply to the additional allocation under Article 4(2) of Regulation (EU) No […]/2012 [ETC Regulation].for NUTS level 2 regions fulfilling the criteria laid down in Article 2 of Protocol No 6 to the Treaty of Accession of Austria, Finland and Sweden will be not higher than 50%. deleted
Amendment 32 #
Proposal for a regulation
Article 112
Article 112
Responsibilities of Member States 1. Member States shall ensure that management and control systems for operational programmes are set up in accordance with Articles 62 and 63. 2. Member States shall prevent, detect and correct irregularities and shall recover amounts unduly paid, together with any interest on late payments. They shall notify these irregularities that exceed EUR 10 000 in contribution from the Funds to the Commission and shall keep the Commission informed of the progress of related administrative and legal proceedingssignificant progress of related administrative and legal proceedings. The Member States shall not notify irregularities to the Commission in the following cases: (a) cases where the irregularity consists solely in the failure to execute, in whole or in part, an operation included in the co-financed operational program owing to the bankruptcy of the beneficiary; (b) cases brought to the attention of the managing authority or certifying authority by the beneficiary voluntarily and before detection by either of them, whether before or after the payment of the public contribution; (c) cases which are detected and corrected by the managing authority or certifying authority before inclusion of the expenditure concerned in a statement of expenditure submitted to the Commission. In all the other cases, in particular those preceding a bankruptcy or in cases of suspected fraud, the detected irregularities with the associated preventing and correcting measures shall be reported to the Commission. When amounts unduly paid to a beneficiary cannot be recovered and this is as a result of fault or negligence on the part of a Member State, the Member State shall be responsible for reimbursing the amounts concerned to the general budget of the Union. Member States may decide not to recover an amount unduly paid if the amount to be recovered from the beneficiary, not including interests, does not exceed EUR 250 in contribution from the Funds. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 laying down additional detailed rules concerning the obligations of the the criteria for determining the cases of irregularity to be reported, the data to be provided and on the conditions and procedures to be applied to determine whether amounts which are irrecoverable shall be reimbursed by Member States specified in this paragraph. The Commission shall adopt implementing acts in accordance with the advisory procedure under Article 143(2) setting out the frequency of the reporting and the reporting format to be used. 3. Member States shall ensure that no later than 31 December 20145, all exchanges of information between beneficiaries and a managing authoritiesy, certifying authoritiesy, audit authoritiesy and intermediate bodies can be carried out solely by means of electronic data exchange systems. The systems shall facilitate interoperability with national and Union frameworks and allow for the beneficiaries to submit all information referred to in the first sub- paragraph only once. The Commission shall adopt, by means of implementing acts, detailed rules concerning the exchanges of information under this paragraph. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 143(3). The first, second and third subparagraphs shall not apply to the EMFF.
Amendment 33 #
Proposal for a regulation
Article 114 – paragraphs 8, 9 and 10
Article 114 – paragraphs 8, 9 and 10
8. The Commission shall be empowered to adopt delegated acts, in accordance with Article 142, laying down the modalities of the exchange of information in paragraph 2(drules specifying the information in relation to the data to be recorded and stored in computerised form within monitoring system established under point (d) of paragraph 2. The Commission shall adopt implementing acts laying down the technical specifications of the system established under point (d) of paragraph 2. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 143(3). 9. The Commission shall be empowered to adopt delegated acts, in accordance with Article 142, laying down rules concerning arrangthe detailed minimum requirements for the audit trail referred to in paragraph 4(d) in respect of the accounting records to be maintained and the supporting documents to be held at the level of the certifying authority, managing authority, intermediate bodies and beneficiaries. 101. The Commission shall adopt, by means of implementing acts, in accordance with the advisory procedure referred to in Article 143(2) laying down uniform conditions on the model for the management declaration referred to in paragraph 4 (e). Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 143(2). of this Article. 1 Note: the appropriate linguistic formulation for IA provisions to be further discussed following input. INPUT from whom?
Amendment 34 #
Proposal for a regulation
Article 116
Article 116
Functions of the audit authority 1. The audit authority shall ensure that audits are carried out on the proper functioning of the management and control systems, of the operational programme and on an appropriate sample of operations and on the annual accounts. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 to set out the condion the basis of the declared expenditure. The declared expenditure shall be audited based on a representative sample and as a general rule on statistical sampling methods. A non- statistical sampling method may be used on the professional judgement of the audit authority in duly justified cases in accordance with international audit standards and in any case when the number of operations for an accounting year is insufficient to allow the use of statistical method. In such cases the size of the sample shall be sufficient to enable the audit authority to draw up a valid audit opinion in accordance with Article 59(5)(b) of the Financial Regulation. The non-statistical sample method shall cover a minimum of 5% of operations for which those audits shall fulfil. expenditure has been declared to the Commission during an accounting year and 10% of the expenditure which has been declared to the Commission during an accounting year. deleted 2. Where audits are carried out by a body other than the audit authority, the audit authority shall ensure that any such body has the necessary functional independence. 3. The audit authority shall ensure that audit work takes account of internationally accepted audit standards. 4. The audit authority shall, within sixeight months of adoption of an operational programme, prepare an audit strategy for performance of audits. The audit strategy shall set out the audit methodology, the sampling method for audits on operations and the planning of audits in relation to the current accounting year and the two subsequent accounting years. The audit strategy shall be updated annually from 2016 until and including 2022. Where a common management and control system applies to more than one operational programme, a single audit strategy may be prepared for the operational programmes concerned. The audit authority shall submit the audit strategy to the Commission upon request. 5. The audit authority shall draw up: (i) an audit opinion oin the annual accounts for the preceding accounting year, whose scope shall cover the completeness, accuracy and veracity of the annual accounts, the functioning of the management and control system and the legality and regularity of the underlying transacaccordance with Article 59 (5) (b) of the Financial Regulations; (ii) an annual control report setting out the findings of the audits carried out during the preceding accounting year. The report under point (ii) shall set out anymain findings, including deficiencies found in the management and control system and anys, of the audits coarrective measures taken or proposed to be taken.ied out according to paragraph 116 (1) and the proposed and implemented corrective actions. deleted Where a common management and control system applies to more than one operational programme, the information required under point (ii) may be grouped in a single report. 6. The Commission shall adopt, by means of implementing acts, models for the audit strategy, the audit opinion and the annual control report, as well as the methodology for the sampling method referred to in paragraph 4. These implementing acts shall be adopted in accordance with the examination procedure referred to in Article 143(3). 7. Implementing rules concerning. These implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 143(2). 6a. The Commission shall be empowered to adopt delegated acts in accordance with Article 142 to set out the scope and content of audits of operations and audits of the accounts and the methodology for the selection of the sample of operations referred to in paragraph 1. 7. The Commission shall be empowered to adopt delegated acts, in accordance with Article 142, laying down detailed rules on the use of data collected during audits carried out by Commission officials or authorised Commission representatives shall be adopted by the Commission in accordance with the examination procedure referred to in Article 143(3).
Amendment 35 #
Proposal for a regulation
Annex 2 a (new)
Annex 2 a (new)
Amendment 36 #
Proposal for a regulation
Annex IIIquater (new)
Annex IIIquater (new)
1. The ESF share of Structural funds resources for 2014-2020, excluding the European Territorial Cooperation Goal and excluding the support through the Aid for the most deprived people instrument is set equal to the ESF share for that Member State observed in the programmes under the Convergence and RCE objectives for the 2007-2013 period. For the purpose of this calculation, the distribution of the support to the Aid for the most deprived people instrument by Member State is calculated pro-rata the distribution of the total Structural funds resources under the Investment for Growth and Jobs goal by Member State. 2. To this share, an additional share per Member State is added in order to ensure that the share of the ESF as a percentage of the total resources for the Structural Funds and the Cohesion Fund at EU level, excluding the Cohesion fund allocations transferred to the Connecting Europe Facility and the support to the Aid for most deprived people instrument, reaches 23.1%. 3. The additional percentage share to be added to the shares determined in step 1 are determined on the basis of the Member States' employment rate (ages 20-64) of reference year 2012. In Member States with an employment rate of 65% or less, the additional share is 1.7%. Where the employment rate is above 65% but not higher than 70%, the additional share is 1.2%. Where the employment rate is above 70% but not higher than 75% the additional share is 0.7%. In Member States with an employment rate above 75%, no increase is required.
Amendment 37 #
Proposal for a regulation
Annex XXX (new)
Annex XXX (new)
Annex XXX Definition of flat-rates for net-revenue generating projects Sector Flat rates 1 ROAD 30% 2 RAIL 20% 3 URBAN 20% TRANSPORT 4 WATER 25% 5 SOLID 20% WASTE
Amendment 389 #
Proposal for a regulation
Recital 1
Recital 1
(1) Article 174 of the Treaty provides that, in order to strengthen its economic, social and territorial cohesion, the Union shall aim at reducing disparities between the levels of development of the various regions and the backwardness of the least favoured regions or islands, particular attention shall be paid to rural areas, areas affected by industrial transition, and regions which suffer from severe and permanent natural or demographic handicaps inter alia, outermost regions, northernmost regions with very low population density and island, cross- border and mountain regions. Article 175 of the Treaty requires that the Union would support the achievement of these objectives by action it takes through the European Agricultural Guidance and Guarantee Fund, Guidance Section, the European Social Fund, the European Regional Development Fund, the European Investment Bank and other instruments.
Amendment 390 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1 a) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on the financial rules applicable to the annual budget of the Union1 lays down the general principles with regard to the implementation of the annual budget of the Union. It is necessary to ensure consistency between that Regulation and the provisions governing this Regulation. ___________ 1 OJ L ....
Amendment 391 #
Proposal for a regulation
Recital 2
Recital 2
(2) In line with the conclusions of the European Council of 17 June 2010, whereby the Union strategy for smart, sustainable and inclusive growth was adopted, the Union and Member States should implement the delivery of smart, sustainable and inclusive growth, while promoting harmonious development of the Union and reducing regional disparities. Cohesion policy plays a predominant role for the accomplishment of the EU 2020 objectives and a sound autonomous cohesion policy is a prerequisite for a successful implementation of this strategy.
Amendment 392 #
Proposal for a regulation
Recital 5
Recital 5
(5) The outermost regions should benefit from specific measures and additional fundingeffective measures as well as sufficient additional funding to take into consideration the remoteness, insularity, social and economic structural circumstances and to offset the handicaps resulting from the factors referred to in Article 349 of the Treaty.
Amendment 393 #
Proposal for a regulation
Recital 9
Recital 9
(9) For the Partnership ContracAgreement and each programme respectively, a Member State should organise a partnership with the representatives of competent regional, local, urban and other public authorities, economic and social partners, and other bodies representing civil society, including environmental partners, non-governmental organisations, and bodies responsible for promoting equality and non-discrimination, including, where appropriate, the "umbrella organisations" of such bodies, authorities and organisations. The purpose of such a partnership is to respect the principles of multi-level governance, but also of subsidiarity and proportionality and the specificities of the Member States' different legal and institutional frameworks as well as to ensure the ownership of planned interventions by stakeholders and build on the experience and the know-how of relevant actors. The Commission shouldMember States should identify the most representative relevant partners, who should include the institutions, organisations and groups which can influence the preparation or be affected by the preparation and implementation of the programmes. In this context Member States may also identify, where appropriate, as relevant partners, "umbrella organisations" which are the associations, federations or confederations of relevant local, regional and urban authorities or other bodies in accordance with applicable national law and practice. The Commission shall be empowered to adopt a delegated acts providing for a code of conduct in order to ensure that partners are involved in the preparation, implementation, monitoring and evaluation of Partnership Contracts and programmes in a consistent manner. facilitate Member States the implementation of partnership with regard to ensure the involvement of relevant partners in the preparation, implementation, monitoring and evaluation of Partnership Agreements and programmes in a consistent manner. The adopted delegated act should have under no circumstances and in no way of its interpretation retroactive effect or be the basis to establish irregularities leading to financial corrections. The adopted delegated act should not enter into force earlier than the day of its adoption after the entry into force of this Regulation. The adopted delegated act should allow Member States to determine on the most appropriate modalities for implementing the partnership in accordance with their institutional and legal framework as well as their national and regional competences, provided that its objectives, as laid down in this Regulation, are achieved.
Amendment 394 #
Proposal for a regulation
Recital 11
Recital 11
(11) In the context of its effort to increase economic, territorial and social cohesion, the Union should, at all stages of implementation of the CSFEuropean Structural and Investment Funds, aim ato eliminatinge inequalities and promotingensure equality between women and men both through systematic integration of gender aspects in the programming and the implementation process, and through specific measures in accordance with the EU Strategy for equality between women and women, as well as. During that implementation, the Union should also aim to combating discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation as set out in Article 2 of the Treaty on the European Union, Article 10 of the Treaty on the Functioning of the European Union and Article 21 of the Charter of Fundamental Rights.
Amendment 395 #
Proposal for a regulation
Recital 12
Recital 12
(12) The objectives of the CSFEuropean Structural and Investment Funds 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 Treaty, taking into account the polluter pays principle. To this end the Member States should provide information on the support for climate change objectives in line with the ambition to devote at least 20% of the Union budget to this end, using a methodology based on the categories of intervention or measures adopted by the Commission by implementing act.
Amendment 396 #
Proposal for a regulation
Recital 13
Recital 13
(13) In order to achieve the targets and objectives of the Union strategy for smart, sustainable and inclusive growth, the CSFEuropean Structural and Investment Funds should focus their support on a limited number of common thematic objectives, which leave sufficient scope for flexibility in order to accommodate the specific needs of regions and give adequate responses to them. The precise scope of each of the CSFEuropean Structural and Investment Funds should be set out in Funds- specific rules and may be limited to only some of the thematic objectives defined in this Regulation.
Amendment 397 #
Proposal for a regulation
Recital 14
Recital 14
(14) In order to maximise the contribution of the CSFEuropean Structural and Investment Funds and to provide clear strategic direction toguiding principles to facilitate the programming process at the level of Member States and the regions, a Common Strategic Framework should be established. The Common Strategic Framework should facilitate as well the sectoral and territorial coordination of Union intervention under the CSFEuropean Structural and Investment Funds and with other relevant Union policies and instruments in line with the objectives defined in the Treaty and the targets of the Union strategy for smart, sustainable and inclusive growth, taking into account the key territorial challenges. The Common Strategic Framework should be set out in an annex to this Regulation.
Amendment 398 #
Proposal for a regulation
Recital 15
Recital 15
(15) The Common Strategic Framework should therefore set out the means to achieve coherence and consimechanisms on how the European Structural and Investmency with the economic policies of Member States and the Union, coordination mechanisms among the CSF Funds and with other relevant Union policies and instruments, horizontal principles and cross-cutting policy objectives, the arrangements to address territorial challenges, indicative actions of high European added value and corresponding principles for delivery, and priorities for cooperationt Funds will contribute to the objectives and targets of the Union's strategy for smart, sustainable and inclusive growth, the arrangements to address key territorial challenges, the arrangements to promote the integrated use of European Structural and Investment Funds, horizontal principles and cross-cutting policy objectives, and the means for coordination with other relevant Union policies and cooperation activities.
Amendment 399 #
Proposal for a regulation
Recital 15 a (new)
Recital 15 a (new)
(15 a) Member States and regions increasingly face challenges that relate to the impact of globalisation, environmental and energy concerns, population ageing and demographic shifts, technological transformation and innovation demands, and social inequality. Due to the complex and interrelated nature of these challenges, the solutions supported by the European Structural and Investment Funds should be integrated, multi- sectoral and multi-dimensional. In this context, and in order to increase the effectiveness and efficiency of the policies, it should be possible for the ESI Funds to be combined into integrated packages which are tailor-made to fit the specific territorial needs.
Amendment 400 #
Proposal for a regulation
Recital 15 b (new)
Recital 15 b (new)
(15 b) The combination of a shrinking working population and an increasing proportion of retired people in the general population as well as the problems associated with population dispersion, will continue to place strains, inter alia, on Member States' education and social support structures and thus on the Union's economic competitiveness. Adapting to such demographic changes constitutes one of the core challenges facing Member States and regions in the years to come, and as such should be given a particularly high level of consideration for the regions most affected by demographic change.
Amendment 401 #
Proposal for a regulation
Recital 16
Recital 16
(16) On the basis of the Common Strategic Framework, each Member State should prepare, in cooperation with its partners as referred to in Article 5 of this Regulation, and in dialogue with the Commission, a Partnership ContracAgreement. The Partnership ContracAgreement should translate the elements set out in the Common Strategic Framework into the national context and set out firm commitments to the achievement of Union objectives through the programming of the CSF Funds. European Structural and Investment Funds. The Partnership Agreement should set out arrangements to ensure alignment with the Union strategy for smart, sustainable and inclusive growth as well as the Fund- specific missions pursuant to their Treaty- based objectives, arrangements to ensure effective implementation and arrangements for the partnership principle and an integrated approach to territorial development.
Amendment 402 #
Proposal for a regulation
Recital 17
Recital 17
(17) Member States should concentrate support to ensure a significant contribution to the achievement of Union objectives in line with their specific national and regional needs for sustainable development needs. Ex ante conditionalities should be defined to ensure that the necessary framework conditions for the effective use of Union support are in place. The fulfilment of those ex ante conditionalitiesAn ex ante conditionality should be applied only where it has a direct link to and impact on the effective implementation of the European Structural and Investment Funds. The Commission should be assessed by the Commission the information provided by Member States on the fulfilment of ex ante conditionalities in the framework of its assessment of the Partnership ContracAgreement and programmes. In cases where there is a failure to fulfil an ex ante conditionality, the Commission should have the power to suspend payments to the programme, in accordance with Fund-specific rules.
Amendment 403 #
Proposal for a regulation
Recital 18
Recital 18
(18) A performance framework should be defined for each programme with a view to monitoring progress towards the objectives and targets set for each programme over the course of the programming period. The Commission should undertake a performance review in cooperation with the Member States in 2017 and 2019. A performance reserve should be foreseen and allocated in 2019 wherIn cases where, as a result of a performance review, there is evidence that a priority failed to achieve the milestones set out in the performance framework have been attained. Due to their diversity and multi-country character, there should be no performance reserve for ‘European Territorial Cooperation’ programmes. In cases, the Commission should call upon the Member State to propose amendments to the relevant programme and wheren the shortfall in the achievement of milMember State fails to restpones or targets is significantd satisfactorily within 3 months, the Commission should be able to suspend payments to the programme or, at the all or part of an interim paymendt of the programming period, apply financial correctionsa priority of a programme, in order to ensure that the Union budget is not used in a wasteful or inefficient way. The suspension should be lifted as soon as the Member State takes the necessary action.
Amendment 404 #
Proposal for a regulation
Recital 18 a (new)
Recital 18 a (new)
(18 a) Following the conclusions of the European Council of 28 and 29 June 2012, public expenditure of Member States assigned as co-financing for the programmes financed by the European Structural and Investment Funds, should not be taken into consideration in the calculation of the deficit of the Member State concerned.
Amendment 405 #
Proposal for a regulation
Recital 19
Recital 19
(19) Establishing a closer link between cohesion policy and the economic governance of the Union will ensure that the effectiveness of expenditure under the CSFEuropean Structural and Investment Funds is underpinned by sound economic policies and that the CSFEuropean Structural and Investment Funds can, if necessary, be redirected to addressing the economic problems a country is facing. This process has to be gradual, starting with amendments to the Partnership Contract and to the programmes in support of Council recommendations to address macroeconomic imbalances and social and economic difficulties. Where, despite the enhanced use of CSF Funds, a Member State fails to take effective action in the context of the economic governance process, the Commission should have the right to suspend all or part of the payments and commitments. Decisions on suspensions should be proportionate and effective, taking into account the impact of the individual programmes for addressing the economic and sociConditionality provisions deriving from the Growth and Stability Pact should apply to the CF in relation to the fulfilment of economic governance conditions. This process has to be gradual, situation in the relevant Member State and previous amendments to the Partnership Contract. When deciding on suspensions, the Commission should also respect equality of treatment between Member States, taking into account in particular the impact of the suspension on the economy of the Member State concerned. The suspensions should be lifted and funds be made available again to the Member State concerned as soon as the Member State takes the necessary actiontarting with amendments to the Partnership Agreement and to the programmes in support of Council recommendations to address macroeconomic imbalances and social and economic difficulties.
Amendment 406 #
Proposal for a regulation
Recital 20
Recital 20
(20) In order to ensure focus on the achievement of the Union strategy for smart, sustainable and inclusive growth, common elements should be defined for all programmes. In order to ensure theThe European Structural and Investment Funds should be implemented through programmes covering the programming period in accordance with the Partnership Agreement. Programmes should be drawn up by Member States following transparent procedures, in accordance with the institutional and legal framework of each Member State. Member States and the Commission should cooperate to ensure coordination and consistency of programming arrangements for the CSFEuropean Structural and Investment Funds,. As the procedures for adoption and amendment ofcontent of programmes is closely interlinked with that of the Partnership Agreement, the programmes should be submitted, at the latest, within three months of the submission of the Partnership Agreement. A longer deadline should be foreseen for the submission of European territorial cooperation programmes in order to take into account the multi-country character of those programmes. In particular a distinction should be made between the core elements of the Partnership Agreement and programmes which should be alignedsubject to a Commission decision and other elements which are not covered by the Commission decision and may be amended under the responsibility of the Member State. Programming should ensure consistency with the Common Strategic Framework and Partnership ContracAgreement, coordination of the CSF Funds between themselvebetween the European Structural and Investment Funds and with the other existing financial instruments and the input of the European Investment Bank. if relevant.
Amendment 407 #
Proposal for a regulation
Recital 20 a (new)
Recital 20 a (new)
(20 a) In order to optimise the added value from investments funded wholly or in part through the general budget of the Union in the field of research and innovation, synergies will be sought in particular between the operation of the European Structural and Investment Funds and Horizon 2020 whilst respecting their distinct objectives. Key mechanisms for achieving these synergies will be the recognition of flat rates for eligible costs from Horizon 2020 for a similar operation and beneficiary and the possibility to combine funding from different Union instruments, including European Structural and Investment Funds and Horizon 2020, in the same operation while avoiding double financing. In order to strengthen the research and innovation capacities of national and regional actors and to achieve the goal of building a "Stairway to excellence" in less developed regions, close synergies should be developed between the European Structural and Investment Funds and Horizon 2020 in all relevant programme priorities.
Amendment 408 #
Proposal for a regulation
Recital 21
Recital 21
(21) Territorial cohesion has been added to the goals of economic and social cohesion by the Treaty, and it is necessary to address the role of cities, functional geographies and sub-regional areas facing specific geographical or demographic problems. To this end, to better mobilise potential at a local level, it is necessary to strengthen and facilitate community-led local development by laying down common rules and close coordination for all CSF FundEuropean Structural and Investment Funds. Community-led local development should take into account local needs and potential, as well as relevant socio-cultural characteristics. Responsibility for the implementation of local development strategies should be given to local action groups representing the interests of the community, as an essential principle.
Amendment 409 #
Proposal for a regulation
Recital 21 a (new)
Recital 21 a (new)
(21 a) The detailed arrangements concerning the determination of the area and population covered by the strategies should be set out in the relevant programmes in accordance with the fund specific rules.
Amendment 410 #
Proposal for a regulation
Recital 22
Recital 22
(22) Financial instruments are increasingly important due to their leverage effect on CSFEuropean Structural and Investment Funds, their capacity to combine different forms of public and private resources to support public policy objectives, and becausetheir ability to guarantee a revolving formsstream of finance make such support more sustainable over the longer termial means for strategic investments, supporting long-term, sustainable investments and raising Union's growth potential. The provision of grants must always be retained as an option and it must be the responsibility of those involved on the ground to use the funding mix best suited to regional needs.
Amendment 411 #
Proposal for a regulation
Recital 23
Recital 23
(23) Financial instruments supported by the CSFEuropean Structural and Investment Funds should be used to address specific market needs and in particular to respond to market failures or sub-optimal investment situations in a cost effective way, in accordance with the objectives of the programmes, and should not crowd out private financing. The decision to finance support measures through financial instruments should be determined therefore on the basis of an ex ante analysisssessment.
Amendment 412 #
Proposal for a regulation
Recital 24
Recital 24
(24) Financial instruments should be designed and implemented so as to promote substantial participation by private sector investors and financial institutions on an appropriate risk-sharing basis. To be sufficiently attractive to private sector, financial instruments need to be simple, catalytic, revolving and designed and implemented in a flexible manner. Managing authorities should therefore decide on the most appropriate forms to implement financial instruments to address the specific needs of the target regions, in accordance with the objectives of the relevant programme.
Amendment 413 #
Proposal for a regulation
Recital 24 a (new)
Recital 24 a (new)
(24 a) In order to take account of the repayable character of support provided through financial instruments and to align with market practices, European Structural and Investment Funds' support provided to final recipients in the form of equity or quasi-equity investments, loans or guarantees, or other risk-sharing instruments may cover the entirety of the investments made by final recipients, without distinction of VAT related costs. Accordingly it will only be in cases where financial instruments are combined with grants that the way in which VAT is taken into account at the level of the final recipient will be relevant for the purposes of determining eligibility of expenditure related to the grant.
Amendment 414 #
Proposal for a regulation
Recital 28
Recital 28
(28) Member States should monitor programmes in order to review implementation and progress towards achieving the programme's objectives. To this end, monitoring committees should be set up and their composition and functions defined for CSFEuropean Structural and Investment Funds. Joint Monitoring Committees could be set up to facilitate coordination between the CSFEuropean Structural and Investment Funds. In order to ensure effectiveness, monitoring committees should be able to issue recommendations to managing authorities regarding implementation of the programme, as well as ways of reducing the administrative burden on beneficiaries and should monitor actions taken as a result of its recommendations.
Amendment 415 #
Proposal for a regulation
Recital 31
Recital 31
(31) In order for the Commission to monitor progress towards achieving the Union objectives of smart, sustainable and inclusive growth as well as towards reducing disparities, Member States should submit progress reports on the implementation of their Partnership ContracAgreements. On the basis of such reports, the Commission should prepare a strategyic report on progress in 2017 and 2019.
Amendment 416 #
Proposal for a regulation
Recital 32
Recital 32
(32) It is necessary to evaluate the effectiveness, efficiency and impact of assistance from the CSFEuropean Structural and Investment Funds in order to improve the quality of implementation and design of programmes, and to determine the impact of programmes in relation to the targets for the Union strategy for smart sustainable and inclusive growth and in relation to GDP and unemployment,, regional and local needs, climate targets and unemployment and gender mainstreaming where relevant. The responsibilities of Member States and the Commission in this regard should be specified.
Amendment 417 #
Proposal for a regulation
Recital 34
Recital 34
(34) An evaluation plan should be drawn up by the authority responsible for the preparation of the programme. During the programming period managing authorities should carry ouensure that evaluations are carried out to assess the effectiveness and impact of a programme. The monitoring committee and the Commission should be informed about the results of evaluations to facilitate management decisions.
Amendment 418 #
Proposal for a regulation
Recital 35
Recital 35
(35) Ex post evaluations should be carried out in order to assess the effectiveness and efficiency of the CSFEuropean Structural and Investment Funds and their impact on the overall goals of the CSF Funds and the Union strategy for smart, sustainable and inclusive growth, in accordance with the relevant flagships targets, the contribution to addressing regional and local needs, as well as specific requirements established in the Fund-specific rules. For each of the European Structural and Investment Funds, the Commission should prepare a synthesis report outlining the main conclusions of ex-post evaluations.
Amendment 419 #
Proposal for a regulation
Recital 41
Recital 41
(41) To ensure the effectiveness, fairness and sustainable impact of the intervention of the CSFEuropean Structural and Investment Funds, there should be provisions guaranteeing that investments in businesses and infrastructures are long- lasting and prevent the CSFEuropean Structural and Investment Funds from being used to undue advantage. Experience has shownIt is considered that a period of five years is an appropriate minimum period to be applied, except where State aid rules foresee a different period. It is considered as well that it in the case of an operation comprising investment in infrastructure or productive investment, this operation should repay the contribution from the ESI Funds if within 10 years from the final payment to the beneficiary the productive activity is subject to relocation outside the Union. It is appropriate to exclude actions supported by the ESF and those not entailing productive investment or investment in infrastructure from the general requirement of durability, unless such requirements are derived from applicable State aid rules, and to exclude contributions to or from financial instruments.
Amendment 420 #
Proposal for a regulation
Recital 41 a (new)
Recital 41 a (new)
(41 a) When appraising major productive investment projects, the Commission should have all necessary information to consider whether the financial contribution from the Funds does not result in a substantial loss of jobs in existing locations within the European Union, in order to ensure that Community funding does not support relocation within the European Union.
Amendment 421 #
Proposal for a regulation
Recital 43
Recital 43
(43) In accordance with the principles of shared management, Member States, at the appropriate territorial level, in keeping with their institutional, legal and financial framework, and subject to compliance with this Regulation and Fund-specific rules, should have the primary responsibility, through their management and control systems, for the implementation and control of the operations in programmes. In order to strengthen the effectiveness of the control over the selection and implementation of operations and the functioning of the management and control system, the functions of the managing authority should be specified.
Amendment 422 #
Proposal for a regulation
Recital 44
Recital 44
Amendment 423 #
Proposal for a regulation
Recital 47
Recital 47
(47) The pre-financing payment at the start of programmes ensures that the Member State also has the means to provide ex ante support to beneficiaries infrom the start of the implementation of the programme from programme adoption, so as to ensure that the beneficiaries have the financial sustainability to make the allocated investments. Therefore, provisions should be made for initial pre- financing amounts from the CSFEuropean Structural and Investment Funds. Initial pre-financing should be totally cleared at closure of the programme.
Amendment 424 #
Proposal for a regulation
Recital 48
Recital 48
(48) In order to safeguard the Union's financial interests, there should be measures limited in time that allow the authorising officer by delegation to interrupt payments where there is evidence to suggest a significant deficiency in the functioning of the management and control system, evidence of irregularities linked to a payment application, or a failure to submit documents for the purpose of clearexamination and acceptance of accounts.
Amendment 425 #
Proposal for a regulation
Recital 48 a (new)
Recital 48 a (new)
(48 a) It is necessary that Commission, Member States and Regional Authorities guarantee fair competition for projects financed by the European Structural and Investment Funds.
Amendment 426 #
Proposal for a regulation
Recital 49
Recital 49
(49) In order to ensure that expenditure co- financed by the Union budget in any given financial year is used in accordance with the applicable rules, an appropriate framework should be created for the annual clearexamination and acceptance of accounts. Under this framework, the accredidesignated bodies should submit to the Commission, in respect of each programme, a management declaration of assurance accompanied by the certified annual accounts, a summary report of controls and an independent audit opinion and control report.
Amendment 427 #
Proposal for a regulation
Recital 52
Recital 52
(52) Additional general provisions are necessary in relation to the specific functioning of the Funds. In particular, in order to increase their added value, and to enhance their contribution to the economic, social and territorial cohesion and to the priorities of the Union strategy for smart, sustainable and inclusive growth, the functioning of these Funds should be simplified and concentrated on the goals of ‘Investment for growth and jobs’ and ‘European territorial cooperation’.
Amendment 428 #
Proposal for a regulation
Recital 54
Recital 54
(54) In order to promote the Treaty objectives of economic, social and territorial cohesion, the ‘Investment for growth and jobs’ goal should support all regions. To provide balanced and gradual support and reflect the level of economic and social development, resources under that goal should be allocated from the ERDF and the ESF among the less developed regions, the transition regions and the more developed regions according to their gross domestic product (GDP) per capita in relation to the EU average. In order to ensure the long-term sustainability of investment from the Structural Funds, to consolidate the development achieved and to encourage the economic growth and social cohesion of the European regions, regions whose GDP per capita for the 2007-2013 period was less than 75% of the average of the EU-25 for the reference period but whose GDP per capita has grown to more than 75% of the EU-27 average and regions designated with phasing-out status in the 2007-2013 period should receive at least two thirds of their 2007-2013 allocation. Member States whose per capita gross national income (GNI) is less than 90 % of that of the Union average should benefit under the ‘Investment for growth and jobs’ goal from the CF. Single region island states eligible for funding from the Cohesion Fund in 2013 and outermost regions falling into the categories of transition and more developed regions should receive at least four fifths of their 2007-2013 allocations under the Funds as defined in Article 1.
Amendment 429 #
Proposal for a regulation
Recital 55
Recital 55
(55) Objective criteria should be fixed for designating eligible regions and areas for support from the Funds. To this end, the identification of the 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 the Council of 26 May 2003 on the establishment of a common classification of territorial units for statistics (NUTS)5 . Special attention should be paid to regions which suffer from serious and permanent natural or demographic handicaps, such as regions with very low population density and island, cross- border and mountain regions, taking into account the fact that these territorial characteristics do not necessarily correspond to the breakdown currently proposed by the NUTS classification.
Amendment 430 #
Proposal for a regulation
Recital 57
Recital 57
(57) It is necessary to fix the limits of those resources for the ‘Investment for growth and jobs’ goal and to adopt objective criteria for their allocation to regions and Member States. In order to encourage the necessary acceleration of development of infrastructure in transport and energy as well as information and communication technologies across the Union, a Connecting Europe Facility should be(CEF) is created. The allocation of the annual appropriations from the Funds and the amounts transferrSupport should be provided from the Cohesion Fund to transport infrastructure projects of European added value among the pre-indentified fprom the Cohesion Fund to the Connecting Europe Facility to a Member State should be limited to a ceiling that would be fixed takingjects listed in Annex 1 of Regulation (EU) [...]/2012 on establishing the Connecting Europe Facility that will be carried out in each Member State into account the capacity of that particular Member State to absorb these appropriationsrdance with article 84(4) of this regulation. The national allocations under the Cohesion Fund should be fully respected until 31 December 2016. In addition, in line with the headline target on poverty reduction, it is necessary to reorient the scheme for food support for the most deprived persons to promote social inclusion and the harmonious development of the Union. A mechanism is envisaged which transfers resources to this instrument and ensures that these will be constituted from ESF allocations through an implicit corresponding decrease of the minimum percentage of the Structural Funds to be allocated to the ESF in each country.
Amendment 431 #
Proposal for a regulation
Recital 58
Recital 58
Amendment 432 #
Proposal for a regulation
Recital 59
Recital 59
(59) As regards the Funds and with a view to ensuring an appropriate allocation to each category of regions, resources should not be transferred between less developed, transition and more developed regions except in duly justified circumstances linked to the delivery of one or more thematic objectives and for no more than 24 % of the total appropriation for that category of region.
Amendment 433 #
Proposal for a regulation
Recital 61
Recital 61
(61) It is necessary to lay down additional provisions concerning the programming, management, monitoring and control of operational programmes supported by the Funds. Operational programmes should set out priority axes corresponding to thematic objectives, elaborate in order to strengthen the focus on results. In particular, it is necessary to set out detailed requirements for the content of then operational programmes. This should facilitate the presentation of a consistent intervention logic to tackle the development needs identified, andto set out the framework for performance assessment. They should also contai and to underpin the effective and efficient implementation of ther elements necessary to underpin the effective and efficient implementation of these Funds Funds. As a general principle a priority axis should cover one thematic objective, one Fund and one category of region. Where appropriate and in order to increase the effectiveness in a thematically coherent integrated approach, a priority axis may concern more than one category of region and combine one or more complementary investment priority from the ERDF, ESF and CF under one or more thematic objective.
Amendment 434 #
Proposal for a regulation
Recital 61 a (new)
Recital 61 a (new)
(61 a) In circumstances where a Member State prepares no more than one programme per Fund, resulting in a situation where programmes and the Partnership Agreement are both prepared at national level, specific arrangements should be set out to ensure the complementarity of these documents.
Amendment 435 #
Proposal for a regulation
Recital 61 b (new)
Recital 61 b (new)
(61 b) In order to reconcile the need for concise operational programmes setting out clear commitments by the Member State and the need to allow for flexibility for adjustment to changing circumstances, procedures should be provided that allow the modification of certain non-essential elements of the operational programmes at national level without a decision by the Commission.
Amendment 435 #
Proposal for a regulation
Part 2 – article 5 – paragraph 3 a (new)
Part 2 – article 5 – paragraph 3 a (new)
3a. The European Code of Conduct should outline inter alia the following specifications: (a) minimum requirements to ensure transparent selection of partners and clarity about their role in the policy process and their responsibilities; (b) minimum requirements and indications on how to identify relevant partners, ranging from authorities of different territorial levels, social and economic partners, civil society and bodies responsible for promoting equality and non-discrimination; (c) the cooperation procedure among the competent national, regional and local authorities; (d) guidance on how to tailor partnership to programmes, including specificities of multifund programmes, joint action plans and integrated territorial investments; (e) minimum requirements of ensuring meaningful involvement of partners in the preparation of the Partnership Contract and the Programmes. (f) minimum requirements in terms of the procedures established to ensure effective organisation of partnerships; (g) guidance on the involvement of partners in monitoring committees, project selection, monitoring and evaluation; (h) minimum requirements on providing guidance to partners and on facilitating capacity building among partners; (i) outlining the framework to exchange good practices across Member States.
Amendment 436 #
Proposal for a regulation
Recital 62
Recital 62
(62) With a view to improving complementarities and simplifying implementation, it should be possible to combine support from the CF and the ERDF with support from the ESF in joint operational programmes under the ‘Investment for growth and jobs’ goal.
Amendment 437 #
Proposal for a regulation
Recital 63
Recital 63
(63) Major projects represent a substantial share of Union spending and are frequently of strategic importance with respect to the achievement of the Union strategy for smart, sustainable and inclusive growth. Therefore it is justified that operations of substantial size continue to be subject to approval by the Commission under this regulation. To ensure clarity, it is appropriate to define the content of a major project for this purpose. The Commission should also have the possibility to refuse support for a major project where the granting of such support is not justified. Specific conditions should be also defined for operations implemented under PPP structures.
Amendment 438 #
Proposal for a regulation
Recital 64
Recital 64
(64) In order to give Member States the option of implementing part of an operational programme using a result- based approach, it is useful to provide for a joint action plan comprising a project or group of projects set of actions to be carried out by a beneficiary to contribute to the objectives of the operational programme. In order to simplify and reinforce the result orientation of the Funds the management of the joint action plan should be exclusively based on jointly agreed milestones, outputs and results as defined in the Commission decision adopting the joint action plan. Control and audit of a joint action plan should also be limited to the achievement of these milestones, outputs and results. Consequently, it is necessary to lay down rules on its preparation, content, adoption, financial management and control of joint action plans.
Amendment 439 #
Proposal for a regulation
Recital 65
Recital 65
(65) Where an urban or territorial development strategy requires an integrated approach because it involves investments under more than one priority axis of one or several operational programmes, action supported by the Funds should, which may be complemented with financial support from the EAFRD or the EMFF, may be carried out as an integrated territorial investment within an operational programme.
Amendment 440 #
Proposal for a regulation
Recital 67
Recital 67
(67) To ensure the availability of essential and up to date information on programme implementation, it is necessary that Member States provide the Commission with the key data on a regular basis. In order to avoid an additional burden on Member States, this should be limited to data collected continuously, and the transmission should be performed by way of electronic data exchange. Insofar as these transfers include personal data, the provisions of Directive 95/46/EC and of Regulation (EC) 45/2001 should apply.
Amendment 440 #
Proposal for a regulation
Part 2 – article 5 – paragraph 4
Part 2 – article 5 – paragraph 4
4. At least once a year, for each CSF Fund covered by the CPR, the Commission shall consult the organisations which represent the partners at Union level on the implementation of support from the CSF Funds covered by the CPR.
Amendment 441 #
Proposal for a regulation
Recital 70
Recital 70
(70) It is important to bring the achievements of the Union's Funds to the attention of the general public. Citizens have the right to know how the Union's financial resources are invested. The responsibility to ensure that the appropriate information is communicated to the public should lie with both the managing authorities and the beneficiaries as well as with Union institutions and advisory bodies. To ensure more efficiency in communication to the public at large and stronger synergies between the communication activities undertaken at the initiative of the Commission, the resources allocated to communication actions under this Regulation shall also contribute to cover the corporate communication of the political prioriraise awareness about the objectives of the European Union as far as they are related to the general objectives of this Regulationcohesion policy and its role as an issue of genuine relevance to EU citizens.
Amendment 442 #
Proposal for a regulation
Recital 72
Recital 72
(72) With a view to strengthening accessibility and transparency of information about funding opportunities and project beneficiaries, in each Member State a single website or website portal providing comprehensible and easily accessible information on all the operational programmes, including the lists of operations supported under each operational programme, should be made available.
Amendment 443 #
Proposal for a regulation
Recital 73
Recital 73
(73) It is necessary to determine the elements for modulating the co-financing rate from the Funds to operational programmes, in particular, to increase the multiplier effect of Union resources. It is also necessary to establish the maximum rates of co-financing by category of region in order to ensure respect of the principle of co-financing through an appropriate level of both public and private national support.
Amendment 445 #
Proposal for a regulation
Recital 76
Recital 76
(76) The certifying authority should draw up and submit to the Commission payment applications. It should draw up the annual accounts, certifying the completeness, accuracy and veracity of the annual accounts and that the expenditure entered in the accounts complies with applicable Union and national rules. Its responsibilities and functions should be set out.
Amendment 446 #
Proposal for a regulation
Recital 77
Recital 77
(77) The audit authority should ensure that audits are carried out on the management and control systems, on an appropriate sample of operations and on the annual accounts. Its responsibilities and functions should be set out.
Amendment 447 #
Proposal for a regulation
Recital 78
Recital 78
(78) In accordance with Article 59(3) of the Financial Regulation and in order to take account of the specific organisation of the management and control systems for the ERDF, ESF, CF and EMFF and the need to ensure a proportionate approach, specific provisions are required for the accreditdesignation and withdrawal of accreditending of designation of the managing authority and the certifying authority.
Amendment 448 #
Proposal for a regulation
Recital 80
Recital 80
(80) In addition to common rules on financial management, additional provisions are necessary for the ERDF, ESF, CF and the EMFF. In particular, with a view to ensuring reasonable assurance for the Commission prior to the annual clearance of accounts, applications for interim payments should be reimbursed at a rate of 90 % of the amount resulting from applying the co-financing rate for each priority axis as laid down in the decision adopting the operational programme to the eligible expenditure for the priority axis. The outstanding amounts due should be paid to the Member States upon annual clearance of accounts, provided that reasonable assurance has been attained in regard to the eligibility of expenditure for the year covered by the clearance procedure.
Amendment 449 #
Proposal for a regulation
Recital 81
Recital 81
(81) To ensure that beneficiaries receive the support as soon as possible and to reinforce the assurance for the Commission it is appropriate to require that payment applications include only expenditure for which the support has been paid to beneficiaries. Pre-financing each year should be foreseen to ensure that Member State have sufficient means to operate under such arrangements. Such pre- financing should be cleared each year with the clearance of accountsin accordance with the procedures established in this regulation.
Amendment 450 #
Proposal for a regulation
Recital 83
Recital 83
(83) It is necessary to specify the detailed procedure for the annual clearance of accountsexamination and acceptance of accounts by the Commission applicable to the Funds to ensure a clear basis and legal certainty for these arrangements. It is important to envisage a limited possibility for the Member State to define a provision in its annual accounts for an amount, which is subject to an ongoing procedure with the audit authority.
Amendment 451 #
Proposal for a regulation
Recital 84
Recital 84
Amendment 452 #
Proposal for a regulation
Recital 88
Recital 88
(88) In order to supplement and amend certain non-essential elements of this Regulation, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of a code of conduct on the objectives and criteria to support the implementation of partnership, the adoption of the elements of the Common Strategic Framework related to indicative acmethodology used to provide informations of high European added value and corresponding principles for delivery, and priorities for cooperation, additional rules on the allocation of the performance reserve,n the support for climate change objectives, the criteria for the definition of the area and population covered by the local development strategies, detailed rules on financial instruments (ex ante assessment, combination of support, eligibility, types of activities not supported), the rules on certain types of financial instruments set up at national, regional, transnational or cross- border level, rules concerning funding agreethe minimum provisions to be included in funding agreements and strategy documents, transfer and management of assets, the arrangements for management and control, the rules on payment requests, and establishment of a system of capitalisation of annual instalments, the definition of the flat rate and the method of calculation of current value of the net revenue for revenue generating operations, the definition of the flat rate applied to indirect costs for grants based on existing methods and corresponding rates applicable in Union policies, the responsibilities of Member States concerning the procedure for reporting irregularities and recovery of sums unduly paid, the modalities of exchange of information of operations, the arrangements for the adequate audit trail, the conditions of national audits, the accreditation criteria for managing authorities and certifying authoritimethodology to be used in carrying out the cost-benefit analysis on major projects, decision on the extension of period applied in the case of operations implemented under PPP structures, the responsibilities of Member States concerning the procedure for reporting irregularities and recovery of sums unduly paid, detailed rules for establishing a system to record and store data in computerised form on each operation and the modalities of exchange of information of operations, the criteria to assess compliance of authorities relating to the internal control environment, risk management, control activities, information and communication and monitoring systems, the adequate audit trail, the conditions of national audits, the identification of accepted data carriers, the rules concerning the use of data collected during audits, detailed rules concerning the cases, the identification of commonly accepted data carriers,at are to be regarded as serious deficiencies within the meaning of Article 136 and the criteria for establishing the level of financial correction to be applied. The Commission should also be empowered to amend, by means of delegated acts, Annexes I and VI, both of which contain non-essential elements to this Regulation, Annex V in order to address future adaptation needs. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level.
Amendment 453 #
Proposal for a regulation
Recital 90
Recital 90
(90) TWith regard to all of the European Structural and Investment Funds, the Commission should be empowered to adopt, by means of implementing acts, as regards all CSF Funds, decisions approving the Partnership Contracts, decisions on the allocation of the performance reserve, decisions suspending payments linked to Member States' economic policieAgreements, and, in the case of decommitment, decisions to amend decisions adopting programmes; and as regards the Funds, decisions identifying the regions and Member States fulfilling the Investment for growth and jobs criteria, decisions setting out the annual breakdown of commitment appropriations to the Member States, decisions setting out the amounsupport to be transferred from each Member State's CF allocation to the Connecting Europe Facilityprovided from the Cohesion Fund to transport infrastructure projects of European added value and the pre- indentified projects listed in Annex 1 of Regulation (EU) [...]/2012 on establishing the Connecting Europe Facility that will be carried out in each Member State, decisions setting out the amount to be transferred from each Member State's Structural Funds allocation for food for deprived people, decisions adopting and amending operational programmes, decisions on major projects, decisions on joint action plans, decisions suspending payments and decisions on financial corrections, decisions on the amount chargeable to the Funds for the accounting year and the annual balance due to the Member State or to be recovered.
Amendment 454 #
Proposal for a regulation
Recital 91
Recital 91
(91) In order to ensure uniform conditions for the implementation of this Regulation, the implementing powers relating to the methodology concerning climate change objectives, standard terms and conditions for monitoring of financial instruments, the uniform conditions concerning the monitoring and provision of monitoring information for financial instruments, the methodology for the calculation of net revenue for revenue-generating projecmodels for reporting on financial instruments, the electronic data exchange system between the Member State and the Commission, the model of operational programme for the Funds, the nomenclature for the categories of intervention, the format for information on major projects and methodology to be used in carrying out the cost-benefit analysis on major projects, the model for the joint action plan, the model of the annual and final implementation reports, certain technical characteristics of information and publicity measures and related instructions, rules on the exchange of information between beneficiaries and managing authorities, certifying authorities, audit authorities and intermediate bodies, the model for the report and opinion of the independent audit body and the model for the description of the management and control system, the model for the accounts, the model of the management declaration, the models for the audit strategy, opinion and annual control report and methodology for the sampling method, the rules concerning use of data collected during audits, and the model for payment applications 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 of the Commission's exercise of implementing powers.
Amendment 455 #
Proposal for a regulation
Recital 93
Recital 93
(93) Since the objective of this Regulation, namely to reduce disparities between levels of development of the various regions and the backwardness of the least favoured regions or islands, particular rural areas, areas affected by industrial transition, and regions which suffer from severe and permanent natural or demographic handicaps, inter alia the northernmost regions with low population density as well as island, border and mountain regions, and the outermost regions, disadvantaged urban areas and remote border cities, cannot be sufficiently achieved by Member States but can 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.
Amendment 456 #
Proposal for a regulation
Article 2 – paragraph 2 – point 2 a (new)
Article 2 – paragraph 2 – point 2 a (new)
(2 a) 'A strategic policy framework' consists of a document or several documents at national or regional level, which set out a limited number of coherent priorities established on the basis of evidence and a timeframe for their implementation and which may include a monitoring mechanism;
Amendment 457 #
Proposal for a regulation
Article 2 – paragraph 2 – point 2 b (new)
Article 2 – paragraph 2 – point 2 b (new)
(2 b) 'Smart specialisation strategy' means the national and regional innovation strategies which set priorities in order to build competitive advantage by developing and matching research and innovation own strengths with business needs to address emerging opportunities and market developments in a coherent manner, while avoiding duplication and fragmentation of efforts at EU level, and which may take the form of or be included in a national or a regional research and innovation (R&I) strategic policy framework;
Amendment 458 #
Proposal for a regulation
Article 2 – paragraph 2 – point 25
Article 2 – paragraph 2 – point 25
(25) ‘'accounting year,' means, for the purposes of Part Three and Part Four, the period from 1 July to 30 June, except for the first accounting year, in respect of which it means the period from the start date for eligibility of expenditure until 30 June 2015. The final accounting year shall be from 1 July 20223 to 30 June 20234;
Amendment 459 #
Proposal for a regulation
Article 2 – paragraph 2 – point 26 a (new)
Article 2 – paragraph 2 – point 26 a (new)
(26 a) 'Applicable ex ante conditionality' means a concrete and precisely pre- defined critical factor, which is a prerequisite for and has a direct and genuine link to and direct impact on the effective and efficient achievement of the specific objective for an investment priority or a Union priority;
Amendment 460 #
Proposal for a regulation
Article 2 – paragraph 2 – point 26 b (new)
Article 2 – paragraph 2 – point 26 b (new)
(26 b) 'A specific objective' is the result to which an investment priority or Union priority shall contribute in a specific national or regional context through actions or measures undertaken within a priority;
Amendment 471 #
Proposal for a regulation
Article 17 – paragraph 1
Article 17 – paragraph 1
1. Ex ante conditionalities shall be defined for each CSFFund covered by the European Structural and Investments Funds in the Fund-specific rules. An ex ante conditionality is a prerequisite and shall be applied only where it has a direct link to, and an impact on, the effective implementation of the European Structural and Investments Funds.
Amendment 473 #
Proposal for a regulation
Article 17 – paragraph 2
Article 17 – paragraph 2
2. Member States shall, in accordance with Article 4(4), assess whether the applicable ex ante conditionalities arelaid down in the Fund-specific rules have been fulfilled.
Amendment 476 #
Proposal for a regulation
Article 17 – paragraph 4
Article 17 – paragraph 4
4. Member States shall set out the detailed actions to be carried out within the set timeframe relating to the fulfilment of ex ante conditionalities, including the timetable for their implementation, in the relevant programmes.
Amendment 478 #
Proposal for a regulation
Part 2 – article 9 – paragraph 1 – point 4
Part 2 – article 9 – paragraph 1 – point 4
(4) supporting the shift towards a low- carbon economy in all sectors and promoting sustainable transport;
Amendment 480 #
Proposal for a regulation
Article 17 – paragraph 5
Article 17 – paragraph 5
5. The Commission shall assess the consistency of the information provided on thein relation to the applicability and fulfilment of ex ante conditionalities in the framework of its assessment of the Partnership ContracAgreement and programmes. Itn accordance with the Fund-specific rules, the Commission may decide, when adopting a programme, to suspend all or part of any interim payments to the respective programme, pending the satisfactory completion of actions to fulfil an ex ante conditionality which is instrumental to the achievement of that programme's objectives. The failure to complete actions to fulfil an ex ante conditionality by the deadline set out in the programme shall constitute a basis for suspending payments by the Commission, in accordance with the Fund-specific rules. The suspension of payments shall be lifted without delay once the Member State fulfils the ex ante conditionalities applicable to the programme.
Amendment 488 #
Proposal for a regulation
Article 22 – paragraph 1 – subparagraph 1 – point a
Article 22 – paragraph 1 – subparagraph 1 – point a
(a) where the Member State concerned has adopted the euro, it receives macro- financial assistancereceives a loan from the Union under Council Regulation (EU) No 407/2010;
Amendment 490 #
Proposal for a regulation
Part 2 – article 9 – paragraph 1 – point 7
Part 2 – article 9 – paragraph 1 – point 7
(7) promoting sustainable transport and removing bottlenecks in key network infrastructures;
Amendment 493 #
Proposal for a regulation
Article 86 – paragraph 1 – point 1
Article 86 – paragraph 1 – point 1
(1) ‘public or equivalent structural expenditure’ means the Ggross Ffixed Ccapital Fformation of the Ggeneral Ggovernment reported in the Stability and Convergence Programmes prepared by Member States according to Council Regulation (EC) No 1466/9729 to present their medium term budgetary strategy;
Amendment 498 #
Proposal for a regulation
Article 129 – paragraph 1
Article 129 – paragraph 1
For each year from 2016 until and including 20225, the Member State shall submit the documents referred to in Article 75(1).and by the deadline set out in Article 59(5) of the Financial Regulation namely:
Amendment 500 #
Proposal for a regulation
Article 142 – paragraph 2
Article 142 – paragraph 2
2. The delegations of power referred to in this Regulation shall be conferred for an indeterminate period of time from theArticles...1 shall be conferred on the Commission for a period of 3 years from ....2. The Commission shall draw up a report in respect of the delegation of power not later than 9 months before the end of the three year period. The delegation of power shall be tacitly extended until the review of this Regulation, unless the European Parliament or the Council opposes such extension not later than 3 months before the end of that period. ______________ 1 (insert all the numbers of all the Articles where delegated acts are provided for) 2 OJ: (insert date of entry into force of this Regulation.)
Amendment 501 #
Proposal for a regulation
Article 142 – paragraph 3
Article 142 – paragraph 3
The delegations of power referred to in Articles 5(3), 12, 20(4), 29(6), 32(1), 33(3), 33(4), 33(7), 34(3), 35(5), 36(4), 54(1), 58, 112(2), 114(8), 114(9), 116(1), 117(1), 132(4), 136(6) and 14120(4), 32(10), 33(4), 34(5), 36(4), 58 and 136(6) may be revoked at any time by the European Parliament or by the Council. A decision tof revocationke 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.
Amendment 502 #
Proposal for a regulation
Article 142 – paragraph 5 – subparagraph 1
Article 142 – paragraph 5 – subparagraph 1
Amendment 507 #
Proposal for a regulation
Annex 2 – point 3 a (new)
Annex 2 – point 3 a (new)
3a. In duly justified cases, such as a significant change in the economic, environmental and labour market conditions in a Member State or region, and in addition to amendments resulting from changes in allocations for a given priority, the Member State may propose the revision of milestones and targets in accordance with Article 26 of this Regulation.
Amendment 524 #
Proposal for a regulation
Part 2 – article 11 – paragraph 1 – point b
Part 2 – article 11 – paragraph 1 – point b
(b) the key territorial challenges for urban, peri-urban, rural, coastal and fisheries areas, as well as for areas with particular territorial features referred to in Articles 174 and 349 of the Treaty, to be addressed by the CSF Funds covered by the CPR;
Amendment 543 #
Proposal for a regulation
Annex V – Table 2 – Ex ante conditionalities – General ex-ante conditionalities
Annex V – Table 2 – Ex ante conditionalities – General ex-ante conditionalities
Amendment 544 #
Proposal for a regulation
Annex V – Table 1 – Ex ante conditionalities – Thematic ex-ante conditionalities
Annex V – Table 1 – Ex ante conditionalities – Thematic ex-ante conditionalities
Amendment 550 #
Proposal for a regulation
Part 2 – article 12 a (new)
Part 2 – article 12 a (new)
Article 12 a Guide for beneficiaries 1. The Commission shall prepare a detailed practical guide on how to effectively access and use the Funds covered by the CPR, and how to exploit complementarities with other instruments of relevant Union policies. 2. This guide shall be drawn up by the latest 30 June 2014 and shall provide for each thematic objective an overview of the available relevant instruments at EU level with detailed sources of information, examples of good practices to combine available funding instruments within and across policy areas, description of relevant authorities and bodies involved in the management of each instrument, checklist for potential beneficiaries to identify best resources of funding. 3. The Guide shall be made public on the website of the relevant Directorate Generals of the Commission. The Commission and managing authorities acting in accordance with Article 105, in cooperation with the Committee of the Regions, shall ensure dissemination of the Guide to potential beneficiaries.
Amendment 598 #
Proposal for a regulation
Part 2 – article 14 – paragraph 1 – point b – point ii
Part 2 – article 14 – paragraph 1 – point b – point ii
(ii) the arrangements to ensure an integrated approach to the use of the CSF Funds covered by the CPR for the territorial development of urban, peri-urban, rural, coastal and fisheries areas and areas with particular territorial features, in particular the implementation arrangements for Articles 28, 29 and 99 accompanied, where appropriate, by a list of the cities to participate in the urban development platform referred to in Article 8 of the ERDF Regulation;
Amendment 956 #
Proposal for a regulation
Part 2 – article 44 – paragraph 2
Part 2 – article 44 – paragraph 2
2. Annual implementation reports shall set out information on implementation of the programme and its priorities by reference to the financial data, common and programme-specific indicators and quantified target values, including changes in result indicators, and the milestones defined in the performance framework. The data transmitted shall relate to values for indicators for fully implemented operations and also for selected operations which have been selected for support under a programme. They shall also set out actions taken to fulfil the ex-ante conditionalities and any issues which affect the performance of the programme, and the corrective measures taken.
Amendment 1033 #
Proposal for a regulation
Part 2 – article 49 – paragraph 3 a (new)
Part 2 – article 49 – paragraph 3 a (new)
3a. In line with the findings of the evaluation referred to in paragraph 3, managing authorities shall make the necessary changes and improvements to the programme's mechanisms and implementing procedures.
Amendment 1060 #
Proposal for a regulation
Part 2 – article 54 – paragraph 1 – subparagraph 3
Part 2 – article 54 – paragraph 1 – subparagraph 3
The Commission shall be empowered to adopt delegated acts in accordance with Article 142 concerning the definition of the flat rate referred to in point (a) above and the method referred to in point (b) above.
Amendment 1061 #
Proposal for a regulation
Part 2 – article 54 – paragraph 1 – subparagraph 4
Part 2 – article 54 – paragraph 1 – subparagraph 4
Amendment 1130 #
Proposal for a regulation
Part 2 – article 65 – paragraph 2 – subparagraph 1
Part 2 – article 65 – paragraph 2 – subparagraph 1
Without prejudice to audits carried out by Member States, Commission officials or authorised Commission representatives may carry out on-the-spot audits or checks upon giving adequate prior notice of minimum of 10 working days, except in urgent cases. The scope of such audits or checks may include, in particular, verification of the effective functioning of management and control systems in a programme or a part thereof, operations and assessment of the sound financial management of operations or programmes. Officials or authorised representatives of the Member State may take part in such audits.
Amendment 1148 #
Proposal for a regulation
Part 2 – article 71 a (new)
Part 2 – article 71 a (new)
Article 71a General principle on the use of pre- financing Pre-financing shall be used only for making payments to beneficiaries in the implementation of the programme. It shall be made available without delay to the responsible body for this purpose.
Amendment 1150 #
Proposal for a regulation
Part 2 – article 72 – paragraph 2
Part 2 – article 72 – paragraph 2
Amendment 1256 #
Proposal for a regulation
Part 3 – article 84 – paragraph 2 – point b
Part 3 – article 84 – paragraph 2 – point b
(b) eligible population, regional prosperity, unemployment rate, employment rate, educational level and, population density and the demographic vulnerability index for more developed regions;
Amendment 1449 #
Proposal for a regulation
Part 3 – article 91 – paragraph 1 – subparagraph 2
Part 3 – article 91 – paragraph 1 – subparagraph 2
The Commission shall provide indicative guidancebe empowered to adopt delegated acts laying down on the methodology to be used in carrying out the cost-benefit analysis referred to in point (e) above in accordance with the advisory procedure referred to in Article 143(2).
Amendment 1465 #
Proposal for a regulation
Part 3 – article 93 – paragraph 2
Part 3 – article 93 – paragraph 2
2. The public support allocated to a joint action plan shall be a minimum of EUR 105 000 000 or 210 % of the public support of the operational programme or programmes, whichever is lower.
Amendment 1495 #
Proposal for a regulation
Part 3 – article 99 – paragraph 1
Part 3 – article 99 – paragraph 1
1. Where an a sustainable urban development strategy as referred to in Article 7 of Regulation ...[ERDF] or other territorial strategy or pact as drefinederred to in Article 12(1) of Regulation…...[ESF] requires an integrated approach involving investments under more than one priority axis of one or more operational programmes, the action shall be carried out as an integrated territorial investment (an ‘'ITI’').
Amendment 1557 #
Proposal for a regulation
Part 3 – article 103 – paragraph 1 – introductory part
Part 3 – article 103 – paragraph 1 – introductory part
1. The report of the Commission referred to in Article 175 of the Treaty shall include in particular:
Amendment 1558 #
Proposal for a regulation
Part 3 – article 103 – paragraph 1 a (new)
Part 3 – article 103 – paragraph 1 a (new)
The report shall also contain, if necessary any proposals on measures and policies which should be adopted in order to strengthen economic, social and territorial cohesion, as well as to deliver the Union's priorities.
Amendment 1639 #
Proposal for a regulation
Part 3 – article 111 – paragraph 1 – point 4 a (new)
Part 3 – article 111 – paragraph 1 – point 4 a (new)
(4a) regions that suffer from severe demographic vulnerability
Amendment 1698 #
Proposal for a regulation
Part 3 – article 123 – paragraph 1
Part 3 – article 123 – paragraph 1
1. Member States which have not adopted the euro as their currency on the date of an application for payment shall convert the amounts of expenditure incurred in national currency into euro. This amount shall be converted into euro using the monthly accounting exchange rate of the Commission in the month during which the expenditure was registered in the accounts of certifying authority or the managing authority of the operational programme concerned. This rate shall be published electronically by the Commission each month.
Amendment 1806 #
Proposal for a regulation
Annex -I (new)
Annex -I (new)