Proposal for a regulation
Annex -I
10 OJ ref.......Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 11 OJ L 290, 6.11.2010, p. 39–48 2010/670/EU: Commission Decision of 3 November 2010 laying down criteria and measures for the financing of commercial demonstration projects that aim at the environmentally safe capture and geological storage of CO2 as well as demonstration projects of innovative renewable energy technologies under the scheme for greenhouse gas emission allowance trading within the Community established by Directive 2003/87/EC of the European Parliament and of the Council (2010/670/EU) OJ L 275, 25.10.2003, p. 32–46. 12 “Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system” COM 2011) 144 final Annex -I Common Strategic Framework The purpose of this framework is to serve, in accordance with Article 10, as a means of coordinating, integrating and balancing the objectives of different policies in specific regional contexts, and, in particular, as a means of coordinating and balancing investment priorities with the thematic objectives set out in Article 9. 1. Horizontal Principles and cross-cutting challenges 1.1 Partnership and multi-level governance 1.1.1 The principle of multi-level governance requires coordinated action carried out in accordance with the principles of subsidiarity and proportionality, and in partnership. It also must take the form of operational and institutionalised cooperation, in particular with regard to the drawing-up and implementation of the Union's policies. Explicit reference to the principle of multi-level governance in this Regulation represents a reinforcement of that principle and provides an added value for cohesion policy itself. 1.1.2 The principle of multi-level governance must be respected in order to facilitate achieving social, economic and territorial cohesion and delivery of the Union's priorities of smart, sustainable and inclusive growth. 1.1.3 In order to ensure effective multi- level governance Member States and regions must carry out the following actions: a) implement partnership according to the European code of conduct as referred to in Article 5; b) establish coordination mechanisms between the different levels of governance in accordance with the respective constitutional powers systems; c) report regularly on the implementation of partnership; d) Member States and managing authorities should use part of their technical assistance of the current and next programming periods to ensure that partners, in particular small local authorities, economic and social partners and NGOs, have the capacity necessary to participate in preparation, implementation, monitoring and evaluation of the Partnership Contract and the programmes. 1.1.5 At all stages of the implementation of the Funds covered by the CPR, partnership must be organised so as to directly involve regional and local authorities in the preparation of Partnership Contracts, and of programmes and also in the preparation, implementation, monitoring and evaluation of those programmes. Social and economic partners, other public authorities, as well as bodies representing civil society, including environmental partners, non-governmental organisations and bodies responsible for promoting equality and non-discrimination must also be included in order to ensure partnership in all phases of policy implementation. 1.2 Sustainable development 1.2.1 The principle of sustainable development, as laid down in Article 3 of the Treaty on European Union (TEU), relates to a concept of progress according to which social, economic and environmental considerations are to be integrated when considering well-being and a better quality of life for the present and future generations. 1.2.2 Sustainable Development considerations as well as the polluter pays principle must, therefore, be an integral part of every plan, from design to delivery, and monitoring to evaluation. Non- application of the polluter pays principle may be permitted only in exceptional cases and provided that clear mitigating measures are in place. 1.2.3 In order to tackle the complex challenges they face, Member States and regions must deploy all available Union policy instruments. In particular, for the purposes of tackling climate change, resources must be focused on preventative and mitigating measures. Any new investment made with the support of the Funds covered by the CPR must be of a nature such that it is inherently resilient to the impact of climate change and natural disasters. 1.2.4 The ERDF and CF must continue to make major investments in Member States' and Regions infrastructures to meet the requirements of the water framework10 and other relevant directives. Technological solutions, aimed at contributing to sustainable actions, exist and new ones are emerging, the ERDF must therefore continue to provide support to research in this area. Such support must aim to complement measures covered by Horizon 2020. Finance for biodiversity actions may be made available through the EAFRD and the EMFF. The EAFRD may also be used to provide support to land managers where mandatory environmental requirements lead to area-specific disadvantages. 1.2.5 Pursuing sustainable development must not be a technical exercise. In order to ensure that this goal is mainstreamed in the operation of the Funds covered by the CPR on the ground, managing authorities must have due and consistent regard to this goal throughout the programme lifecycle, and must take a more active approach in reducing environmentally harmful effects of interventions by, inter alia, taking the following actions: a) directing investments towards the most resource-efficient options, b) carefully weighing the need for investments where those investments have a significant negative environmental impact, c) taking a long-term perspective when ‘life-cycle’ costs of alternative methods of investment are compared, d) increasing the use of green public procurement, e) directing investments towards accessibility for all users contributing to a barrier-free environment for persons with disabilities. 1.3 Promotion of equality between men and women and non-discrimination 1.3.1 Member States and regions must increase efforts to eliminate inequalities and promote equality between men and women, as well as to combat discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation, at all stages of the implementation of the Funds covered by the CPR. 1.3.2 Member States and regions must pursue the objective of equality between men and women and must take appropriate steps to prevent any discrimination during the preparation implementation, monitoring and evaluation of operations in the programmes co-financed by the Funds covered by the CPR and clearly state the actions to take into account this principle in the programmes. 1.3.3 Higher participation of women in the labour market, both as employers and employees, would invigorate the Union’s economy. Unblocking the potential for such an increase in activity, by increasing the female employment rate is crucial for reaching the Europe 2020 employment targets. Barriers to women’s labour market participation, must, therefore, be fully addressed. Member States and regions must ensure that in addition to the ESF, the ERDF, the CF, the EMFF and the EAFRD also finance activities that promote women's economic independence, contribute to attaining an appropriate balance between work and family life, and that advance women's opportunities as entrepreneurs. 1.3.4 Monitoring and evaluating programmes will help to measure the impact of the expected contribution of the Funds covered by CPR to gender equality. 1.4 Accessibility 1.4.1 All products and services that are offered to the public and are co-financed by the Funds covered by the CPR must be accessible. In particular, ensuring and promoting, with appropriate steps taken by Member States, barrier-free built environment, transport, information and communication technologies, is essential for the purposes of inclusion for disadvantaged groups, including persons with disabilities, in accordance with the UN Convention on the rights of persons with disabilities. 1.4.2 It is crucial to appropriately address the needs of disadvantaged groups in order to allow them to better integrate into the labour market, and to fully participate in society. 1.4.3 Member States and regions must continue to promote social cohesion, on an equal footing to economic and territorial cohesion, across all EU regions, if the EU 2020 Strategy is to achieve its targets. 1.5 Demography 1.5.1 Adapting to demographic change is one of the core challenges facing Member States and regions in the decades to come. The combination of a smaller working population and a higher share of retired people will place additional strains on Member States' welfare systems and thus on the Union’s economic competiveness. 1.5.2 Demographic change gives rise to new challenges. Such demographic developments must be studied and met at regional and local level in particular, wherever different development trends become apparent. Member States and regions must rely on the Funds covered by the CPR to develop tailor-made strategies to tackle demographic problems and to create opportunities for developing the ‘silver economy’. 1.5.3 Enhancing job opportunities for the elderly will bring about a multitude of benefits to people, including younger people with disabilities, societies and public budgets. Member States and regions must use the Funds covered by the CPR to take action to facilitate inclusion of all age groups. Making the best use of all existing human resources, including by making efforts to tackle youth unemployment, reflects one of the immediate tasks for the Funds covered by the CPR in contributing to maximising the potential of all of the Union's population. This will be achieved through improving access to, minimum levels and quality of, education and enhancing social support structures. Investments in health infrastructures would also serve the goal of a long and healthy working life for all of the Union’s citizens. 1.5.4 In drawing up their programmes, Member States and regions must take account of the long-term challenges of demographic change. In those regions most affected by demographic change, they must identify measures to: a) support demographic renewal through better conditions for families and an improved balance between working and family life; b) boost employment; raise productivity and economic performance through investing in education and research; c) focus on the adequacy and quality of education and social support structures; and d) ensure cost-effective provision of health care, social services and long-term care including investment in infrastructure. 1.6 Integrated approach 1.6.1 An integrated territorial approach is fundamental to respond effectively to the challenges Member States and regions are confronted with. Those challenges are related to the impacts of: globalisation; environmental and energy concerns; ageing-related problems and demographic change; technological transformation and innovation demands; and income inequality and social segregation. The complex and interrelated nature of these issues means that solutions must be integrated, multi-sectoral and multi- dimensional in nature in order to succeed. 1.6.2 In this context, the Funds covered by the CPR make it possible to combine the power of different EU funds into integrated packages which are tailor- made to fit local and regional specific needs. 1.6.3 When developing their strategies and programmes with a view to identifying the most appropriate interventions, Member States and regions must pay particular attention to predominant territorial, structural and institutional features, such as connectivity of the region in question, employment patterns and labour mobility; rural-urban linkages; the local interdependencies between different sectors; cultural heritage; ageing and demographic shifts; etc. 1.6.4 Member States and regions must analyse what the major societal challenges they face are. In response to those challenges, they must also consider the question as to what are the particular aspects of the well-being of their citizens that they wish to influence and enhance by means of the policy, and how the policy is to be designed and delivered in the particular context of the Member State or region in question. 1.6.5 So as to foster good policies which are tailored to specific regional needs, Member States and regions must further develop an integrated territorial approach to policy design and delivery, taking account of relevant contextual aspects but focusing on the basis of the following central elements: a) an evaluation of the region’s Europe 2020 development potential and capacity; b) an assessment of the development challenges facing the region and its ability to address them; c) consideration of the appropriate territorial scale and context for policy design and delivery, according to the subsidiarity principle; d) design of the multi-level governance arrangements necessary to ensure effective policy delivery; e) the choice of appropriate result and outcome indicators, to be used for policy monitoring and evaluation. 2. Synergies and coordination of Funds covered by the CPR with instruments of other EU policies 2.1 Introduction 2.1.1 With a view to achieving optimal results for sustainable growth and development on the ground, it is important to coordinate all Union policies and related instruments which play a role in achieving economic, social and territorial cohesion and a better balanced territorial development in the EU. This must also be reflected in better coordination between the Union budget and the Member States’ national and sub- national budgets in financing common political priorities as well as in improved vertical cooperation between the EU and national and regional entities. 2.1.2 Synergies and coordination do not imply one size-fits-all solutions. In this context, it is necessary to undertake a closer analysis of the impact of Union policies in the regions and on cohesion with a view to fostering effective synergies and to identifying and promoting the most suitable means at European level of supporting local and regional investment. 2.1.3 Member States and regions must ensure consistency at programming and implementation stages between interventions supported by the Funds covered by the CPR and the objectives of other EU policies. To this end, they must seek to: a) Identify and exploit complementarities between different Union instruments at national and regional level, both in the planning phase and during implementation. b) Optimise existing structures and where necessary establish new ones that facilitate the strategic identification of priorities for the different instruments and structures for coordination at national level, avoid duplication of effort and identify areas where additional financial support is needed. c) Make full use of the potential to combine support from different instruments to support individual operations and work closely with those responsible for implementing other national instruments to deliver coherent and streamlined funding opportunities for beneficiaries. 2.2 Horizon 2020 2.2.1 It is crucial to strengthen synergies and complementarities between cohesion Policy and Horizon 2020, while establishing a clear division of areas of intervention between them. 2.2.2 In particular, Member States and regions must develop a national or regional research and innovation (R&I) strategy for ‘smart specialisation’ in line with the National Reform Program. These strategies must be developed through close collaboration between national or regional managing authorities and the authorities directly concerned by Horizon 2020, but also involving stakeholders such as universities and higher education institutions, local industry and social partners. Regarding accessibility and the barrier-free environment and services, stakeholders representing disabled people should be involved in implementing innovation strategies reflecting the needs of elderly people in terms of promoting the idea of “universal design’ for all. Those innovation strategies must take into account both upstream and downstream actions to and from Horizon 2020. 2.2.3 Upstream actions to prepare regional R&I players to participate in Horizon 2020 projects ("stairways to excellence") will be developed through capacity building. Communication and cooperation between Horizon 2020 national contact points and managing authorities of the Funds covered by the CPR must be strengthened, in particular regarding any Horizon 2020 shortlisted projects which have not been funded due to lack of resources. 2.2.4 Downstream actions must provide the means to exploit and diffuse R&I results, stemming from Horizon 2020, into the market, and may include: pilot plants and demonstration sites, proof of concept and early stage financing, incubation facilities, applied research, specific industrial and technology transfer capabilities and cluster support. 2.2.5 Joint support must be provided to national and regional authorities for the design and implementation of such innovation strategies, which may include: support to identify opportunities for joint financing of R&I infrastructures of European interest, the promotion of international collaboration, methodological support through peer reviews, exchange of good practice, and training across regions. 2.2.6 Member States and regions must consider the following additional measures aimed at unlocking their potential for excellence and innovation, in a manner that is complementary to and creates synergies with Horizon 2020: a) linking emerging centres of excellence, and innovative regions in less developed Member States to leading counterparts elsewhere in Europe; b) building links with innovative clusters and recognising excellence in less developed regions; c) establishing "ERA Chairs" to attract outstanding academics; and d) supporting access to international networks for researchers and innovators. 2.3 LIFE 2.3.1 Synergies with Union policy instruments (both funding and non- funding instruments) serving climate change mitigation, environmental protection and resource efficiency must be exploited where possible. 2.3.2 As programmes will contribute to the goals of sustainable growth through stronger thematic focus and by a reinforced sustainable development principle, the synergies referred to in 2.3.1 are inherent in the regulatory framework of the Funds covered by the CPR. 2.3.3 Synergies with LIFE, in particular with integrated projects in the areas of nature (such as ecosystem services and biodiversity), water, waste, air, climate change mitigation and climate change adaptation must be pursued. Coordination with LIFE must be ensured through supporting projects that are of a complementary nature, as well as by promoting the use of solutions, methods and approaches validated under the LIFE Programme. 2.3.4 The use of Environmental Impact Assessments (EIAs), Sustainability Impact Assessments (SIAs), Strategic Environmental Assessments (SEAs) and other relevant instruments, in particular dealing with the quality and extension of the barrier-free environment and services, must be promoted in order to take account of biodiversity loss and the effects of climate change in territorial planning (including macro-regional strategies) and regional and local decision-making. 2.3.5 Member States and regions must promote green infrastructure, eco- innovation and the adoption of innovative technologies in order to create a greener economy. 2.3.6 Capacity building is a prerequisite to deliver on these activities, and it must enhance potentials and develop skills both in local and regional authorities and partners. 2.3.7 Given that environmental challenges do not respect administrative boundaries, cross-border, interregional and transnational cooperation among European, national, regional and local authorities with regard to protecting biodiversity and natural resources across regions is of utmost importance. Better use of the potential of territorial cooperation and exchanges of information, experience and good practice would contribute significantly to achieving environmental and climate- related objectives. 2.3.8 In addition, financing from the Funds covered by the CPR must be coordinated with the support from the NER 300 Programme, which uses revenue from auctioning allowances under the European Emissions Trading Scheme.11 2.4 ERASMUS for All 2.4.1 The synergies between the Funds covered by the CPR and the ‘Erasmus for All’ programme must be increased in order to maximise the impact of investment in people. That investment will crucially benefit both individuals and society as a whole by contributing to growth and prosperity. ‘Erasmus for All’ supports only transnational projects, whereas cohesion Policy has a more pronounced regional dimension. Member States and Regions are encouraged to test tools and methods resulting from transnational cooperation through ‘Erasmus for All’ and then to implement them on their territory through Funds covered by the CPR. 2.4.2 The Commission and Member States must ensure effective coordination between cohesion policy and ‘Erasmus for All’ through a clear distinction in the types of investment and target groups supported. ‘Erasmus for All’ will focus its support on transnational and barrier- free learning mobility of students, youth and staff regardless their disabilities; on strategic partnerships between organisations and institutions across Europe and on actions supporting policy development and implementation. The primary investment priority targets for cohesion policy will be: education, labour market training, persons with disabilities and adult learners' mobility. 2.4.3 Furthermore, enhanced results will be achieved by promoting complementarity of funding for mobility and the funding of activities that mainstream best practices and innovative projects identified at EU level under ‘Erasmus for All’ . The National Agencies, established under this programme, can contribute to achieving this coordination. 2.5 CEF + TENs, energy and telecommunications networks 2.5.1 In order to maximise European added value, the ERDF and the Cohesion Fund, Trans-European Networks and the Connecting Europe Facility (CEF) must be planned in close cooperation, so as to ensure that optimal links of different types of infrastructure (in Transport, Energy and Telecommunications) at local, regional and national levels, and across the Union are provided for. Maximum leverage of funds must be ensured for projects with a European and Single Market dimension, in particular priority transport, energy and digital networks. 2.5.2 Just as national infrastructure needs to be planned coherently, both by taking into account the development of Union cross border links, and by developing links across regions within a Member State, plans must be based on real and projected transport demand and identify missing links and bottlenecks. Investment in regional connectivity to the comprehensive network and to the core Trans European Network of transport infrastructure (TEN-T) network must ensure that urban and rural areas benefit from the opportunities created by major networks. 2.5.3 Prioritisation of investments which have an impact beyond a certain Member State, must be coordinated with TEN-T planning so that investments by the ERDF and the Cohesion Fund in transport infrastructure are fully in line with the TEN-T Guidelines, which define the Union’s transport priorities, including: accessibility for elderly people, persons of reduced mobility and for disabled passengers, addressing the climate change challenge, the future development of an integrated TEN-T network, and the multimodal corridor concept. 2.5.4 The Commission’s White Paper on Transport12 sets out a vision for a competitive and resource-efficient transport system, highlighting that a significant reduction in greenhouse gases is required in the transport sector. For the Funds covered by the CPR, this means focusing on sustainable forms of transport and investing in areas that offer the greatest European added value, for example Trans-European Networks. Once identified, investments must be prioritised according to their contribution to accessibility and barrier-free mobility, sustainability, to reducing greenhouse gas emissions, and to the Single European Transport Area. 2.5.5 Member States and regions must focus investments on building new infrastructure and enhancing the capacity of existing infrastructure through substantial upgrading. 2.5.6 With regard to maritime transport, ports must be developed as efficient entry and exit points through full integration with land infrastructure. Priority must be given to projects concerning port access and hinterland connections. The development of inland waterways must reinforce their contribution to sustainable European freight transport networks. 2.5.7 In particular, complementarity must be sought between infrastructure investments by the ERDF and the Cohesion Fund, under shared management, and by the Connecting Europe Facility (CEF), which is a directly managed facility with competitive project selection. The CEF will fund projects on the core network (the strategically most important parts of the comprehensive network) that have the highest European added-value and appear to be the most complex with regard to the TEN-T in terms of implementation: cross-border missing links, key bottlenecks and multimodal modes. The Cohesion Fund will concentrate on high European added- value projects to remove bottlenecks in transport networks by supporting TEN-T infrastructure, for both the core and the comprehensive network. 2.5.8 Cohesion and Structural Funds will deliver the local and regional infrastructures and their linkages to the priority Union networks in the energy and telecommunication areas also. 2.5.9 The CEF is complementary to the Cohesion and Structural Funds since it contributes to the achievement of regional and local development goals in terms of infrastructure, in order to deliver maximum added value for a functional, integrated Single Market and for social, economic and territorial cohesion. 2.6 IPA, ENPI, EDF 2.6.1 Increasing synergies between external instruments and cohesion policy must be sought, to improve effectiveness in achieving multiple Union policy objectives. In particular, synergies and complementarities must be built upon with regard to the European Development Fund, the Pre Accession Instrument and the European Neighbourhood Instrument. 2.6.2 Providing for deeper territorial integration, synergies between territorial cooperation activities under cohesion policy and the European Neighbourhood Instruments must be capitalised upon. The potential for creating complementarities between these instruments is strongest with regard to cross border cooperation activities. Member States and regions must, therefore, ensure that existing activities are associated with newly created European Groupings of Territorial Cooperation, having special regard to capacity building of non-governmental organisations, in particular umbrella organizations, in order to access the Funds, coordinate and exchange of best practices. 3. Coordination mechanism among Funds covered by the CPR 3.1 Member States and regions must ensure that the interventions financed through the Funds covered by the CPR create synergies and that streamlining leads to a reduction of administrative cost and burden on the ground. 3.2 Ministries and managing authorities responsible for the implementation of the Funds covered by the CPR must work closely together in the preparation, implementation, monitoring and evaluation of the Partnership Contract and programmes. In particular, they must: a) identify areas of intervention where the Funds covered by the CPR can be combined in a complementary manner to achieve the thematic objectives set out in this Regulation; b) promote the involvement by managing authorities responsible for one of the Funds covered by the CPR of other managing authorities and relevant ministries in the development of support schemes to ensure synergies and avoid overlaps; c) establish joint monitoring committees for programmes implementing Funds covered by the CPR, and the development of other joint management and control arrangements to facilitate coordination between authorities responsible for the implementation of Funds covered by the CPR; d) make use of joint eGovernance solutions aimed at applicants and beneficiaries and "one-stop shops" for advice on the opportunities of support available through each Fund of the Funds covered by the CPR. 3.3 A European Monitoring system should be put in place to monitor implementation of the Funds covered by the CPR, and progresses made in meeting the Europe 2020 targets, ensuring involvement of partners as referred to in Article 5. 4. Priorities for territorial coordination (cross-border, transnational and interregional) 4.1 Great potential for regional development, job creation and cohesion lies in cooperation that goes beyond administrative borders and attempts to overcome the natural ones. Co-operation based on a shared need in a shared territory is often the most effective one. 4.2 Cross-border cooperation derives from an understanding that many challenges do not stop at administrative borders. An effective response requires joint, cooperative action and sharing of knowledge at the appropriate territorial level. 4.3 Furthermore, the embedded potential of border regions may be tapped through locally oriented support measures. 4.4 The two existing macro-regional strategies have paved the way for organising the interested parties into joint actions at the suitable territorial level. The strategies have increased the understanding of the necessity of cooperation in tackling problems which cannot be solved by one Member State only, such as for example, cleaning of the Baltic Sea or the Danube. Macro-regional strategies and other forms of territorial cooperation may be supported from both ERDF and ESF and the specific conditions for support for macro-regional strategies must be outlined in the programmes. 4.5 Overcoming barriers needs to be part of the programming of the Funds covered by the CPR – the objectives of the existing macro-regional strategies must be reflected in the needs analysis and goal setting for the relevant operational programmes from the planning phase on. Those strategies will not have served their purpose unless the objectives of the macro-regional strategies form part of the strategic planning in cohesion policy programmes in the regions and Member States concerned. 4.6 At the same time, Member States and regions must ensure that territorial cooperation programmes make an effective contribution to the Europe 2020 objectives. Member States and regions can thus foster cooperation as well as test, pilot and introduce new solutions, making sure that cooperation is organised in support of the wider policy goals. Where needed, territorial cooperation must be used to bring together policy-makers from across borders to work towards overcoming common problems. 4.7 Member States and regions must view the territorial cooperation programmes primarily as useful tools in overcoming barriers to co-operation, which would in turn support national and regional policy goals with impact beyond the programme area.