Cohesion Policy legislative package - Presidency compromise on Programming - Montesquieu Instituut

 

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COUNCIL OFBrussels, 25 April 2012

THE EUROPEAN UNION

Interinstitutional File: 8207/12 ADD 1 REV 3

2011/0276 (COD) 2011/0268 (COD) 2011/0273 (COD)

FSTR - 26

FC - 17

REGIO - 39 - -

SOC - 240

AGRISTR 40

PECHE - 103

CADREFIN 165

CODEC 831

ADDENDUM 1 to NOTE

from:

Presidency

to: Permanent Representatives Committee (part 2)/Council

No. prev. doc.: 15243/2/11 REV 2, 15247/1/11 REV 1, 15253/1/11 REV 1

No. Cion prop.: COM(2011) 615 final/2, COM(2011) 607 final/2, COM(2011) 611 final/2

Subject:

Cohesion Policy legislative package

• - 

  Presidency compromise on Programming

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PART ONE

SUBJECT-MATTER AND DEFINITIONS

Article 1

Subject-matter

This Regulation lays down the common rules applicable to the European Regional Development

Fund (ERDF), the European Social Fund (ESF), the Cohesion Fund (CF), the European Agricultural

Fund for Rural Development (EAFRD) and the European Maritime and Fisheries Fund (EMFF),

which are operating under the Common Strategic Framework (the 'CSF Funds'). It also defines the

provisions necessary to ensure the effectiveness of the CSF Funds and their coordination with one

another and with other Union instruments.

This Regulation also lays down the general rules governing the ERDF, the ESF (together referred to

as the 'Structural Funds') and the CF. The Regulation defines the tasks, priority objectives and

organisation of the Structural Funds and the CF (the 'Funds'), the criteria for Member States and

regions to be eligible for support from the CSF Funds, the financial resources available and the

criteria for their allocation.

(1) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on the

European Regional Development Fund and repealing Regulation (EC) No 1080/20061 (the

'ERDF Regulation');

(2) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on the

European Social Fund and repealing Regulation (EC) No 1081/20062 (the 'ESF Regulation');

(3) Regulation (EU) No [...]/2012 of the European Parliament and of the Council establishing a

Cohesion Fund and repealing Regulation (EC) No 1084/20063 (the 'CF Regulation');

(4) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on European

territorial cooperation4 (the 'ETC Regulation');

(5) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on the

European Agricultural Fund for Rural Development and repealing Regulation (EC) No

1698/20055 (the 'EAFRD Regulation'); and

(6) Regulation (EU) No [...]/2012 of the European Parliament and of the Council on the

European Maritime and Fisheries Fund and repealing Regulation (EC) No 1198/20066 (the

'EMFF Regulation').

Part II of this Regulation shall apply to all the CSF Funds except when the relevant Fund-

Article 2

Definitions

For the purposes of this Regulation, the definitions on financial instruments as laid down in the

Financial Regulation shall apply to financial instruments supported by the CSF Funds, except where

otherwise provided in this Regulation.

In addition, the following definitions shall apply:

(7) 'Union strategy for smart, sustainable and inclusive growth' means the targets and shared

objectives guiding the action of Member States and the Union set out [...] in the Conclusions

adopted by the European Council of 17 June 2010 as Annex I (New European Strategy for

Jobs and Growth, EU Headline Targets), Council Recommendation of 13 July 2010 on broad

guidelines for the economic policies of the Member States and the Union1 and Council

Decision of 21 October 2010 on guidelines for the employment policies of the Member States,

and any revision of such targets and shared objectives.

(8) 'Common Strategic Framework' means the document translating the objectives and targets of

the Union strategy for smart, sustainable and inclusive growth into [key actions] for the CSF

Funds, establishing for each thematic objective [the key actions to be supported by each CSF

(18) 'Partnership Agreement' means the document prepared by the Member State with the

involvement of partners in line with the multi-level governance approach, which sets out the

Member State's strategy, priorities and arrangements for using the CSF Funds in an effective

and efficient way to pursue the Union strategy for smart, sustainable and inclusive growth,

and which is approved by the Commission following assessment and dialogue with the

Member State;

Article 2A

Where pursuant to Articles 15(2) and (3), 25(3), 26 (2), 92(2), 96(2), and 97(3), a time limit is

set for the Commission to adopt or amend a decision, by means of an implementing act, the

time limit shall not include the period which starts on the day following the date on which the

Commission has sent its observations to the Member State and lasts until the Member State

has responded to the observations.

PART TWO

COMMON PROVISIONS APPLICABLE TO CSF FUNDS

TITLE I

Principles of Union support for the CSF Funds

Article 3

[...]

Article 4

General principles

• 1. 

  The CSF Funds shall provide support, through multi-annual programmes, which complements

national, regional and local intervention, to deliver the Union strategy for smart, sustainable

and inclusive growth as well as the Fund-specific missions pursuant to their Treaty-based

4 Member States, at the appropriate territorial level in accordance with their institutional,

legal and financial framework and the bodies designated by them for that purpose shall be

responsible for preparing and implementing programmes and carrying out their tasks in

compliance with this Regulation and the Fund-specific rules [...].

• 5. 

  Arrangements for the implementation and use of the CSF Funds, and in particular the

financial and administrative resources required for the preparation and implementation of

the CSF Funds, in relation to the reporting, evaluation, management and control shall respect

the principle of proportionality having regard to the level of support allocated and taking into

account the overall aim of reducing administrative burdens.

• 6. 

  In accordance with their respective responsibilities, the Commission and the Member States

shall ensure coordination among the CSF Funds, and with other relevant Union policies,

strategies and instruments, including those in the framework of the Union's external action.

• 7. 

  The part of the Union budget allocated to the CSF Funds shall be implemented within the

framework of shared management between the Member States and the Commission, in

accordance with Article 53(b) of the Financial Regulation, with the exception of [the amount

of the CF transferred to the Connecting Europe Facility referred to in Article 84(4) and]

innovative actions at the initiative of the Commission under Article 9 of the ERDF

Regulation, and technical assistance at the initiative of the Commission.

• 10. 

  The Commission and the Member States shall carry out their respective roles in relation to the

CSF Funds with the aim of reducing the administrative burden for beneficiaries.

Article 5

Partnership and multi-level governance

• 1. 

  For the Partnership Agreement and each programme respectively, a Member State shall in

accordance with national rules and practices organise a partnership with the following

partners:

(a) competent regional, local, urban and other public authorities;

(b) economic and social partners; and

(c) concerned bodies representing civil society, including environmental partners, non-

governmental organisations, and bodies responsible for promoting equality and non-

discrimination.

• 2. 

  In accordance with the multi-level governance approach, the partners referred to in

paragraph 1 shall be involved by Member States in the preparation of Partnership

Agreements and progress reports and in the preparation and implementation [...] of

programmes, including participation in the monitoring committees for programmes.

3. [...]

Article 6

Compliance with Union and national law

Operations financed by the CSF Funds shall comply with applicable Union and national law.

Article 7

Promotion of equality between men and women and non-discrimination

The Member States and the Commission shall ensure that equality between men and women and the

integration of gender perspective is promoted in the preparation and implementation of programmes.

The Member States and the Commission shall take appropriate steps to prevent any discrimination

based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation during the

preparation and implementation of programmes.

Article 8

Sustainable development

The objectives of the CSF Funds shall be pursued in the framework of sustainable development and

the Union's promotion of the aim of protecting and improving the environment, as set out in Article

11 of the Treaty, taking into account the polluter pays principle.

adopted by the Commission. The Commission shall adopt this methodology by means of an

implementing act. The implementing act shall be adopted in accordance with the examination

procedure referred to in Article 143(3).

Article 10

Common Strategic Framework

In order to promote the harmonious, balanced and sustainable development of the Union, a

Common Strategic Framework shall provide strategic orientation on the contribution of the

CSF Funds to the achievement of the objectives and targets of the Union strategy for smart,

sustainable and inclusive growth taking into account the key territorial challenges for different

types of territories [and key actions for the CSF Funds].

Article 11

Content

The Common Strategic Framework shall present:

(a) [for each thematic objective, the key actions to be supported by each CSF Fund;]

(b) the key territorial challenges for 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 and the

(f) mechanisms for ensuring the coherence and consistency of the programming of the CSF

Funds with the relevant country-specific recommendations under Article 121(2) of the Treaty

and the relevant Council recommendations adopted under Article 148(4) of the Treaty.

Article 12

Adoption and review

The Common Strategic Framework is set out in Annex [X].

Where there are major changes in the social and economic situation in the Union or in the Union

strategy for smart, sustainable and inclusive growth, the Common Strategic Framework may be

subject to revision in which case either the European Parliament or the Council may ask the

Commission to submit a proposal for the necessary amendments.

[...].

CHAPTER II

Partnership Agreement

Article 13

Preparation of the Partnership Agreement

1. Each Member State shall prepare a Partnership Agreement for the period from 1 January

2014 to 31 December 2020.

2. The Partnership Agreement shall be drawn up by Member States in cooperation with the

partners referred to in Article 5. The Partnership Agreement shall be prepared in dialogue

with the Commission.

3. The Partnership Agreement shall cover all support from the CSF Funds in the Member State

concerned.

4. Each Member State shall transmit its Partnership Agreement to the Commission within 4

months of the entry into force of this Regulation.

(i) an analysis of disparities, [...] development needs, and growth potentials with

reference to the thematic objectives and the territorial challenges and [ key

actions defined in the Common Strategic Framework [...] ] taking account of the

national reform programme, where appropriate, [and [...] relevant country-

specific recommendations under Article 121(2) of the Treaty and [...] relevant

Council recommendations adopted under Article 148(4) of the Treaty;]

(ii) a summary of the ex ante evaluations of the programmes or key findings of the

ex ante evaluations of the Partnership Agreement where undertaken by the -

Member State at its own initiative [...];

(iii) selected thematic objectives, and for each of the selected thematic objectives a

summary of the main results expected for each of the CSF Funds;

(iv) the indicative allocation of support by the Union by thematic objective at national

level for each of the CSF Funds, as well as the total indicative amount of support

foreseen for climate change objectives;

(v) [...];

(v) planned application of horizontal principles and policy objectives for the

implementation of the CSF Funds;

(b) arrangements to ensure effective implementation, including:

(i) the information required for ex ante verification of compliance with the rules

on additionality as they are defined in Part Three of this Regulation;

(ii) a summary of the assessment of the fulfilment of ex ante conditionalities

relevant at national level and of the actions to be taken, the responsible

bodies and the timetable for their implementation, where ex ant e

conditionalities are not fulfilled;

(iii) the methodology and mechanism to ensure consistency in the functioning of

the performance framework across programmes and CSF Funds;

These elements shall be subject to approval by a Commission decision as set out in

Article 15.

2. The Partnership Agreement shall also indicate: -

(a) an integrated approach to territorial development supported by the CSF Funds or

a summary of the integrated approaches to territorial development based on the

content of the operational programmes, setting out:

(iii) the main priority areas for cooperation, taking account, where appropriate,

of macro-regional strategies and sea basin strategies;

(iv) where appropriate, an integrated approach to address the specific needs of

geographical areas most affected by poverty or of target groups at highest risk of

discrimination or exclusion, with special regard to marginalised communities

[...];

(d) [...]:

(v) a summary of the actions taken to involve the partners referred to in Article 5

and their role in the preparation of the Partnership Agreement and the progress

report as defined in Article 46 of this Regulation;

(i) [...];

(ii) [...];

(iii) [...];

(iv) [...];

(iii) an assessment of the existing systems for electronic data exchange, and a

summary of the actions planned to gradually permit all exchanges of

information between beneficiaries and authorities responsible for management

and control of programmes to be carried out [...] by electronic data exchange.

These elements shall not be subject to approval by Commission decision except, in cases

where a Member State has made use of the provisions of Article 87(8), for the elements

requiring a Commission decision under Article 87(10).

Article 15

Adoption and amendment of the Partnership Agreement

• 1. 

  The Commission shall assess the consistency of the Partnership Agreement with this

Regulation and with the Common Strategic Framework, [and [...] relevant country specific

recommendations under Article 121(2) of the Treaty and [...] relevant Council

recommendations adopted under Article 148(4) of the Treaty,] taking account of the ex ante

evaluations of the programmes, and shall make observations within three months of the date

of submission of the Partnership Agreement. The Member State shall provide all necessary

additional information and, where appropriate, shall revise the Partnership Agreement.

• 2. 

  The Commission shall adopt a decision, by means of implementing acts, approving the
• 3. 

  Where a Member State proposes an amendment to the elements of the Partnership

Agreement covered by the Commission's decision as referred to in paragraph 2, the

Commission shall carry out an assessment in accordance with paragraph 1 and, where

appropriate, shall adopt a decision, by means of implementing acts, approving the amendment

within three months of its submission by the Member State.

4. Where a Member State amends elements of the Partnership Agreement not covered by

the Commission decision as referred to in paragraph 2, it shall notify the Commission

thereof within one month of the date of the decision of the amendment.

TITLE III

PROGRAMMING

CHAPTER I

General provisions on the CSF Funds

Article 23

Preparation of programmes

• 1. 

  The CSF Funds shall be implemented through programmes in accordance with the Partnership

Agreement. Each programme shall cover the period from 1 January 2014 to 31 December

2020.

• 2. 

  Programmes shall be drawn up by Member States or any authority designated by them, in

cooperation with the partners referred to in Article 5.

Article 24

Content of programmes

• 1. 

  Each programme shall set out a strategy for the programme's contribution to the Union

strategy for smart, sustainable and inclusive growth consistent with the Common Strategic

Framework and Partnership Agreement. Each programme shall include the arrangements to

ensure effective, efficient and coordinated implementation of the CSF Funds and actions to

achieve a reduction of administrative burden for beneficiaries.

• 2. 

  Each programme shall define priorities setting out specific objectives, financial appropriations

of support from the CSF Funds and corresponding national co-financing.

• 3. 

  Each priority shall set out indicators to assess progress of programme implementation towards

achievement of objectives as the basis for monitoring, evaluation and review of performance.

These shall include:

(a) financial indicators relating to expenditure allocated;

(b) output indicators relating to the operations supported;

(c) result indicators relating to the priority.

• 5. 

  Each programme, except those where technical assistance is undertaken under a specific

programme, shall set out the indicative amount of support to be used for climate change

objectives.

• 6. 

  Member States shall draft the programme in accordance with the Fund-specific rules.

Article 25

The procedure for adoption of programmes

• 1. 

  The Commission shall assess the consistency of programmes with this Regulation, the Fund-

specific rules, their effective contribution to the selected thematic objectives and the Union

priorities specific to each CSF Fund, the Common Strategic Framework, and the Partnership

Agreement, [...] [relevant country specific recommendations under Article 121(2) of the

Treaty and [...] relevant Council recommendations adopted under 148(4) of the Treaty,]

taking account of the ex ante evaluation. The assessment shall address, in particular, the

adequacy of the programme strategy, the corresponding objectives, indicators, targets and the

allocation of budgetary resources.

• 2. 

  The Commission shall make observations within three months of the date of submission of

the programme. The Member State shall provide to the Commission all necessary additional

information and, where appropriate, revise the proposed programme.

Article 26

Amendment of programmes

• 1. 

  Requests for amendment of programmes submitted by a Member State shall be duly

substantiated and shall in particular set out the expected impact of the changes to the

programme on achieving the Union strategy for smart, sustainable and inclusive growth and

the specific objectives defined in the programme, taking account of the Common Strategic

Framework and the Partnership Agreement. They shall be accompanied by the revised

programme [...].

[...]

• 2. 

  The Commission shall assess the information provided in accordance with paragraph 1, taking

account of the justification provided by the Member State. The Commission may make

observations within one month following the formal submission of the revised

programme and the Member State shall provide to the Commission all necessary additional

information. In accordance with Fund-specific rules, the Commission shall approve requests

for amendment of a programme as soon as possible but no later than three months after their

formal submission by the Member State provided that any observations made by the

Commission have been adequately taken into account. [...]. -

TITLE II

PROGRAMMING

CHAPTER I

General provisions on the Funds

Article 87

Content, adoption and amendment of operational programmes under the Investment for

growth and jobs goal

• 1. 

  An operational programme shall consist of priority axes. A priority axis shall concern one

Fund and one category of region, except for the Cohesion Fund, and shall correspond,

without prejudice to Article 52, to a thematic objective and comprise one or more investment

priorities of that thematic objective, in accordance with the Fund-specific rules. In duly

justified circumstances, a priority axis may where necessary to increase impact and

effectiveness in a thematically coherent integrated approach to pursuing the objectives

and targets of the Union strategy for smart, sustainable and inclusive growth:

• 2. 

  An operational programme shall set out:

(a) a justification of the choice of thematic objectives, corresponding investment

priorities and financial allocations having regard to the Partnership Agreement,

based on an identification of regional and, where appropriate, national needs

[including the needs addressing the challenges identified in [...] relevant country-

specific recommendations and [...] broad guidelines of the economic policies of the

Member States and of the Union under Article 121(2) and [...] relevant Council

recommendations which the Member States shall take into account in their

employment policies adopted under Article 148(4) of the Treaty] taking into account

the ex ante evaluation.

(i) [...];

(ii) [...];

(b) for each priority axis other than technical assistance:

(i) the investment priorities and corresponding specific objectives;

(ii) in order to strenghten the result-orientation of the programming, the

(iv) the common and specific output indicators, including the quantified target

value, which are expected to contribute to the results, in accordance with

Fund-specific rules, for each investment priority;

(v) identification of implementation steps and financial and output indicators to

act as milestones and targets for the performance framework in accordance

with Article 19(1) and annex I; -

(vi) the corresponding categories of intervention based on a nomenclature adopted by

the Commission by means of implementing acts in accordance with the

examination procedure referred to Article 143(3), and an indicative breakdown of

the programmed resources;

(vii) where appropriate, a summary of the planned use of technical assistance

including actions to reinforce the administrative capacity of authorities and

beneficiaries;

(c) [...]:

(i) [...];

(ii) [...];

(d) [...];

(e) [...]:

(i) [...];

(ii) [...];

(iii) [...];

(f) [...]:

(i) [...];

(ii) [...];

(iii) [...];

(c) For each priority axis concerning technical assistance:

(i) specific objectives;

(ii) the expected results for each specific objective, and, where objectively

(v) the corresponding categories of intervention based on a nomenclature

adopted by the Commission by means of implementing acts in accordance

with the examination procedure referred to Article 143(3), and an indicative

breakdown of the programmed resources;

Point (ii) shall not apply where the Union contribution to the priority axis or axes

concerning technical assistence in an operational programme does not exceed EUR

15.000.000.

(d) a financing plan containing two tables:

(i) a table specifying for each year, in accordance with Articles 53, 110 and 111, the

amount of the total financial appropriation envisaged for the support from each of

the Funds;

(ii) a table specifying, for the whole programming period, for the operational

programme and for each priority axis, the amount of the total financial

appropriation of the support from each of the Funds and the national co-financing.

For priority axes, which concern several categories of region, the table shall

specify the amount of total financial appropriation from the Funds and the

national co-financing for each category of region.

(e) A list of major projects for which the implementation is planned during the

programming period;

(h) [...]:

(i) [...];

(ii) [...].

• 3. 

  The Operational Programme shall describe, taking into account its content and

objectives, the integrated approach to territorial development, having regard to the

Partnership Agreement, and showing how it contributes to the accomplishment of the

programme objectives and expected results, specifying, where appropriate, the

following: -

(i) [...];

(ii) [...];

(iii) [...].

[...].

(c) the approach to the use of the Integrated Territorial Investment instrument [other

than in cases covered by b)], and their indicative financial allocation from each

priority axis;

(d) the arrangements for interregional and transnational actions with beneficiaries

located in at least one other Member State;

(e) the contribution of the planned interventions to macro-regional strategies and sea-

basin strategies subject to the needs of the programme area as identified by the

Member State.

• 4. 

  In addition, the Operational Programme may, where appropriate, specify the following:

[...].

(a) the identification of whether and how it addresses the specific needs of

geographical areas most affected by poverty or target groups at highest risk of

discrimination or exclusion, with special regard to marginalised communities,

where relevant the contribution to the integrated approach set out in the

Partnership Agreement to this end;

• 5. 

  The Operational Programme shall identify:

6. The Operational Programme shall also set out the following, having regard to the

content of the Partnership Agreement and taking into account the Institutional

Framework of the Member States:

(a) the mechanisms that ensure coordination between the Funds, the EAFRD, the

EMFF and other Union and national funding instruments, and with the EIB;

(b) for each ex ante conditionality, established in accordance with Article 17 and

Annex IV, that is not fulfilled at the date of submission of the Partnership

Agreement and operational programme, a description of the actions to fulfil the ex

ante conditionality, the responsible bodies and a timetable for such actions where

applicable in accordance with the summary submitted in the Partnership

Agreement;

(c) a summary of the assessment of the administrative burden for beneficiaries and -

the actions planned to achieve a reduction;

7. Each operational programme, except those where technical assistance is undertaken

under a specific operational programme, shall, subject to the Member State's

assessment of their relevance to the content and objectives of the programmes, include:

(a) a description of specific actions to take into account environmental protection

(b) a description of the specific actions to promote equal opportunities and prevent

any discrimination based on sex, racial or ethnic origin, religion or belief,

disability, age or sexual orientation during the preparation, design and

implementation of the operational programme and in particular in relation to

access to funding, taking account of the needs of the various target groups at risk

of such discrimination and in particular the requirements of ensuring accessibility

for disabled persons;

(c) a description of its contribution to the promotion of equality between men and

women and, where appropriate, the arrangements to ensure the integration of

gender perspective at operational programme and operation level.

Member States may submit an opinion of the national equality bodies on the measures

set out in points (b) and (c) with the proposal for an operational programme under the

Investment for growth and jobs goal.

8. When a Member State prepares a maximum of one operational programme for each

Fund, the elements of the operational programme falling under paragraphs 2(a), 3(a),

(c) and (d), 4, and 6 of this Article may be incorporated solely under the relevant

provisions of the Partnership Agreement.

9. The operational programme shall be prepared according to the model, which shall be

• 11. 

  Any decision amending the elements of the operational programme not covered by the

Commission decision pursuant to paragraph 10 shall be notified by the managing

authority to the Commission within one month of the date of the decision. The decision

shall specify the date of its entry into force, which shall not be earlier than the date of its

adoption.

CHAPTER III

Joint action plan

Article 93

Scope

• 1. 

  A joint action plan is an operation defined and managed in relation to the outputs and

results which it will achieve. It comprises a project or a group of projects, not consisting

in the provision of infrastructure, carried out under the responsibility of the beneficiary, as

part of an operational programme or programmes. The outputs and results of a joint action

plan shall be agreed between the Member State and the Commission and shall contribute to

specific objectives of the operational programmes and form the basis of support from the

Funds. Results shall refer to direct effects of the joint action plan. The beneficiary shall be

a public law body. Joint action plans shall not be considered as major projects.

• 2. 

  The public support allocated to a joint action plan shall be a minimum of EUR 10 000 000

or 20 % of the public support of the operational programme or programmes, whichever is

lower. The public support allocated to one joint action plan per Member State may be

a minimum of EUR 5 000 000.

• 2. 

  A joint action plan shall cover part of the period between 1 January 2014 and 31 December

2022. The outputs and results of a joint action plan shall give rise to reimbursement only if

attained after the date of the decision of approval of the joint action plan and before the end of

the implementation period defined.

Article 95

Content of joint action plans

The joint action plan shall contain:

(1) an analysis of the development needs and objectives justifying the joint action plan, taking

into account the objectives of the operational programmes and, where applicable, the country-

specific recommendations and the broad guidelines of the economic policies of the Member

States and of the Union under Article 121(2) and the Council recommendations which the

Member States shall take into account in their employment policies under Article 148(4) of

the Treaty;

(2) the framework describing the relationship between the general and specific objectives of the

joint action plan, the milestones and the targets for outputs and results, and the projects or

types of projects envisaged;

(3) the common and specific indicators used to monitor outputs and results, where relevant, by

(7) an analysis of the effects of the joint action plan on the promotion of sustainable development,

where appropriate;

(8) the implementing provisions for the joint action plan, including the following:

• a) 

  the designation of the beneficiary responsible for the implementation of the joint action

plan, providing guarantees of its competence in the domain concerned as well as its

administrative and financial management capacity;

• b) 

  the arrangements for steering the joint action plan, in accordance with Article 97;
• c) 

  the arrangements for monitoring and evaluating the joint action plan including

arrangements ensuring the quality, collection and storage of data on the achievement of

milestones, outputs and results;

• d) 

  the arrangements ensuring the dissemination of information and communication on the

joint action plan and on the Funds;

(9) the financial arrangements of the joint action plan, including the following:

• a) 

  the costs of achieving milestones, outputs and result targets with reference to point (2),

based on the methods set out in Article 57(4) and in Article 14 of the ESF Regulation;

The format for the joint action plan shall be set up in accordance with 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).

Article 96

Decision on the joint action plan

• 1. 

  The Commission shall appraise the joint action plan on the basis of the information referred to

in Article 95 in order to determine whether support from the Funds is justified.

Where the Commission, within two months following the submission of a joint action plan

proposal, considers that it does not meet the appraisal requirements, it shall make

observations to the Member State. The Member State shall provide to the Commission all

necessary additional information requested and, where appropriate, revise the joint action plan

accordingly.

• 2. 

  Provided that any observations have been adequately taken into account, the Commission

shall adopt a decision, by means of an implementing act, approving the joint action plan no

later than 3 months after its submission by the Member State but not before the adoption of

the operational programmes concerned.

• 3. 

  The decision referred to in paragraph 2 shall indicate the beneficiary and the objectives of the
• 4. 

  Where the Commission refuses, by means of an implementing act, to allow support from the

Funds to be given to a joint action plan, it shall notify the Member State of its reasons within

the period laid down in paragraph 2.

Article 97

Steering Committee and amendment of the joint action plan

• 1. 

  The Member State or the managing authority shall set up a steering committee for the joint

action plan, distinct from the monitoring committee of the operational programmes. The

steering committee shall meet at least twice a year.

Its composition shall be decided by the Member State in agreement with the managing

authority, respecting the principle of partnership.

The Commission may participate in the work of the steering committee in an advisory

capacity.

• 2. 

  The steering committee shall carry out the following activities:
• a) 

  review progress towards achieving the milestones, outputs and results of the joint action

plan;

• b) 

  consider and approve any proposal to amend the joint action plan in order to take

State, provided that any observations made by the Commission have been satisfactorily taken

into account. The amendment shall enter into force from the date of the decision, unless

otherwise set out in the decision.

Article 98

Financial management and control of the joint action plan

• 1. 

  Payments to the beneficiary of a joint action plan shall be treated as lump sums or standard

scales of unit costs. The ceiling for lump sums set out in Article 57(1)(c) shall not apply.

• 2. 

  The financial management, control and audit of the joint action plan shall aim exclusively at

verifying that the conditions for payments defined in the decision approving the joint action

plan have been fulfilled.

• 3. 

  The beneficiary and bodies acting under its responsibility may apply their accounting

practices for the costs of implementing operations. These accounting practices and the costs

actually incurred by the beneficiary shall not be subject to audit by the audit authority or the

Commission.

Programming ESF

Chapter II

Specific provisions for programming and implementation

Article 6

Involvement of partners

• 1. 

  The involvement of the social partners and other stakeholders, in particular non-governmental

organisations, in the implementation of operational programmes, as referred to in Article 5 of

Regulation (EU) No [...], may take the form of global grants as defined in Article 113(7) of

Regulation (EU) No [...]. In such a case, the operational programme shall identify the part of

the programme concerned by the global grant, including an indicative financial allocation

from each priority axis to it.

• 2. 

  To encourage adequate participation of the social partners in actions supported by the ESF,

managing authorities of an operational programme in a region as defined in Article 82(2)(a)

of Regulation (EU) No [...] or in Member States eligible for Cohesion Fund support may

ensure that an appropriate amount of ESF resources is allocated to capacity-building

Article 7

Promotion of equality between men and women

The Member States and the Commission shall promote equality between men and women through

mainstreaming as referred to in Article 7 of Regulation (EU) No [...] and specific targeted actions

as referred to in Article 3(1)(a)(iv), in particular with the aim of increasing the sustainable

participation and progress of women in employment, reducing gender-based segregation in the

labour market, combating gender stereotypes in education and training and promoting reconciliation

of work and personal life for men and women.

Article 8

Promotion of equal opportunities and non-discrimination

The Member States and the Commission shall promote equal opportunities for all, including

accessibility for disabled persons through mainstreaming the principle of non-discrimination, as

referred to in Article 7 of Regulation (EU) No [...]. They may also be promoted through specific

actions within the investment priorities as defined in Article 3, and in particular Article 3(1)(c)(iii).

Such actions shall target people at risk of discrimination and people with disabilities, with a view to

increasing their labour market participation, enhancing their social inclusion, reducing inequalities

in terms of educational attainment and health status and facilitating the transition from institutional

to community-based care.

• 3. 

  The Commission shall facilitate capacity building for social innovation, in particular through

supporting mutual learning, establishing networks, and disseminating good practices and

methodologies.

Article 10

Transnational cooperation

• 1. 

  Member States may support transnational cooperation with the aim of promoting mutual

learning and thereby increasing the effectiveness of policies supported by the ESF.

Transnational cooperation shall involve partners from at least two Member States.

• 2. 

  Member States may select themes for transnational co-operation from a list proposed by the

Commission and endorsed by the ESF Committee.

• 3. 

  The Commission shall facilitate transnational cooperation on the themes referred to in

paragraph 2 through mutual learning and coordinated or joint action. In particular, the

Commission shall operate an EU-level platform to facilitate the exchange of experience,

capacity building and networking, as well as dissemination of the relevant outcomes. In

addition, the Commission shall develop a coordinated implementation framework, including

common eligibility criteria, types and timing of actions, and common methodological

approaches for monitoring and evaluation, with a view to facilitating transnational

cooperation.

• 2. 

  By way of derogation from Article 110(3) of Regulation (EU) No [...], the maximum co-

financing rate for a priority axis shall be increased by ten percentage points, but not exceeding

100%, where the whole of a priority axis is dedicated to social innovation or to transnational

cooperation, or a combination of both.

• 3. 

  In addition to the provision made in Article 87(3) of Regulation (EU) No [...], operational

programmes shall also set out the contribution of planned ESF-supported actions:

(a) to the thematic objectives listed under Article 9(1) to (7) of Regulation (EU) No [...] by

priority axis, as appropriate;

(b) to social innovation and transnational cooperation, as referred to in Articles 9 and 10,

where they are not covered by a dedicated priority axis.

Programming ETC

CHAPTER III

PROGRAMMING

Article 7

Content of cooperation programmes

• 1. 

  A cooperation programme shall consist of priority axes. A priority axis shall concern one

Fund, shall correspond to a thematic objective and comprise one or more investment priorities

of that thematic objective in line with Articles 5 and 6 of this Regulation. In duly justified

circumstances, a priority axis may combine one or more complementary investment

priorities from different thematic objectives where necessary to increase impact and

effectiveness in a thematically coherent integrated approach to pursuing the objectives

of the Union strategy for smart, sustainable and inclusive growth.

• 2. 

  A cooperation programme shall set out:

(b) for each priority axis:

(i) the investment priorities and corresponding specific objectives;

(ii) in order to strengthen the result-orientation of the programming, the

expected results for each specific objective, and the corresponding result

indicators, with a baseline value and a target value, in accordance with

Article 15;

(iii) a description of the type and examples of actions to be supported under each

investment priority and their expected contribution to the specific objectives

referred to in point (i), including the guiding principles for the selection of

operations and, where appropriate, the identification of the main target groups,

specific territories targeted and types of beneficiaries and the planned use of

financial instruments;

(iv) the common and specific output indicators, including the quantified target

value, which are expected to contribute to the results, in accordance with

Article 15, for each investment priority;

(v) identification of implementation steps and financial and output indicators to

act as milestones and targets for the performance framework in accordance

with Article 19(1) of Regulation (EU) No./2012 [CPR];

(c) subject to their relevance for the content and objectives of the cooperation

programme, the contribution to the integrated strategy for territorial development set

out in the partnership agreement of the participating Member States including;

(i) the mechanisms that ensure coordination between the Funds, the EAFRD, the

EMFF and other Union and national funding instruments, including ENI, EDF,

and IPA, and with the European Investment Bank (EIB);

(ii) [...] a planned integrated approach to the territorial development of urban, rural,

coastal areas and areas with particular territorial features, in particular the

implementation arrangements for Articles 28 and 29 of Regulation (EU) No./2012

[CPR];

(iii) [the principles for identifying the [...] cities where integrated actions for

sustainable urban development will be implemented; the indicative annual

allocation of the ERDF support for these actions, including the resources

delegated to cities for management under Article 7(2) of Regulation (EU)

No./2012 [ERDF]];

(iv) the approach to the use of community-led local development instruments and

the principles for identifying the areas where it will be implemented;

(v) [...] the contribution of the planned interventions towards macro regional

strategies and sea basin strategies subject to the needs of the programme area

(e) arrangements to ensure the efficient implementation of the funds including:

(i) [...]

(ii) a summary of the assessment of the administrative burden for beneficiaries and

the actions planned to achieve a reduction [...];

(iii) a list of major projects for which the implementation is planned during the

programming period;

(f) a financing plan containing two tables (without any division per participating Member

State):

(i) a table specifying for each year, in accordance with Articles 53, 110 and 111 of

Regulation (EU) No./2012 [CPR], the amount of the total financial appropriation

envisaged for the support from the ERDF;

(ii) a table specifying, for the whole programming period, for the cooperation

programme and for each priority axis, the amount of the total financial

appropriation of the support from the ERDF and the national co-financing. For

priority axes, which combine investment priorities from different thematic

objectives, the table shall specify the amount of total financial appropriation

and the national co-financing for each of the corresponding thematic

objectives. Where the national co-financing is made up of public and private co-

(iii) the body or bodies designated to be responsible for carrying out audit tasks;

(iv) the procedure for setting up the joint secretariat;

(v) a summary description of the management and control arrangements;

(vi) the apportionment of liabilities among the participating Member States in case of

financial corrections imposed by the managing authority or the Commission.

Information required under points (a) to (d) shall be adapted to the specific character of

cooperation programmes under Article 2(3)(b), (c) and (d) of this Regulation.

Information required under point (e)(ii) and (iii) shall not be included in cooperation

programmes under Article 2(3)(b), (c) and (d) of this Regulation.

• 3. 

  Each cooperation programme shall subject to the relevant Member States' assessment of

their relevance to the content and objectives of the programme include:

(i) a description of specific actions to take into account environmental protection

requirements, resource efficiency, climate change mitigation and adaptation, and risk

prevention and risk management in the selection of operations;

(ii) a description of the specific actions to promote equal opportunities and prevent any

discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or

sexual orientation during the preparation, design and implementation of the cooperation

The first and second subparagraph shall not apply to cooperation programmes under Article

2(3)(b), (c) and (d).

• 4. 

  Cooperation programmes under Article 2(3)(c) and (d) shall define the beneficiary or

beneficiaries for such a cooperation programme and may specify the granting procedure.

• 5. 

  The participating Member States and, when they have accepted the invitation to

participate in the cooperation programme, third countries or territories, where applicable,

shall confirm in writing their agreement to the contents of a cooperation programme prior to

its submission to the Commission. This agreement shall also include a commitment of all

participating Member States and, where applicable third countries and territories, to

provide the co-financing necessary to implement the cooperation programme.

• 6. 

  The participating Member States and, when they have accepted the invitation to

participate in the cooperation programme, third countries or territories shall draft the

cooperation programmes according to the model adopted by the Commission. By derogation

from paragraph 5, in the case of cooperation programmes involving Outermost Regions

and third countries, the Member States concerned shall consult the respective third

countries before submitting the programmes to the Commission. In this case, the

agreements to the contents of the cooperation programmes and the possible contribution

• 8. 

  The Commission shall adopt a decision, by means of implementing acts, approving all

elements (including any of its future amendments) falling under this article except those

falling under paragraph (2)(b)(vii), (c)(i), (d)(ii), (e)(i) (ii), (g)(i) and (3) of this Article,

which remain under the responsibility of the participating Member States.

• 9. 

  Any decision amending the elements of the operational programme not covered by the

Commission decision pursuant to paragraph 8 shall be notified by the managing

authority to the Commission within one month of the date of the decision. The decision

shall specify the date of its entry into force, which shall not be earlier than the date of its

adoption.

Article 8

Joint Action Plan

Where a joint action plan referred to in Article 93(1) of Regulation (EU) No./2012 [CPR] is carried

out under the responsibility of an EGTC as beneficiary, staff of the joint secretariat of the

cooperation programme and members of the Assembly of the EGTC may become members of the

steering committee referred to in Article 97(1) of Regulation (EU) No./2012 [CPR]. The members

of the Assembly of the EGTC shall not form the majority within that steering committee.

____________________