Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying 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

Directive 2010/31/EU of the European Parliament and of the Council of 19 May 2010 on the energy performance of buildings (OJ L 153, 18.6.2010, p. 13).

Directive 2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency, amending Directives 2009/125/EC and 2010/30/EU and repealing Directives 2004/8/EC and 2006/32/EC (OJ L 315, 14.11.2012, p. 1).

Directive 2006/32/EC of the European Parliament and of the Council of 5 April 2006 on energy end-use efficiency and energy services and repealing Council Directive 93/76/EEC (OJ L 114, 27.4.2006, p. 64).

Directive 2009/28/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC (OJ L 140, 5.6.2009, p. 16).

Regulation (EU) No 1315/2013 of the European Parliament and of the Council of 11 December 2013 on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU (OJ L 348, 20.12.2013, p. 1).

Regulation (EC) No 714/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the network for cross-border exchanges in electricity and repealing Regulation (EC) No 1228/2003 (OJ L 211, 14.8.2009, p. 15).

Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 (OJ L 211, 14.8.2009, p. 36).

Regulation (EU) No 347/2013 of the European Parliament and of the Council of 17 April 2013 on guidelines for trans-European energy infrastructure and repealing Decision No 1364/2006/EC and amending Regulations (EC) No 713/2009, (EC) No 714/2009 and (EC) No 715/2009 (OJ L 115, 25.4.2013, p. 39).

PART II:  General ex ante conditionalities

Council Decision of 26 November 2009 concerning the conclusion, by the European Community, of the United Nations Convention on the Rights of Persons with Disabilities, (OJ L 23, 27.1.2010, p. 35)

Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment (OJ L 26, 28.1.2012, p. 1).

Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment

(OJ L 197, 21.7.2001, p. 30).

ANNEX XII

INFORMATION, COMMUNICATION AND VISIBILITY OF SUPPORT FROM THE FUNDS

The list of operations referred to in Article 115(2) shall contain, in at least one of the official languages of the Member State, the following data fields:

• — beneficiary name (only of legal entities; no natural persons shall be named);

• — operation name;

• — operation summary;

• — operation start date;

• — operation end date (expected date for physical completion or full implementation of the operation);

• — total eligible expenditure allocated to the operation;

• — Union co-financing rate, as per priority axis;

• — operation postcode; or other appropriate location indicator;

• — country;

• — name of category of intervention for the operation in accordance with point (b) (vi) of the first subparagraph of Article 96(2);

• — date of last update of the list of operations.

The headings of the data fields shall be also provided in at least one other official language of the Union.

The Member State, the managing authority and the beneficiaries shall take the steps necessary to provide information to, and communicate with, the public on operations supported by an operational programme in accordance with this Regulation.

2.1.   Responsibilities of the Member State and the managing authority

• 1.The Member State and the managing authority shall ensure that the information and communication measures are implemented in accordance with the communication strategy, in order to improve visibility and interaction with citizens, and that those measures aim for the widest possible media coverage using various forms and methods of communication at the appropriate level and adapted, as appropriate, to technological innovation;

• 2.The Member State or the managing authority shall be responsible for at least the following information and communication measures:

• (a) organising a major information activity publicising the launch of the operational programme or programmes, even prior to the approval of the relevant communication strategies;

• (b) organising one major information activity a year which promotes the funding opportunities and the strategies pursued and presents the achievements of the operational programme or programmes, including, where relevant, major projects, joint action plans and other project examples;

• (c) displaying the Union emblem at the premises of each managing authority;

• (d) publishing electronically the list of operations in accordance with Section 1 of this Annex;

• (e) giving examples of operations, in particular of operations where the added value of the intervention of the Funds is particularly visible, by operational programme, on the single website or on the operational programme’s website that is accessible through the single website portal; the examples shall be in a widely spoken official language of the Union other than the official language or languages of the Member State concerned;

• (f) updating information about the operational programme’s implementation, including its main achievements and results, on the single website or on the operational programme’s website that is accessible through the single website portal.

• 3.The managing authority shall involve in information and communication measures, in accordance with national laws and practices, the following bodies where appropriate:

• (a) the partners referred to in Article 5;

• (b) information centres on Europe, as well as Commission representation offices, and information offices of the European Parliament in the Member States;

• (c) educational and research institutions.

- These bodies shall widely disseminate the information described in Article 115(1).

2.2.   Responsibilities of the beneficiaries

• 1.All information and communication measures and measures to enhance visibility of the Funds provided by the beneficiary shall acknowledge support from the Funds to the operation by displaying:

• (a) the Union emblem in accordance with the technical characteristics laid down in the implementing act adopted by the Commission under Article 115(4), together with a reference to the Union;

• (b) a reference to the Fund or Funds supporting the operation.

• Where an information or communication measure relates to an operation or to several operations co-financed by more than one Fund, the reference provided for in point (b) may be replaced by a reference to the ESI Funds.

• 2.During implementation of an operation, the beneficiary shall inform the public about the support obtained from the Funds by:

• (a) providing on the beneficiary's website, where such a website exists, a short description of the operation, proportionate to the level of support, including its aims and results, and highlighting the financial support from the Union;

• (b) placing, for operations not falling under points 4 and 5, at least one poster with information about the project (minimum size A3), including the financial support from the Union, at a location readily visible to the public, such as the entrance area of a building.

• 3.For operations supported by the ESF, and in appropriate cases for operations supported by the ERDF or Cohesion Fund, the beneficiary shall ensure that those taking part in an operation have been informed of this funding.

• Any document relating to the implementation of an operation which is used for the public or for participants, including any attendance or other certificate, shall include a statement to the effect that the operation was supported by the Fund or Funds.

• 4.During implementation of an ERDF or Cohesion Fund operation, the beneficiary shall put up, at a location readily visible to the public, a temporary billboard of a significant size for each operation consisting of the financing of infrastructure or construction operations for which the total public support to the operation exceeds EUR 500 000 .

• 5.No later than three months after completion of an operation, the beneficiary shall put up a permanent plaque or billboard of significant size at a location readily visible to the public for each operation that fulfils the following criteria:

• (a) the total public support to the operation exceeds EUR 500 000 ;

• (b) the operation consists of the purchase of a physical object or of the financing of infrastructure or of construction operations.

• The plaque or billboard shall state the name and the main objective of the operation. It shall be prepared in accordance with the technical characteristics adopted by the Commission in accordance with Article 115(4).

- 6.The responsibilities laid down in this subsection shall apply as from the time the beneficiary is provided with the document setting out the conditions for support to the operation referred to in point (c) of Article 125(3).

3. INFORMATION MEASURES FOR POTENTIAL BENEFICIARIES AND BENEFICIARIES

3.1.   Information measures for potential beneficiaries

• 1.The managing authority shall ensure, in accordance with the communication strategy, that the operational programme's strategy and objectives, and the funding opportunities offered through joint support from the Union and the Member State, are disseminated widely to potential beneficiaries and all interested parties, with details of the financial support from the Funds concerned.

• 2.The managing authority shall ensure that potential beneficiaries have access to the relevant information, including updated information where necessary, and taking into account the accessibility of electronic or other communication services for certain potential beneficiaries, on at least the following:

• (a) the funding opportunities and the launching of application calls;

• (b) the eligibility of expenditure conditions to be met in order to qualify for support under an operational programme;

• (c) a description of the procedures for examining applications for funding and of the time periods involved;

• (d) the criteria for selecting the operations to be supported;

• (e) the contacts at national, regional or local level that are able to provide information on the operational programmes;

- (f) the responsibility of beneficiaries to inform the public about the aim of the operation and the support from the Funds to the operation in accordance with subsection 2.2 as from the time the beneficiary is provided with the document setting out the conditions for support to the operation referred to in point (c) of Article 125(3). The managing authority may request that potential beneficiaries propose indicative communication activities to enhance the visibility of the Funds, proportional to the size of the operation, in the applications.

3.2.   Information measures for beneficiaries

• 1.The managing authority shall inform beneficiaries that acceptance of funding constitutes an acceptance of their inclusion in the list of operations published in accordance with Article 115(2).

- 2.The managing authority shall provide information and communication tools, including templates in electronic format, to help beneficiaries to meet their obligations set out in point 2.2, where appropriate.

The communication strategy drawn up by the managing authority and, where appropriate, by the Member State shall include the following elements:

• (a) a description of the approach taken, including the main information and communication measures to be taken by the Member State or the managing authority and aimed at potential beneficiaries, beneficiaries, multipliers and the wider public, having regard to the aims described in Article 115;

• (b) a description of materials that will be made available in formats accessible for people with disabilities;

• (c) a description of how beneficiaries will be supported in their communication activities;

• (d) the indicative budget for implementation of the strategy;

• (e) a description of the administrative bodies, including the staff resources, responsible for implementing the information and communication measures;

• (f) the arrangements for the information and communication measures referred to in point 2, including the website or website portal at which such data may be found;

• (g) an indication of how the information and communication measures shall be assessed in terms of visibility and awareness of policy, operational programmes and operations, and of the role played by the Funds and the Union;

• (h) where appropriate, a description of the use of the main results of the previous operational programme;

- (i) an annual update setting out the information and communication activities, including measures to enhance visibility of the Funds, to be carried out in the following year, based on, inter alia, lessons learnt on the effectiveness of such measures.

ANNEX XIII

DESIGNATION CRITERIA FOR THE MANAGING AUTHORITY AND THE CERTIFYING AUTHORITY

• (i)Existence of an organisational structure covering the functions of managing and certifying authorities and the allocation of functions within each of those authorities, ensuring that the principle of separation of functions, where appropriate, is respected.

• (ii)Framework for ensuring, in the event of delegation of tasks to intermediate bodies, the definition of their respective responsibilities and obligations, the verification of their capacities to carry out delegated tasks and the existence of reporting procedures.

• (iii)Reporting and monitoring procedures for irregularities and for the recovery of amounts unduly paid.

- (iv)Plan for allocation of appropriate human resources with necessary technical skills, at different levels and for different functions in the organisation.

Taking into account the principle of proportionality, a framework for ensuring that an appropriate risk management exercise is conducted when necessary, and in particular, in the event of major modifications to the activities.

3. MANAGEMENT AND CONTROL ACTIVITIES

A. Managing authority

• (i)Procedures regarding grant applications, appraisal of applications, selection for funding, including instructions and guidance ensuring the contribution of operations, in accordance with point (a)(i) of Article 125(3), to achieving the specific objectives and results of the relevant priority.

• (ii)Procedures for management verifications including administrative verifications in respect of each application for reimbursement by beneficiaries and the on-the-spot verifications of operations.

• (iii)Procedures for treatment of applications for reimbursement by beneficiaries and authorisation of payments.

• (iv)Procedures for a system to collect, record and store in computerised form data on each operation, including, where appropriate, data on individual participants and a breakdown of data on indicators by gender where required, and to ensure that systems security is in line with internationally accepted standards.

• (v)Procedures established by the managing authority to ensure that beneficiaries maintain either a separate accounting system or an adequate accounting code for all transactions relating to an operation.

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

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

• (viii)Procedures to draw up the management declaration referred to in point (a) of Article 59(5) of the Financial Regulation and the annual summary of the final audit reports and of controls carried out, including weaknesses identified, referred to in point (b) of Article 59(5) thereof.

- (ix)Procedures to ensure the provision to the beneficiary of a document setting out the conditions for support for each operation.

B. Certifying authority

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

• (ii)Procedures for drawing up the accounts and certifying that they are true, complete and accurate and that the expenditure complies with applicable law taking into account the results of all audits.

• (iii)Procedures for ensuring an adequate audit trail by maintaining accounting records including amounts recoverable, recovered and withdrawn for each operation, in computerised form.

- (iv)Procedures, where appropriate, to ensure that the certifying authority receives adequate information from the managing authority on the verifications carried out, and the results of the audits carried out by or under the responsibility of the audit authority.

4. MONITORING

A. Managing authority

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

- (ii)Procedures to draw up and submit to the Commission annual and final implementation reports.

B. Certifying authority

Procedures on the fulfilment of the responsibilities of the certifying authority for monitoring the results of the management verifications and the results of the audits carried out by or under the responsibility of the audit authority before submitting payment applications to the Commission.

ANNEX XIV

CORRELATION TABLE

| Regulation (EC) No 1083/2006 | This Regulation |

| --- | --- | | Article 1 | Article 1 | | Article 2 | Article 2 | | Articles 3 and 4 | Article 89 | | Articles 5, 6 and 8 | Article 90 | | Article 7 | — | | Article 9 | Articles 4 and 6 | | Article 10 | Article 4(1) | | Article 11 | Article 5 | | Article 12 | Article 4(4) | | Article 13 | Article 4(5) | | Article 14 | Articles 4(7) and (8) and 73 | | Article 15 | Article 95 | | Article 16 | Article 7 | | Article 17 | Article 8 | | Article 18 | Article 91 | | Articles 19 to 21 | Article 92 | | Article 22 | Articles 93 and 94 | | Article 23 | Article 92(6) | | Article 24 | Article 91(3) | | Article 25 | Articles 10 and 11 | | Article 26 | Article 12 | | Article 27 | Article 15 | | Article 28 | Articles 14 and 16 | | Article 29 | Article 52 | | Article 30 | Article 53 | | Article 31 | Article 113 | | Article 32 | Articles 26, 29 and 96(9) and (10) | | Article 33 | Articles 30 and 96(11) | | Article 34 | Article 98 | | Article 35 | Article 99 | | Article 36 | Article 31 | | Article 37 | Articles 27 and 96(1) to (8) | | Article 38 | — | | Article 39 | Article 100 | | Article 40 | Article 101 | | Article 41 | Articles 102 and 103 | | Article 42 | Article 123(7) | | Article 43 | — | | Article 43a | Article 67 | | Article 43b | Article 67 | | Article 44 | Articles 37 to 46 | | Article 45 | Articles 58 and 118 | | Article 46 | Articles 59 and 119 | | Article 47 | Article 54 | | Article 48 | Articles 55, 56(1) to (3), 57 and 114(1) and (2) | | Article 49 | Articles 56(4), 57 and 114(3) | | Article 50 | Articles 20 to 22 | | Article 51 | — | | Article 52 | Article 121 | | Articles 53 and 54 | Articles 60 and 120 | | Article 55 | Article 61 | | Article 56 | Articles 65 to 70 | | Article 57 | Article 71 | | Article 58 | Article 73 | | Article 59 | Article 123 | | Article 60 | Article 125 | | Article 61 | Article 126 | | Article 62 | Article 127 | | Article 63 | Article 47 | | Article 64 | Article 48 | | Article 65 | Article 110 | | Article 66 | Article 49 | | Article 67 | Articles 50 and 111 | | Article 68 | Articles 51 and 112 | | Article 69 | Articles 115 to 117 | | Article 70 | Articles 74 and 122 | | Article 71 | Article 124 | | Article 72 | Article 75 | | Article 73 | Article 128 | | Article 74 | Article 148 | | Article 75 | Article 76 | | Article 76 | Articles 77 and 129 | | Article 77 | Articles 78 and 130 | | Articles 78 and 78a | Article 131 | | Article 79 | — | | Article 80 | Article 132 | | Article 81 | Articles 80 and 133 | | Article 82 | Articles 81 and 134 | | Article 83 | — | | Article 84 | Article 82 | | Articles 85 to 87 | Article 135 | | Article 88 | — | | Article 89 | Article 141 | | Article 90 | Article 140 | | Article 91 | Article 83 | | Article 92 | Article 142 | | Article 93 | Articles 86 and 136 | | Article 94 | — | | Article 95 | — | | Article 96 | Article 87 | | Article 97 | Article 88 | | Article 98 | Article 143 | | Article 99 | Articles 85 and 144 | | Article 100 | Article 145 | | Article 101 | Article 146 | | Article 102 | Article 147 | | Articles 103 and 104 | Article 150 | | Article 105 | Article 152 | | Article 105a | — | | Article 106 | Article 151 | | Article 107 | Article 153 | | Article 108 | Article 154 |

Joint Statement by the Council and the Commission on Article 67

The Council and the Commission agree that Article 67 (4) which excludes the application of simplified costs set out in Article 67 (1) (b)-(d) in cases where an operation or a project forming part of an operation is implemented exclusively through public procurement procedures does not preclude the implementation of an operation through public procurement procedures which result in payments by the beneficiary to the contractor based on pre-defined unit costs. The Council and the Commission agree that the costs determined and paid by the beneficiary based on these unit costs established through public procurement procedures shall constitute real costs actually incurred and paid by the beneficiary under Article 67 (1) (a).

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

The European Parliament, the Council and the Commission agree to include in the revision of the Financial Regulation, aligning Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council to the Multiannual Financial Framework 2014-20, provisions necessary for the application of the arrangements for the allocation of the performance reserve and in relation to the implementation of financial instruments under Article 39 (SME initiative) under the Regulation laying down common provisions for the European Structural and Investment Funds concerning the reconstitution of:

• i. appropriations which had been committed to programmes in relation to the performance reserve and which had to be decommitted as a result of priorities under these programmes not having attained their milestones and;

- ii. appropriations which had been committed in relation to dedicated programmes referred to under Article 39(4)b and which had to be de-committed because the participation of a Member State in the financial instrument had to be discontinued.

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

If further justified derogations to the common rules are needed to take into account specificities of the EMFF and of the EAFRD, the European Parliament, the Council and the European Commission commit to allow for these derogations by proceeding with due diligence to the necessary modifications to Regulation laying down common provisions for the European Structural and Investment Funds.

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

The European Parliament and the Council agree that: