LegalizeCommission Regulation (EC) No 951/2007 of 9 August 2007 laying down implementing rules for cross-border cooperation programmes financed under Regulation (EC) No 1638/2006 of the European Parliament and of the Council laying down general provisions establishing a European Neighbourhood and Partnership Instrument
CHAPTER I
INTRODUCTION
Article 1
Subject and scope
This Regulation lays down rules for the implementation of Regulation (EC) No 1638/2006 in relation to cross-border cooperation programmes.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
‘technical assistance’ means preparatory work, management, monitoring, evaluation, information, audit and control, and any administrative capacity-building activities necessary for implementation of the joint operational programmes;
‘beneficiary’ means a body which signs a grant contract with the Joint Managing Authority and which assumes full legal and financial responsibility for project implementation vis-à-vis that authority; it receives the financial contribution from the Joint Managing Authority and ensures it is managed and, where appropriate, distributed in accordance with the agreements drawn up with its partners; it alone is responsible to the Joint Managing Authority and it is directly accountable to the authority for the operational and financial progress of activities;
‘contractor’ means a body which signs a service, works or supply contract with the Joint Managing Authority and which assumes full legal and financial responsibility for implementation of that contract vis-à-vis the Joint Managing Authority;
‘strategy paper’ means the document which is referred to in Article 7(3) of Regulation (EC) No 1638/2006 and which establishes the list of the joint operational programmes, their multiannual indicative envelope and territorial units eligible within each programme;
‘participating countries’ means all Member States and partner countries taking part in the joint operational programme;
‘partner countries’ means the countries and territories listed in the Annex to Regulation (EC) No 1638/2006;
‘large-scale projects’ means projects comprising a set of works, activities or services intended to fulfil an indivisible function of a precise nature pursuing clearly identified objectives of common interest for the purposes of implementing cross-border investments;
‘own resources of the countries participating in the joint operational programme’ means financial resources from the central, regional or local budget of the participating countries;
‘operational follow-up of the projects’ means follow-up of the operations financed by the programme in accordance with the method for the project-management cycle, from programming to technical monitoring of implementation to evaluation.
CHAPTER II
BASIC DOCUMENTS
SECTION 1
Joint operational programmes
Article 3
Preparation of joint operational programmes
Each joint operational programme shall be defined by common agreement of all the participating countries, in accordance with Regulation (EC) No 1638/2006, the strategy paper and this Regulation.
Article 4
Content of joint operational programmes
Each joint operational programme shall describe the objectives, priorities and measures concerning the operations to be undertaken and shall explain how they fit in with other ongoing or planned bilateral and multilateral programmes in the countries and regions concerned, in particular programmes financed by the European Union.
In particular, each joint operational programme shall:
(a) list the territorial units eligible, including the possible adjacent regions, as locations for projects financed by the programme, as defined in Regulation (EC) No 1638/2006 and the strategy paper;
(b) lay down rules for participation in the programmes by adjacent areas in third countries which are not covered by Regulation (EC) No 1638/2006 but which are allowed to take part in cooperation on the basis of the strategy paper;
(c) lay down priorities and measures addressing the objectives identified in the strategy paper;
(d) set out the composition of the Joint Monitoring Committee in accordance with Article 11 of this Regulation;
(e) identify the body appointed by the participating countries to perform the role of Joint Managing Authority;
(f) describe the structure that will be set up by the Joint Managing Authority for the management of the programme in accordance with Articles 14, 15, 16 and 17 of this Regulation. This description shall be detailed enough to enable the Commission to be reasonably confident that effective and efficient internal control systems have been put in place, based on best international practices;
(g) include a financial table describing the provisional yearly allocations of commitments and payments under the programme, established in accordance with the priorities and specifying in particular the amounts allocated to technical assistance;
(h) identify programme implementation methods, in accordance with the contractual procedures referred to in Article 23 of this Regulation;
(i) specify a provisional indicative timetable for the launching of procedures and the selection of projects to be financed;
(j) describe any regulatory requirements regarding environmental impact assessment studies and give a provisional indicative timetable for the carrying-out of these studies;
(k) state the language(s) adopted by the programme;
(l) include an information and communication plan in accordance with Article 42.
The table referred to in point (g) of the second paragraph shall indicate the European Community contribution and divide the provisional indicative amounts to be committed by the Commission each year up to 2013 (the allocations for 2011-2013 shall be confirmed in the Indicative Programme for 2011-2013). The table shall also contain the provisional indicative amounts of co-financing from the own resources of participating countries.
For the purposes of point (h) of the second paragraph, the projects financed under the programme shall generally be selected following calls for proposals. Nevertheless, the participating countries may also, in agreement with the European Commission, jointly identify large-scale cross-border investment projects which will not be selected through calls for proposals: these projects shall be specifically mentioned in the programme or be selected at a later stage by the Joint Monitoring Committee, referred to in Articles 11 to 13, provided that they are consistent with the programme's priorities and measures and that there is a budget specifically for this purpose.
Article 5
Adoption of joint operational programmes
The Commission shall examine the joint operational programme in order to verify that it contains all the elements referred to in Article 4, which shall involve in particular:
(a) assessing its conformity with the strategy paper;
(b) checking the quality of the analysis, its consistency with the proposed priorities and measures, and its consistency with the other bilateral and multilateral programmes ongoing or planned in the regions concerned by the programme;
(c) verifying that the programme complies with the Community legislation applicable;
(d) checking that any environmental impact assessment studies that may be required have been carried out or are planned before the proposed projects are implemented;
(e) ensuring the consistency of the financial table for the programme, particularly with regard to the amounts to be committed by the Commission;
(f) ensuring the management capacity of the Joint Managing Authority is commensurate with the volume, content and complexity of the operations planned under the programme. In particular, the Commission shall check that the Joint Managing Authority has sufficient properly qualified human resources fully dedicated to the programme, the requisite computerised management and accountancy tools and financial circuits that comply with the relevant Community legislation. These checks may be carried out through an ex ante on-the-spot audit, if considered necessary by the Commission;
(g) ensuring that the Joint Managing Authority has planned for and set up satisfactory internal control and audit systems, based on international best practices.
Article 6
Monitoring and evaluation of joint operational programme
This evaluation shall be carried out by the Commission, and its results, which shall be communicated to the Joint Monitoring Committee and Joint Managing Authority for the indicative programme may lead to adjustments in the programme.
Article 7
Revision of joint operational programmes
This rule shall apply to technical assistance financed by Community funds only with the written prior approval of the Commission.
Following a reasoned request from the Joint Monitoring Committee or at the initiative of the Commission in agreement with the Joint Monitoring Committee, joint operational programmes may be reviewed and, if necessary, revised in the following cases:
(a) in order to make allowance for major socio-economic changes or substantial changes in Community, national or regional priorities in the area covered by the programme;
(b) following implementation difficulties giving rise to substantial delays;
(c) where there is a transfer of Community funds from one priority to another going beyond the margin of flexibility referred to in paragraph 1 of this Article;
(d) following the evaluations referred to in Article 6(2) and 6(3);
(e) where the programme is terminated in accordance with Article 44.
Article 8
Use of languages
Interpreting and translation costs for all languages selected by the programme shall be met:
(a) from the technical assistance budget at joint operational programme level;
(b) from the budget of each individual project at project level.
Article 9
Starting phase of joint operational programmes
Following the adoption of the joint operational programme by Commission decision, the programme shall start immediately in the Member States with the allocation in the European Neighbourhood and Partnership Instrument for cross-border cooperation from heading 1B of the Financial Perspective (Interinstitutional Agreement 2006/C 139/01) (1). Joint actions required to launch the programme may also be undertaken, namely:
(a) the establishment of the Joint Managing Authority and of the Joint Technical Secretariat;
(b) the first meetings of the Joint Monitoring Committee, including representatives of partner countries that have not yet signed a financing agreement;
(c) the preparation and launching of tender procedures or calls for proposals, if necessary with a suspension clause linked to the signing of the financing agreements.
SECTION 2
Financing agreement
Article 10
Signing of financing agreements
Where a programme includes several partner countries, it may be launched with each partner country as soon as that country has signed its financing agreement.
CHAPTER III
MANAGEMENT STRUCTURES FOR JOINT OPERATIONAL PROGRAMMES
SECTION 1
Joint Monitoring Committee
Article 11
Composition of the Joint Monitoring Committee
Article 12
Functioning of the Joint Monitoring Committee
The chairperson of the Joint Monitoring Committee shall act as arbitrator and lead discussions. The chairperson shall retain their vote, unless the position of chairperson has been given to a representative of the Joint Managing Authority or another outside person. In the latter case, the chairperson shall have no vote.
Article 13
Functions of the Joint Monitoring Committee
As part of its functions with regard to the joint operational programme, the committee shall:
(a) approve the Joint Managing Authority's work programme;
(b) decide on the volume and allocation of the programme's resources for technical assistance and human resources;
(c) at each of its meetings, review the management decisions taken by the Joint Managing Authority;
(d) appoint the project-selection committees;
(e) decide on the selection criteria for the projects and take the final decision on projects and on the amounts granted to them;
(f) at each of its meetings and on the basis of the documents submitted by the Joint Managing Authority, evaluate and monitor progress towards the objectives of the joint operational programme;
(g) review all reports submitted by the Joint Managing Authority and, if necessary, take appropriate measures;
(h) examine any contentious cases of recovery brought to its attention by the Joint Managing Authority.
If, when taking decisions referred to in point (e) of the first paragraph, the Joint Monitoring Committee decides not to follow all or part of the recommendations of the selection committee, it shall explain its decision in writing. The decision shall then be sent via the Joint managing authority to the Commission for prior approval. Commission communicates its opinion to the Joint Managing Authority within 15 working days.
Duties of the Joint Managing Authority shall be performed in compliance with regulations and provisions in force. The Joint Managing Authority is responsible for ensuring that decisions of the Joint Monitoring Committee comply with these rules.
SECTION 2
Joint Managing Authority
Article 14
Organisation of the Joint Managing Authority
This body must satisfy appropriate financial requirements and comply with the conditions provided for in Council Regulation (EC, Euratom) No 1605/2002 (2), in particular Article 54 thereof, and Commission Regulation (EC, Euratom) No 2342/2002 in particular Articles 38, 39 and 41 thereof (3).
In particular, operational management functions and financial management functions shall be organised separately within the Joint Managing Authority. The functions of authorising officer and accounting officer shall be separate and mutually incompatible.
A general system shall be used for the management of accounts and the administrative and financial monitoring of grants and contracts (correspondence, follow-up letters or reminders, receipt of reports, etc.).
Article 15
Functions of the Joint Managing Authority
The various tasks of the Joint Managing Authority shall include:
(a) organising and acting as a secretariat for meetings of the Joint Monitoring Committee, including drawing-up the minutes of the meetings;
(b) preparing detailed annual budgets for the programme and payment requests for the Commission;
(c) drawing up annual operational and financial reports and sending them to the Joint Monitoring Committee and the Commission;
(d) implementing, through its internal audit service, an audit programme to check internal circuits and to ensure that procedures are properly applied within the Joint Managing Authority; annual internal audit reports shall be sent to the Joint Monitoring Committee and the Commission;
(e) launching, after approval by the Joint Monitoring Committee, calls for tenders and calls for proposals for the selection of projects;
(f) receiving project applications, organising, chairing and acting as secretariat for selection committees, and sending reports including selection committee recommendations to the Joint Monitoring Committee and the Commission;
(g) following up the selection of projects by the Joint Monitoring Committee, signing contracts for the various projects with beneficiaries and contractors;
(h) carrying out operational follow-up and financial management of the projects;
(i) immediately notifying the Joint Monitoring Committee of all contentious cases of recovery;
(j) carrying out any environmental impact assessment studies at programme level;
(k) implementing the information and visibility plan in accordance with Article 42.
Article 16
Joint Technical Secretariat
The operation of the Joint Technical Secretariat shall be financed from the technical assistance budget.
Article 17
Principle of continuity
Where an existing Joint Managing Authority with Commission-approved systems for the management of previous or ongoing programmes is reappointed to manage a joint operational programme, it shall not be necessary to modify the Joint Managing Authority's organisational arrangements, provided the systems used meet the requirements of this Regulation.
CHAPTER IV
FINANCIAL MANAGEMENT OF THE JOINT OPERATIONAL PROGRAMMES
SECTION 1
Financing
Article 18
Technical assistance financed by the Community contribution
No more than 10 % of the Community's total contribution to a joint operational programme may be allocated to technical assistance.
However, on a case-by-case basis and if warranted by the level of expenditure incurred during previous years of implementation and forecast legitimate programme requirements, an increase in the amount of the technical assistance initially allocated to the programme may be considered.
Article 19
Co-financing sources
Article 20
Co-financing rate
Article 21
Bank account of the joint operational programme and interest on pre-financing
Article 22
Accounts for the joint operational programme
Accounts for the joint operational programme shall be drawn up by the service within the Joint Managing Authority responsible for financial transactions. These accounts shall be independent and separate and shall include only transactions relating to the joint operational programme. They shall be kept in such a way as to enable analytical monitoring of the programme by objective, priority and measure.
The Joint Managing Authority shall present the Joint Monitoring Committee and the Commission with reports reconciling these accounts with the balance in the bank account for the programme to accompany the annual report and any request for additional pre-financing.
Article 23
Contractual procedures
The procedures and related standard documents and contract templates to be used shall be those included in the Practical Guide to contract procedures for EC external actions with annexes in force at the time of the launching of procurement procedures or calls for proposals.
SECTION 2
Payments
Article 24
Annual commitments by the Commission
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