Regulation (EU) No 1303/2013 of the European Parliament and of the CouncilShow full title

Regulation (EU) No 1303/2013 of the European Parliament and of the Councilof 17 December 2013laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006

  1. Introductory Text

  2. PART ONE SUBJECT-MATTER AND DEFINITIONS

    1. Article 1.Subject-matter

    2. Article 2.Definitions

    3. Article 3.Calculation of time limits for Commission decisions

  3. PART TWO COMMON PROVISIONS APPLICABLE TO SUPPORT FOR RURAL DEVELOPMENT

    1. TITLE I PRINCIPLES OF SUPPORT FOR RURAL DEVELOPMENT

      1. Article 4.General principles

      2. Article 5.Partnership and multi-level governance

      3. Article 6.Compliance with the law as it applies in the constituent nation

      4. Article 7.Promotion of equality between men and women and non-discrimination

      5. Article 8.Sustainable development

    2. TITLE II STRATEGIC APPROACH

      1. CHAPTER I Thematic objectives for the ESI Funds and Common Strategic Framework

        1. Article 9.Thematic objectives

        2. Article 10.Common Strategic Framework

        3. Article 11.Content

        4. Article 12.Review

        5. Article 13.Guidance for beneficiaries

      2. CHAPTER II Partnership Agreement

        1. Article 14.Preparation of the Partnership Agreement

        2. Article 15.Content of the Partnership Agreement

        3. Article 16.Adoption and amendment of the Partnership Agreement

        4. Article 17.Adoption of the revised Partnership Agreement in the event of delay in the entry into force of a Fund-specific Regulation

      3. CHAPTER III Thematic concentration, ex ante conditionalities and performance review

        1. Article 18.Thematic concentration

        2. Article 19.Ex ante conditionalities

        3. Article 20.Performance reserve

        4. Article 21.Performance review

        5. Article 22.Application of the performance framework

      4. CHAPTER IV Measures linked to sound economic governance

        1. Article 23.Measures linking effectiveness of ESI Funds to sound economic governance

        2. Article 24.Increase in payments for Member State with temporary budgetary difficulties

        3. Article 25.Management of technical assistance for Member States

      5. CHAPTER V Exceptional measures for the use of the ESI Funds in response to the COVID-19 outbreak

        1. Article 25a.Exceptional measures for the use of the ESI Funds in response to the COVID-19 outbreak

    3. TITLE III PROGRAMMING

      1. CHAPTER I General provisions on the ESI Funds

        1. Article 26.Preparation of programmes

        2. Article 27.Content of programmes

        3. Article 28.Specific provisions on the content of programmes dedicated to joint instruments for uncapped guarantees and securitisation providing capital relief implemented by the EIB

        4. Article 29.Procedure for the adoption of programmes

        5. Article 30.Amendment of programmes

        6. Article 31.Participation of the EIB

      2. CHAPTER II Community-led local development

        1. Article 32.Community-led local development

        2. Article 33.Community-led local development strategies

        3. Article 34.Local action groups

        4. Article 35.Support ... for community-led local development

      3. CHAPTER ΙΙΙ Territorial development

        1. Article 36.Integrated territorial investment

    4. TITLE IV FINANCIAL INSTRUMENTS

      1. Article 37.Financial instruments

      2. Article 38.Implementation of financial instruments

      3. Article 39.Contribution of ERDF and EAFRD to joint uncapped guarantee and securitisation financial instruments in favour of SMEs, implemented by the EIB

      4. Article 39a.Contribution of ESI Funds to financial instruments combining such contribution with EIB financial products under the European Fund for Strategic Investments

      5. Article 40.Management and control of financial instruments

      6. Article 41.Payment applications including expenditure for financial instruments

      7. Article 42.Eligible expenditure at closure

      8. Article 43.Interest and other gains generated by support for rural development to financial instruments

      9. Article 43a.Differentiated treatment of investors

      10. Article 44.Re-use of resources attributable to the support for rural development

      11. Article 45.Re-use of resources after the end of the eligibility period

      12. Article 46.Report on implementation of financial instruments

    5. TITLE V MONITORING AND EVALUATION

      1. CHAPTER I Monitoring

        1. Section I Monitoring of programmes

          1. Article 47.Monitoring committee

          2. Article 48.Composition of the monitoring committee

          3. Article 49.Functions of the monitoring committee

          4. Article 50.Implementation reports

          5. Article 51.Annual review meeting

        2. Section II Strategic progress

          1. Article 52.Progress report

          2. Article 53.Reporting by the Commission and debate on the ESI Funds

      2. CHAPTER II Evaluation

        1. Article 54.General Provisions

        2. Article 55.Ex ante evaluation

        3. Article 56.Evaluation during the programming period

        4. Article 57.Ex post evaluation

    6. TITLE VI TECHNICAL ASSISTANCE

      1. Article 58.Technical assistance at the initiative of the Commission

      2. Article 59.Technical assistance at the initiative of the Member States

    7. TITLE VII FINANCIAL SUPPORT FROM THE ESI FUNDS

      1. CHAPTER I Support from the ESI Funds

        1. Article 60.Determination of co-financing rates

        2. Article 61.Operations generating net revenue after completion

      2. CHAPTER II Special rules on support to PPPs

        1. Article 62.PPPs

        2. Article 63.Beneficiary under PPP operations

        3. Article 64.Support for PPP operations

      3. CHAPTER III Eligibility of expenditure and durability

        1. Article 65.Eligibility

        2. Article 66.Forms of support

        3. Article 67.Forms of grants and repayable assistance

        4. Article 68.Flat-rate financing for indirect costs concerning grants and repayable assistance

        5. Article 68a.Staff costs concerning grants and repayable assistance

        6. Article 68b.Flat-rate financing for costs other than staff costs

        7. Article 69.Specific eligibility rules for grants and repayable assistance

        8. Article 70.Eligibility of operations depending on location

        9. Article 71.Durability of operations

    8. TITLE VIII MANAGEMENT AND CONTROL

      1. CHAPTER I Management and control systems

        1. Article 72.General principles of management and control systems

        2. Article 73.Responsibilities under shared management

        3. Article 74.Responsibilities of Member States

      2. CHAPTER II Commission powers and responsibilities

        1. Article 75.Commission powers and responsibilities

    9. TITLE IX FINANCIAL MANAGEMENT, EXAMINATION AND ACCEPTANCE OF ACCOUNTS AND FINANCIAL CORRECTIONS, DECOMMITMENT

      1. CHAPTER I Financial management

        1. Article 76.Budget commitments

        2. Article 77.Common rules for payments

        3. Article 78.Common rules for calculating interim payments, and payment of the final balance

        4. Article 79.Payment applications

        5. Article 80.Use of the euro

        6. Article 81.Payment of initial pre-financing

        7. Article 82.Clearance of initial pre-financing

        8. Article 83.Interruption of the payment deadline

      2. CHAPTER II Examination and acceptance of accounts

        1. Article 84.Deadline for the examination and acceptance of accounts by the Commission

      3. CHAPTER III Financial corrections

        1. Article 85.Financial corrections by the Commission

      4. CHAPTER IV Decommitment

        1. Article 86.Principles

        2. Article 87.Exception to the decommitment

        3. Article 88.Procedure

  4. PART THREE GENERAL PROVISIONS APPLICABLE TO THE ERDF, THE ESF AND THE COHESION FUND

    1. TITLE I OBJECTIVES AND FINANCIAL FRAMEWORK

      1. CHAPTER I Mission, goals and geographical coverage of support

        1. Article 89.Mission and goals

        2. Article 90.Investment for growth and jobs goal

      2. CHAPTER II Financial framework

        1. Article 91.Resources for economic, social and territorial cohesion

        2. Article 92.Resources for the Investment for growth and jobs goal and for the European territorial cooperation goal

        3. Article 92a.REACT-EU resources

        4. Article 92b.Implementing arrangements for the REACT-EU resources

        5. Article 93.Non-transferability of resources between categories of regions

        6. Article 94.Non-transferability of resources between goals

        7. Article 95.Additionality

    2. TITLE II PROGRAMMING

      1. CHAPTER I General provisions on the Funds

        1. Article 96.Content, adoption and amendment of operational programmes under the Investment for growth and jobs goal

        2. Article 97.Specific provisions on the programming of support for the joint instruments for uncapped guarantees and securitisation under the Investment for growth and jobs goal

        3. Article 98.Joint support from the Funds under the Investment for growth and jobs goal

        4. Article 99.Geographical scope of operational programmes under the Investment for growth and jobs goal

      2. CHAPTER II Major projects

        1. Article 100.Content

        2. Article 101.Information necessary for the approval of a major project

        3. Article 102.Decision on a major project

        4. Article 103.Decision on a major project subject to phased implementation

      3. CHAPTER III Joint action plan

        1. Article 104.Scope

        2. Article 105.Preparation of joint action plans

        3. Article 106.Content of joint action plans

        4. Article 107.Decision on the joint action plan

        5. Article 108.Steering committee and amendment of the joint action plan

        6. Article 109.Financial management and control of the joint action plan

    3. TITLE III MONITORING, EVALUATION, INFORMATION AND COMMUNICATION

      1. CHAPTER I Monitoring and evaluation

        1. Article 110.Functions of the monitoring committee

        2. Article 111.Implementation reports for the Investment for growth and jobs goal

        3. Article 112.Transmission of financial data

        4. Article 113.Cohesion Report

        5. Article 114.Evaluation

      2. CHAPTER II Information, communication and visibility

        1. Article 115.Information, communication and visibility

        2. Article 116.Communication strategy

        3. Article 117.Information and communication officers and their networks

    4. TITLE IV TECHNICAL ASSISTANCE

      1. Article 118.Technical assistance at the initiative of the Commission

      2. Article 119.Technical assistance of the Member States

    5. TITLE V FINANCIAL SUPPORT FROM THE FUNDS

      1. Article 120.Determination of co-financing rates

      2. Article 121.Modulation of the co-financing rates

  5. PART FOUR GENERAL PROVISIONS APPLICABLE TO THE FUNDS AND THE EMFF

    1. TITLE I MANAGEMENT AND CONTROL

      1. CHAPTER I Management and control systems

        1. Article 122.Responsibilities of Member States

      2. CHAPTER II Management and control authorities

        1. Article 123.Designation of authorities

        2. Article 124.Procedure for the designation of the managing authority and the certifying authority

        3. Article 125.Functions of the managing authority

        4. Article 126.Functions of the certifying authority

        5. Article 127.Functions of the audit authority

      3. CHAPTER III Cooperation with audit authorities

        1. Article 128.Cooperation with audit authorities

    2. TITLE II FINANCIAL MANAGEMENT, PREPARATION, EXAMINATION AND ACCEPTANCE OF ACCOUNTS AND FINANCIAL CORRECTIONS

      1. CHAPTER I Financial management

        1. Article 129.Common rules for payments

        2. Article 130.Common rules for calculating interim payments and payment of the final balance

        3. Article 131.Payment applications

        4. Article 132.Payment to beneficiaries

        5. Article 133.Use of the euro

        6. Article 134.Payment of pre-financing

        7. Article 135.Deadlines for presentation of interim payment applications and for their payment

        8. Article 136.Decommitment

      2. CHAPTER II Preparation, examination and acceptance of accounts and closure of operational programmes and suspension of payments

        1. Section I Preparation, examination and acceptance of accounts

          1. Article 137.Preparation of the accounts

          2. Article 138.Submission of information

          3. Article 139.Examination and acceptance of accounts

          4. Article 140.Availability of documents

        2. Section II Closure of operational programmes

          1. Article 141.Submission of closure documents and payment of the final balance

        3. Section III Suspension of payments

          1. Article 142.Suspension of payments

      3. CHAPTER III Financial corrections

        1. Section I Financial corrections by Member States

          1. Article 143.Financial corrections by Member States

        2. Section II Financial corrections by the Commission

          1. Article 144.Criteria for financial corrections

          2. Article 145.Procedure

          3. Article 146.Obligations of Member States

          4. Article 147.Repayment

    3. TITLE III PROPORTIONAL CONTROL OF OPERATIONAL PROGRAMMES

      1. Article 148.Proportional control of operational programmes

  6. PART FIVE DELEGATIONS OF POWER, IMPLEMENTING, TRANSITIONAL AND FINAL PROVISIONS

    1. CHAPTER I Delegations of power and implementing provisions

      1. Article 149.Regulations

      2. Article 150.Committee Procedure

    2. CHAPTER II Transitional and final provisions

      1. Article 151.Review

      2. Article 152.Transitional provisions

      3. Article 153.Repeal

      4. Article 154.Entry into force

  7. Signature

    1. ANNEX I

      COMMON STRATEGIC FRAMEWORK

      1. 1. INTRODUCTION

      2. 2. COHERENCE WITH ECONOMIC GOVERNANCE

        1. 1. To support effective targeting of smart, sustainable and inclusive growth...

        2. 2. In line with the thematic objectives set out in the...

        3. 3. . . . . . . . . . ....

        4. 4. In order to determine the way in which support for...

      3. 3. INTEGRATED APPROACH TO AND ARRANGEMENTS FOR THE USE OF SUPPORT...

        1. 3.1 Introduction

          1. 1. ... The relevant authority shall ensure that the selection of...

          2. 2. . . . . . . . . . ....

        2. 3.2 Coordination and complementarity

          1. 1. The relevant authority and the Managing Authority responsible for each...

        3. 3.3 Encouraging integrated approaches

          1. 1. The relevant authority shall, where appropriate, combine support for rural...

          2. 2. ...

          3. 3. In accordance with the relevant provisions of the Fund-specific rules,...

          4. 4. The relevant authority must promote, in accordance with their institutional...

      4. 4. COORDINATION AND SYNERGIES BETWEEN SUPPORT FOR RURAL DEVELOPMENT AND OTHER...

        1. 4.1 Introduction

          1. 1. The relevant authority must take into consideration the impact of...

          2. 2. The relevant authority must ensure coordination between support for rural...

        2. 4.2 Coordination with the Common Agricultural Policy and the Common Fisheries...

          1. 1. Support for rural development complements the measures for direct payment...

          2. 2. . . . . . . . . . ....

        3. 4.3 . . . . . . . . . ....

        4. 4.4 . . . . . . . . . ....

        5. 4.5 . . . . . . . . . ....

        6. 4.6 . . . . . . . . . ....

        7. 4.7 . . . . . . . . . ....

        8. 4.8 . . . . . . . . . ....

        9. 4.9 . . . . . . . . . ....

      5. 5. HORIZONTAL PRINCIPLES REFERRED TO IN ARTICLES 5, 7 AND 8...

        1. 5.1 Partnership and multi-level governance

          1. 1. In accordance with Article 5, the principle of partnership and...

          2. 2 The relevant authority shall examine the need for strengthening the...

        2. 5.2 Sustainable development

          1. 1. Member States and managing authorities shall, in all phases of...

          2. 2. The relevant authority shall take into consideration the climate change...

          3. 3. Investments shall be consistent with the water management hierarchy, in...

        3. 5.3 Promotion of equality between men and women and non-discrimination

          1. 1. In accordance with Article 7, the relevant authority shall pursue...

          2. 2. The relevant authority shall ensure, in accordance with Articles 5...

          3. 3. Managing authorities shall undertake evaluations or self-assessment exercises, in coordination...

          4. 4. The relevant authority shall address, in an appropriate manner, the...

        4. 5.4 Accessibility

          1. 1. The relevant authority shall, in accordance with Article 7, take...

        5. 5.5 Addressing demographic change

          1. 1. The challenges resulting from demographic change, including in particular those...

          2. 2. The relevant authority shall use support for rural development ,...

          3. 3. To address challenges in the regions most affected by demographic...

        6. 5.6 Climate change mitigation and adaptation

      6. 6. ARRANGEMENTS FOR ADDRESSING KEY TERRITORIAL CHALLENGES

        1. 6.1 The relevant authority shall take account of geographic or demographic...

        2. 6.2 The choice and combination of thematic objectives, as well as...

        3. 6.3 When preparing ... programmes the relevant authority shall therefore take...

        4. 6.4 With a view to an integrated territorial approach to addressing...

        5. 6.5 In order to take into account the objective of territorial...

      7. 7. COOPERATION ACTIVITIES

        1. 7.1 Coordination and complementarity

          1. 1. The relevant authority shall seek complementarity between cooperation activities and...

          2. 2. The relevant authority must ensure that cooperation activities are organised...

          3. 3. . . . . . . . . . ....

          4. 4. . . . . . . . . . ....

          5. 5. . . . . . . . . . ....

          6. 6. Constituent nations and regions shall make the best use of...

        2. 7.2 . . . . . . . . . ....

        3. 7.3 . . . . . . . . . ....

        4. 7.4 . . . . . . . . . ....

    2. ANNEX II

      METHOD FOR ESTABLISHING THE PERFORMANCE FRAMEWORK

      1. 1. The performance framework shall consist of milestones established for each...

      2. 2. Milestones are intermediate targets, directly linked to the achievement of...

      3. 3. Milestones and targets shall be:

      4. 4. The targets for 2023 for a given priority shall be...

      5. 5. In duly justified cases, such as a significant change in...

    3. ANNEX III

      PROVISIONS FOR DETERMINING THE SCOPE AND THE LEVEL OF SUSPENSION OF COMMITMENTS OR PAYMENTS REFERRED TO IN ARTICLE 23(11)

      1. 1. DETERMINING THE LEVEL OF SUSPENSION OF COMMITMENTS

      2. 2. DETERMINING THE SCOPE OF SUSPENSION OF COMMITMENTS ACROSS PROGRAMMES AND...

      3. 3. DETERMINING THE FINAL LEVEL OF SUSPENSION OF COMMITMENTS FOR THE...

      4. 4. DETERMINING THE SCOPE AND THE LEVEL OF SUSPENSION OF PAYMENTS...

    4. ANNEX IV

      IMPLEMENTATION OF FINANCIAL INSTRUMENTS: FUNDING AGREEMENTS

      1. 1. Where a financial instrument is implemented under ... points (a),...

      2. 2. Strategy documents referred to under Article 38(8) for financial instruments...

    5. ANNEX V

    6. ANNEX VI

      ANNUAL BREAKDOWN OF COMMITMENT APPROPRIATIONS FOR THE YEARS 2014 TO 2020

    7. ANNEX VII

      ALLOCATION METHODOLOGY

      1. Allocation method for the less developed regions eligible under the...

        1. 1. Each Member State's allocation shall be the sum of the...

      2. Allocation method for transition regions eligible under the Investment for...

        1. 2. Each Member State's allocation shall be the sum of the...

      3. Allocation method for the more developed regions eligible under the...

        1. 3. The total initial theoretical financial envelope shall be obtained by...

        2. 4. The share of each Member State concerned shall be the...

      4. Allocation method for the Member States eligible for the Cohesion...

        1. 5. The total theoretical financial envelope shall be obtained by multiplying...

        2. 6. In order to reflect the significant needs of Member States,...

        3. 7. The allocation from the Cohesion Fund for the Member States...

      5. Allocation method for the European territorial cooperation goal referred to...

        1. 8. The allocation of resources by Member State, covering cross-border and...

      6. Allocation method of the additional funding for regions referred to...

        1. 9. An additional special allocation corresponding to an aid intensity of...

      7. Maximum level of transfers from funds supporting cohesion

        1. 10. In order to contribute to achieving adequate concentration of cohesion...

        2. 11. The ceilings referred to in paragraph 10 above include the...

        3. 12. Calculations of GDP by the Commission will be based on...

        4. 13. The rules described in paragraph 10 shall not result in...

      8. Additional provisions

        1. 14. For all regions whose GDP per capita (in PPS) was...

        2. 15. No transition region shall receive less than what it would...

        3. 16. The minimum total allocation from the Funds for a Member...

        4. 17. To address the effects of the economic crisis on Member...

        5. 18. In order to recognise the challenges posed by the situation...

        6. 19. To facilitate the adjustment of certain regions either to changes...

        7. 20. A total of EUR 150 000 000 will be allocated...

      9. Additional adjustments in accordance with Article 92(2)

        1. 21. In addition to the amounts set out in Articles 91...

    8. ANNEX VIIa

      METHODOLOGY FOR THE ALLOCATION OF THE REACT-EU RESOURCES – ARTICLE 92b(4)

    9. ANNEX VIII

      METHODOLOGY CONCERNING THE SPECIFIC ALLOCATION FOR THE YEI REFERRED TO IN ARTICLE 91

      1. I. The breakdown of the specific allocation for the YEI shall...

      2. II. The specific allocation for the YEI shall not be taken...

      3. III. For the determination of the specific allocation from the YEI...

      4. IV. The resources for the YEI may be revised upwards for...

    10. ANNEX IX

      METHODOLOGY FOR DETERMINING MINIMUM SHARE OF THE ESF

    11. ANNEX X

      ADDITIONALITY

      1. 1. PUBLIC OR EQUIVALENT STRUCTURAL EXPENDITURE

      2. 2. VERIFICATION

      3. 3. FINANCIAL CORRECTION RATES FOLLOWING EX POST VERIFICATION

    12. ANNEX XI

    13. ANNEX XII

      INFORMATION, COMMUNICATION AND VISIBILITY OF SUPPORT FROM THE FUNDS

      1. 1. LIST OF OPERATIONS

      2. 2. INFORMATION AND COMMUNICATION MEASURES AND MEASURES TO ENHANCE VISIBILITY FOR...

      3. 3. INFORMATION MEASURES FOR POTENTIAL BENEFICIARIES AND BENEFICIARIES

        1. 3.1. Information measures for potential beneficiaries

          1. 1. The managing authority shall ensure, in accordance with the communication...

          2. 2. The managing authority shall ensure that potential beneficiaries have access...

        2. 3.2. Information measures for beneficiaries

          1. 1. The managing authority shall inform beneficiaries that acceptance of funding...

          2. 2. The managing authority shall provide information and communication tools, including...

      4. 4. ELEMENTS OF THE COMMUNICATION STRATEGY

    14. ANNEX XIII

      DESIGNATION CRITERIA FOR THE MANAGING AUTHORITY AND THE CERTIFYING AUTHORITY

      1. 1. INTERNAL CONTROL ENVIRONMENT

        1. (i) Existence of an organisational structure covering the functions of managing...

        2. (ii) Framework for ensuring, in the event of delegation of tasks...

        3. (iii) Reporting and monitoring procedures for irregularities and for the recovery...

        4. (iv) Plan for allocation of appropriate human resources with necessary technical...

      2. 2. RISK MANAGEMENT

      3. 3. MANAGEMENT AND CONTROL ACTIVITIES

        1. A. Managing authority

          1. (i) Procedures regarding grant applications, appraisal of applications, selection for funding,...

          2. (ii) Procedures for management verifications including administrative verifications in respect of...

          3. (iii) Procedures for treatment of applications for reimbursement by beneficiaries and...

          4. (iv) Procedures for a system to collect, record and store in...

          5. (v) Procedures established by the managing authority to ensure that beneficiaries...

          6. (vi) Procedures for putting in place effective and proportionate anti-fraud measures....

          7. (vii) Procedures to ensure an adequate audit trail and archiving system....

          8. (viii) Procedures to draw up the management declaration referred to in...

          9. (ix) Procedures to ensure the provision to the beneficiary of a...

        2. B. Certifying authority

          1. (i) Procedures for certifying interim payment applications to the Commission.

          2. (ii) Procedures for drawing up the accounts and certifying that they...

          3. (iii) Procedures for ensuring an adequate audit trail by maintaining accounting...

          4. (iv) Procedures, where appropriate, to ensure that the certifying authority receives...

      4. 4. MONITORING

        1. A. Managing authority

          1. (i) Procedures to support the work of the monitoring committee.

          2. (ii) Procedures to draw up and submit to the Commission annual...

        2. B. Certifying authority

    15. ANNEX XIV

  9. ATTACHMENTS

    1. Joint Statement by the Council and the Commission on Article 67

    2. Joint Statement by the European Parliament, the Council and the Commission on the revision of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council linked with the reconstitution of appropriations

    3. Joint Statement by the European Parliament, the Council and the Commission on Article 1

    4. Joint Statement by the European Parliament and the Council on the exclusion of any retroactivity with regard to the application of article 5(3)