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Commission Implementing Regulation (EU) No 897/2014 of 18 August 2014 laying down specific provisions for the implementation of cross-border cooperation programmes financed under Regulation (EU) No 232/2014 of the European Parliament and the Council establishing a European Neighbourhood Instrument

EU Regulation No 897/2014 · Adopted 18 August 2014 · Extends to United Kingdom

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Commission Implementing Regulation (EU) No 897/2014

of 18 August 2014

laying down specific provisions for the implementation of cross-border cooperation programmes financed under Regulation (EU) No 232/2014 of the European Parliament and the Council establishing a European Neighbourhood Instrument

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 291 thereof,

Having regard to Regulation (EU) No 232/2014 of the European Parliament and of the Council of 11 March 2014 establishing a European Neighbourhood Instrumentf1, and in particular Article 12 thereof,

Having regard to the Regulation (EU) No 236/2014 of the European Parliament and of the Council of 11 March 2014 laying down common rules and procedures for the implementation of the Union's instruments for financing external actionf2, and in particular Article 6(2) thereof,

Whereas:

(1)

One of the strands of Regulation (EU) No 232/2014 involves cooperation between on the one hand one or more Member States of the European Union and, on the other hand, one or more partner countries as defined in its Annex I and/or the Russian Federation taking place along their shared part of the external border of the Union with a view to enhance cross-border cooperation (‘CBC’).

(2)

Regulation (EU) No 236/2014 lays down rules for implementation of assistance which are common to all instruments for external action.

(3)

Regulation (EU) No 232/2014 stipulates that implementing rules laying down specific provisions for the implementation of cross-border cooperation programmes shall be adopted. Those rules shall include provisions on, inter alia, the rate and methods of co-financing; the content, preparation, modification and closure of joint operational programmes; the role and function of the programme structures, including their standing, effective identification, accountability and responsibility, description of management and control systems, and conditions on the technical and financial management of Union support; recovery procedures in all participating countries; monitoring and evaluation; visibility and information activities; shared and indirect management.

(4)

The programming document provided for in Article 9(1) of Regulation (EU) No 232/2014 establishes the strategic objectives to be pursued by cross-border cooperation and the thematic objectives and expected indicative results of that cooperation and contains the list of joint operational programmes to be established.

(5)

Cross-border cooperation should be implemented through multi-annual joint operational programmes covering cooperation for a border or a group of borders and comprising multi-annual priorities that pursue a consistent set of thematic objectives and that may be implemented with the Union support.

(6)

It is necessary to draw up implementing rules which lay down detailed provisions for the implementation of cross-border cooperation programmes financed under Regulation (EU) No 232/2014, while allowing participating countries a certain amount of flexibility as to the detailed arrangements regarding organisation and implementation of specific programmes taking account of the particular features of each programme. On the basis of this principle and in accordance with this Regulation, the participating countries should jointly submit proposals for joint operational programmes to the Commission for adoption in accordance with Article 10(4) of Regulation (EU) No 232/2014.

(7)

Taking into account that all participating countries are to be involved in the decision-making structures of the programme while implementation tasks are usually entrusted to a managing authority based in a Member State, there is a need for rules governing the organisational structure covering the functions of managing authority and the division of functions between and within each body being part of the programme structures.

(8)

Based on lessons learnt from the 2007-2013 programming period, the Commission will not automatically bear the final responsibility for recoveries in partner countries. Therefore new provisions have been set out in the implementing rules giving more responsibilities to the participating countries in terms of management, control and audit. The programmes will have to define their own management and control systems based on these rules. The partner countries will have to assist the managing authorities in the implementation of the programmes by setting up national authorities, control contact points and group of auditors.

(9)

In accordance with Article 10(8) of Regulation (EU) No 232/2014 where necessary, agreements shall be signed between the participating countries and the managing authority to set out provisions not included in the financing agreements signed with partner countries or the Russian Federation.

(10)

Based on lessons learnt from the 2007-2013 programming period, grant award procedures and rules developed by the Commission for external actions will not anymore be compulsory. The programmes should be allowed to apply procedures developed by the participating countries provided certain standards set out in this Regulation are met.

(11)

In accordance with Article 7(7) of Regulation (EU) No 232/2014 funding under this Regulation can be pooled with funding under other relevant Union Regulations. This will allow a transfer of funding from Regulation (EU) No 232/2014 to programmes financed under Regulation (EU) No 1299/2013 of the European Parliament and of the Councilf3. The equivalent rule exists in Regulation (EU) No 231/2014 of the European Parliament and of the Councilf4 for funding to be transferred to Regulation (EU) No 232/2014 to cover the participation of the latter's beneficiaries in the cross-border cooperation programmes subject to this Regulation. These new rules will simplify the management procedures for these countries' participation in the programmes.

(12)

Since programmes are usually to be implemented through shared management, management and control systems should be in line with Union rules, in particular Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Councilf5 and Commission Delegated Regulation (EU) No 1268/2012f6, as well as with Council Regulation (EC, Euratom) No 2988/95f7. The Commission should ensure that Union funds are used in accordance with the applicable rules during the implementation of the programmes.

(13)

These measures are in line with the opinion of the Committee established by Regulation (EU) No 232/2014.

(14)

In order to allow for timely programming and implementation of programmes, this Regulation should enter into force on the third day following its publication in the Official Journal of the European Union,

HAS ADOPTED THIS REGULATION:

Annotations to the whole text

Footnotes

f1

OJ L 77, 15.3.2014, p. 27.

f2

OJ L 77, 15.3.2014, p. 95.

f3

Regulation (EU) No 1299/2013 of the European Parliament and of the Council of 17 December 2013 on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal (OJ L 347, 20.12.2013, p. 259).

f4

Regulation (EU) of the European Parliament and of the Council No 231/2014 of 11 March 2014, establishing an Instrument for Pre-Accession Assistance (IPA II) (OJ L 77, 15.3.2014, p. 11).

f5

Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1).

f6

Commission Delegated Regulation (EU) No 1268/2012 of 29 October 2012 on the rules of application of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council on the financial rules applicable to the general budget of the Union (OJ L 362, 31.12.2012, p. 1).

f7

Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).

Contents

  1. Part ONE: SUBJECT MATTER AND DEFINITIONS
  2. 1Subject matter
  3. 2Definitions
  4. Part TWO: COMMON PROVISIONS
  5. Title I: GENERAL FRAMEWORK FOR IMPLEMENTATION
  6. Chapter 1: Programmes
  7. 3Preparation
  8. 4Content
  9. 5Adoption
  10. 6Adjustments and revision
  11. 7Use of Languages
  12. Chapter 2: Financing Agreements
  13. 8Financing agreements with CBC partner countries
  14. 9Financing agreements with CBC partner countries providing co-financing
  15. Chapter 3: Other agreements or Memoranda of Understanding
  16. 10Content
  17. Chapter 4: Implementation
  18. 11Methods of implementation
  19. Title II: CO-FINANCING
  20. 12Co-financing rate
  21. 13Co-financing sources
  22. 14Contributions in kind
  23. Title III: PERIOD OF EXECUTION
  24. 15Period of execution
  25. 16Starting phase of the programme
  26. 17Discontinuation of the programme
  27. 18Projects
  28. 19Closure of the programme
  29. Title IV: PROGRAMME STRUCTURES
  30. 20Appointment of authorities and management bodies
  31. Chapter 1: Joint Monitoring Committee
  32. 21Joint Monitoring Committee
  33. 22Composition of the Joint Monitoring Committee
  34. 23Functioning
  35. 24Functions of the Joint Monitoring Committee
  36. Chapter 2: Managing Authority
  37. 25Designation
  38. 26Functions of the Managing Authority
  39. 27Joint Technical Secretariat and branch offices
  40. Chapter 3: Audit Authority
  41. 28Functions of the Audit Authority
  42. 29Cooperation with the Audit Authority
  43. Title V: MANAGEMENT AND CONTROL SYSTEMS
  44. 30General principles of management and control systems
  45. 31National authorities and responsibilities of participating countries
  46. 32Audit and control Structures
  47. 33Controls by the Union
  48. Title VI: TECHNICAL ASSISTANCE
  49. 34Technical Assistance budget
  50. 35Purpose
  51. 36Eligibility
  52. 37Procurement rules
  53. Title VII: PROJECTS
  54. Chapter 1: General Provisions
  55. 38Nature of support
  56. 39Conditions for financing
  57. 40Calls for proposals
  58. 41Direct award
  59. 42Contributions to financial instruments
  60. 43Content of projects
  61. 44Publication of list of projects
  62. Chapter 2: Beneficiaries
  63. 45Participation in projects
  64. 46Beneficiaries' obligations
  65. Chapter 3: Eligibility of expenditure
  66. 47Forms of grants
  67. 48Eligibility of costs
  68. 49Non-eligible costs
  69. 50Lump sums, unit costs and flat-rate financing
  70. 51Indirect costs
  71. Chapter 4
  72. Procurement
  73. 52Applicable rules
  74. 53Procurement procedures for service contracts
  75. 54Procurement procedures for supply contracts
  76. 55Procurement procedures for works contracts
  77. 56Use of Negotiated Procedure
  78. Financial support to third parties
  79. 57Financial support to third parties
  80. Title VIII: PAYMENTS, PRESENTATION AND ACCEPTANCE OF ACCOUNTS, FINANCIAL CORRECTIONS AND RECOVERIES
  81. Chapter 1: Payments
  82. 58Annual commitments
  83. 59Common rules for payments
  84. 60Common rules for calculating prefinancing
  85. 61Interruption of the payment deadline
  86. 62Suspension of payments
  87. 63Payment to lead beneficiaries
  88. 64Payment of the final balance
  89. 65Exception to the de-commitment
  90. 66De-commitment procedure
  91. 67Use of the euro
  92. Chapter 2: Presentation and acceptance of accounts
  93. 68Presentation of accounts
  94. 69Acceptance of accounts
  95. 70Period for record-keeping
  96. Chapter 3: Financial corrections and Recoveries
  97. Financial Corrections
  98. 71Financial corrections by the Managing Authority
  99. 72Financial corrections by the Commission
  100. 73Procedure
  101. Recoveries
  102. 74Financial responsibilities and Recoveries
  103. 75Repayment to the Managing Authority
  104. 76Repayment to the Commission
  105. Title IX: REPORTING, MONITORING AND EVALUATION
  106. 77Annual reports of the Managing Authority
  107. 78Monitoring and Evaluation
  108. Title X: VISIBILITY
  109. 79Visibility
  110. Part THREE: SPECIAL PROVISIONS
  111. Title I: INDIRECT MANAGEMENT WITH INTERNATIONAL ORGANISATIONS
  112. 80International organisations as Managing Authority
  113. 81Rules applicable to programmes managed by an international organisation
  114. Title II: INDIRECT MANAGEMENT WITH A CBC PARTNER COUNTRY
  115. 82CBC partner countries as Managing Authority
  116. Part FOUR: FINAL PROVISIONS
  117. 83Transitional provisions
  118. 84Entry into force
  119. Signature
  120. Annex Designation Criteria for the Managing Authority
  121. 1Internal control environment
  122. 2Risk management
  123. 3Management and control activities
  124. 4Information and communication
  125. 5Monitoring