Commission Implementing Regulation (EU) No 215/2014
of 7 March 2014
laying down rules for implementing Regulation (EU) No 1303/2013 of the European Parliament and of the Council 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 with regard to methodologies for climate change support, the determination of milestones and targets in the performance framework and the nomenclature of categories of intervention for the European Structural and Investment Funds
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Whereas:
Regulation (EU) No 1303/2013 lays down common provisions on the European Regional Development Fund (ERDF), the European Social Fund (ESF), the Cohesion Fund, the European Agricultural Fund for Rural Development (EAFRD) and the European Maritime and Fisheries Fund (EMFF) which provide support under the cohesion policy and now operate under a common framework.
The provisions in this Regulation are closely linked, since they deal with the fund-specific rules for each of the five European Structural and Investment Funds (the ‘ESI Funds’) on aspects common to three or more of them, i.e. a methodology for climate change support, the determination of milestones and targets in the performance framework and the nomenclature of categories of intervention and all affect the content of programmes. To ensure coherence between those provisions, which should enter into force at the same time to facilitate strategic programming of the ESI Funds, and to facilitate a comprehensive view and compact access to them by all Union residents, it is desirable to include these elements relevant for the programming of the ESI Funds to be set out by implementing acts as required by Regulation (EU) No 1303/2013 in a single Regulation.
Pursuant to the fifth subparagraph of Article 22(7) of Regulation (EU) No 1303/2013 it is also necessary to lay down detailed arrangements for determining the milestones and targets in the performance framework for each priority included in programmes supported by the ESI Funds and for assessing the achievement of those milestones and targets.
The verification of whether the milestones and targets fulfil the conditions set out in Annex II to Regulation (EU) No 1303/2013 requires recording of the information used for this purpose and of the methodological approach taken to establish the performance framework. While the inclusion of that information in programmes should be voluntary, such documentation should be available both to the Member State and to the Commission to inform the development of a performance framework which is consistent with Annex II to Regulation (EU) No 1303/2013.
Achievement of milestones set in the performance framework is a precondition for the definitive allocation of the performance reserve and serious failure to achieve milestones may lead to suspension of interim payments. It is therefore important to set out detailed arrangements for setting milestones and to define precisely what constitutes achievement of milestones.
Since achievement of targets set for the end of the programming period is an important measure of success delivering ESI Funds and serious failure to achieve targets may be the basis for a financial correction, it is important to state clearly the arrangements for setting targets and to clarify precisely what constitutes achieving targets or a serious failure to do so.
In order to reflect the progress in implementation of operations under a priority, it is necessary to set out the characteristics of key implementation steps.
In order to ensure that the performance framework reflects adequately the objectives and results sought for each Fund, or the Youth Employment Initiative, and category of region, where appropriate, it is necessary to set out specific provisions on the structure of the performance framework and on the assessment of the achievement of milestones and targets, where a priority covers more than one Fund or category of region. As only the ESF and the ERDF provide for financial allocations by category of region, the latter should not be considered relevant for the purposes of setting up a performance framework for the Cohesion Fund, the EAFRD and the EMFF.
Pursuant to the second subparagraph of Article 96(2) of Regulation (EU) No 1303/2013 it is necessary to specify common categories of intervention for the ERDF, the ESF and Cohesion Fund to enable Member States to submit to the Commission consistent information on the programmed use of the these Funds as well as information on the cumulative allocation and expenditure of these Funds by category and the number of operations throughout the application period of a programme. This is to enable the Commission to inform the other Union institutions and citizens of the Union in an appropriate manner about the use of the Funds. With the exception of categories of intervention which correspond directly to thematic objectives or investment priorities set out in Regulation (EU) No 1303/2013 and in Fund-specific Regulations, the categories of intervention can be applied to support under different thematic objectives.
In order to allow for the prompt application of the measures provided for in this Regulation, this Regulation should enter into force on the day following that of its publication in the Official Journal of the European Union.
The measures provided for in this Regulation are in accordance with the second subparagraph of Article 150(3) of Regulation (EU) No 1303/2013, given that the Coordination Committee for the European Structural and Investment Funds established by Article 150(1) of that Regulation delivered an opinion,
HAS ADOPTED THIS REGULATION:
CHAPTER IMETHODOLOGY FOR DETERMINING THE SUPPORT FOR CLIMATE CHANGE OBJECTIVES F1FOR EACH OF THE ESI FUNDS F1under support for rural development and support under Regulation 508/2014 (Empowerment under the third subparagraph of Article 8 of Regulation (EU) No 1303/2013)
F2Article A1Interpretation
In this Regulation, a reference to Regulation (EU) No 1303/2013 or any provision of that Regulation is a reference to that Regulation as it applies for the purpose of support for rural development and support under Regulation 508/2014.
F3Article 1Methodology for the calculation of support by the ERDF, the ESF and the Cohesion Fund for climate change objectives
1.
The calculation of support to be used for climate change objectives by the ERDF and the Cohesion Fund shall be carried out in two steps as follows:
(a)
the coefficients set out in Table 1 of Annex I to this Regulation shall be applied by intervention field code to financial data reported for those codes;
(b)
in relation to financial data reported against intervention field codes that have a coefficient of zero, where financial data is reported in the thematic objective dimension against codes 04 and 05 set out in Table 5 of Annex I to this Regulation, the data shall be weighted with a 40 % coefficient in terms of their contribution to climate change objectives.
2.
3.
The calculation of support for climate change objectives by the ESF shall be made by identifying the financial data reported against dimension code 01 ‘Supporting the shift to a low carbon, resource efficient economy’ in accordance with Dimension 6 ‘Codes for the secondary theme dimension under the European Social Fund’ as set out in Table 6 of Annex I to this Regulation.
Article 2Methodology for the calculation of support F4for rural development for climate change objectives
1.
The indicative amount of F5for rural development to be used for climate change objectives F6... in each programme as referred to in Article 27(6) of Regulation (EU) No 1303/2013 shall be calculated by applying the coefficients set out in Annex II to this Regulation to the planned expenditure shown in the financing plan referred to in Article 8(1)(h) of Regulation (EU) No 1305/2013 in relation to the priorities and focus areas referred to in points 3(b), 4, 5 and 6(b) of Article 5 of Regulation (EU) No 1305/2013.
2.
For the purpose of reporting on support used for climate change objectives in the annual implementation report in accordance with Article 50(4) and (5) of Regulation (EU) No 1303/2013, the coefficients referred to in paragraph 1 shall be applied to the information on expenditure referred to in Article 75(2) of Regulation (EU) No 1305/2013.
Article 3Methodology for the calculation of support F7by the EMFFF7under Regulation 508/2014 for climate change objectives
1.
The contribution to climate change by F8the EMFF F8funding under Regulation 508/2014 shall be calculated by attaching coefficients to each of the main measures supported by F8the EMFF F8funding under Regulation 508/2014 reflecting the climate change relevance of each of these measures.
F9Support by the EMFF F9Support under Regulation 508/2014 for climate change objectives shall be calculated on the basis of the following information:
(a)
(b)
F12(c)
2.
F15A Member State F15The relevant authority may propose in its operational programme that a coefficient of 40 % be assigned to a measure weighed with a coefficient of 0 % in Annex III to this Regulation, provided that it can demonstrate the relevance of that measure to climate change mitigation or adaptation.
F16CHAPTER IIDETERMINING MILESTONES AND TARGETS IN THE PERFORMANCE FRAMEWORK AND ASSESSING THEIR ACHIEVEMENT(Empowerment under the fifth subparagraph of Article 22(7) of Regulation (EU) No 1303/2013)
Article 4Information to be recorded by the bodies preparing the programmes
1.
2.
The information recorded by the bodies preparing programmes shall permit verification of compliance with the conditions set out in paragraph 3 of Annex II to Regulation (EU) No 1303/2013 for the milestones and targets. This shall include:
(a)
data or evidence used to estimate the value of milestones and targets and the calculation method, such as data on unit costs, benchmarks, standard or a past rate of implementation, expert advice and the conclusions of the ex-ante evaluation;
(b)
information on the share of the financial allocation represented by operations, to which the output indicators and key implementation steps set out in the performance framework correspond, as well as the explanation of how that share has been calculated;
(c)
information on how the methodology and mechanisms to ensure consistency in the functioning of the performance framework set out in the Partnership Agreement in accordance with Article 15(1)(b)(iv) of Regulation (EU) No 1303/2013 have been applied;
(d)
an explanation of the selection of result indicators or key implementation steps, where these have been included in the performance framework.
3.
The information on the methodologies and criteria applied to select indicators for the performance framework and to fix corresponding milestones and targets recorded by the bodies preparing programmes shall be made available at the request of the Commission.
4.
The requirements referred to in paragraphs 1 to 3 of this Article shall also apply to the revision of milestones and targets in accordance with Article 30 of Regulation (EU) No 1303/2013.
Article 5Establishment of milestones and targets
1.
Milestones and targets shall be set at the level of the priority, except in the cases referred to in Article 7. Output indicators and key implementation steps set out in the performance framework shall correspond to more than 50 % of the financial allocation to the priority. For the purposes of establishing that amount, an allocation to an indicator or key implementation step shall not be counted more than once.
F122.
For all ESI Funds, except for the EAFRD, the milestone and the target for a financial indicator shall refer to the total amount of eligible expenditure entered into the accounting system of the certifying authority and certified by that authority in accordance with point (a) of Article 126 of Regulation (EU) No 1303/2013.
For the EAFRD, they shall refer to the realised total public expenditure entered into the common monitoring and evaluation system.
F173.
The milestone and target for an output indicator shall refer to the values achieved by operations, where all the actions leading to outputs have been implemented in full, but for which not all the related payments have necessarily been made, or to the values achieved by operations which have been started, but where some of the actions leading to outputs are still ongoing, or to the both.
4.
A key implementation step shall be an important stage in the implementation of operations under a priority, whose completion is verifiable and may be expressed by a number or percentage. For the purpose of Articles 6 and 7 of this Regulation, key implementation steps shall be treated as indicators.
5.
A result indicator shall be used only where appropriate and closely linked to supported policy interventions.
6.
Where the information referred to in Article 4(2) of this Regulation has been found to be based on incorrect assumptions leading to under- or over-estimation of targets or milestones, this may be considered to constitute a duly justified case in the meaning of paragraph 5 of Annex II to Regulation (EU) No 1303/2013.
Article 6Achievement of milestones and targets
1.
The achievement of milestones and targets shall be assessed by taking into account all indicators and key implementation steps included in the performance framework set at the level of priority in the meaning of Article 2(8) of Regulation (EU) No 1303/2013 except in cases referred to in Article 7 of this Regulation.
2.
The milestones or targets of a priority shall be deemed to be achieved if all indicators included in the related performance framework have achieved at least 85 % of the milestone value by the end of 2018 or at least 85 % of the target value by the end of 2023. By way of derogation, where the performance framework includes three or more indicators, the milestones or targets of a priority may be deemed to be achieved if all indicators except for one achieve 85 % of their milestone values by the end of 2018 or 85 % of their target value by the end of 2023. The indicator, which does not achieve 85 % of its milestone or target value, shall not achieve less than 75 % of its milestone or target value.
3.
For a priority whose performance framework includes no more than two indicators, a failure to achieve at least 65 % of the milestone value by the end of 2018 for either of these indicators shall be deemed a serious failure to achieve milestones. A failure to achieve at least 65 % of the target value by the end of 2023 for either of these indicators shall be deemed a serious failure to achieve the targets.
4.
For a priority whose performance framework includes more than two indicators the failure to achieve at least 65 % of the milestone value by the end of 2018 for at least two of those indicators shall be deemed a serious failure to achieve milestones A failure to achieve at least 65 % of the target value by the end of 2023 for at least two of these indicators shall be deemed a serious failure to achieve the targets.
Article 7Performance framework for priority axes referred to in Article 96(1)(a) and (b) of Regulation (EU) No 1303/2013 and priority axes integrating the YEI
1.
The indicators and key implementation steps selected for the performance framework, their milestones and targets, as well as their achievement values shall be broken down by Fund and, for the ERDF and the ESF, by category of region.
2.
The information required in Article 4(2) of this Regulation shall be set out by Fund and by category of region, where applicable.
3.
The achievement of milestones and targets shall be assessed separately for each Fund and for each category of region within the priority, taking into account the indicators, their milestones and targets, and their achievement values broken down by Fund and category of region. Output indicators and key implementation steps set out in the performance framework shall correspond to more than 50 % of the financial allocation to the Fund and category of region, where applicable. For the purposes of establishing that amount, an allocation to an indicator or key implementation step shall not be counted more than once.
F174.
If the resources for the YEI are programmed as a part of a priority axis in accordance with Article 18(c) of Regulation (EU) No 1304/2013, a performance framework shall be established separately for the YEI and the achievement of milestones and targets set for the YEI shall be assessed separately from the other part of the priority axis.
F16CHAPTER IIINOMENCLATURE OF CATEGORIES OF INTERVENTION FOR THE ERDF, THE ESF AND THE COHESION FUND UNDER THE INVESTMENT FOR GROWTH AND JOBS GOAL
Article 8Categories of intervention for the ERDF, the ESF and the Cohesion Fund(Empowerment under the second subparagraph of Article 96(2) of Regulation (EU) No 1303/2013)
1.
The nomenclature for categories of intervention referred to in the second subparagraph of Article 96(2) of Regulation (EU) No 1303/2013 is set out in Tables 1 to 8 of Annex I to this Regulation. The Codes set out in these tables shall apply to the ERDF with regard to the Investment for growth and jobs goal, the Cohesion Fund, the ESF and the YEI, as specified in paragraphs 2 and 3 of this Article.
2.
Codes 001 to 101 set out in Table 1 of Annex I to this Regulation shall only apply to the ERDF and the Cohesion Fund.
Codes 102 to 120 set out in Table 1 of Annex I to this Regulation shall only apply to the ESF.
Only Code 103 set out in Table 1 of Annex I to this Regulation shall apply to the YEI.
Codes 121, 122 and 123 set out in Table 1 of Annex I to this Regulation shall apply to the ERDF, the Cohesion Fund and the ESF.
3.
The codes set out in Tables 2 to 4, 7 and 8 of Annex I to this Regulation shall apply to the ERDF, the ESF, the YEI and the Cohesion Fund.
The codes set out in Table 5 of Annex I to this Regulation shall only apply to the ERDF and the Cohesion Fund.
The codes set out in Table 6 of Annex I to this Regulation shall only apply to the ESF and the YEI.
F16CHAPTER IVFINAL PROVISIONS
Article 9
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
Article 3 and Annex III to this Regulation shall apply with effect as of the entry into force of the EMFF Regulation.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
F18ANNEX INomenclature for the categories of intervention of the Funds5under the Investment for growth and jobs goal and of the Youth Employment Initiative
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ANNEX IICoefficients for calculating amounts of support for climate change objectives in the case of F19support for rural development pursuant to Article 2
Article of Regulation (EU) No 1305/20138 | Priority / focus area | Coefficient |
|---|---|---|
Article 5(3)(b) | Supporting farm risk prevention and management | 40 % |
Article 5(4) | Restoring, preserving and enhancing ecosystems related to agriculture and forestry (all focus areas) | 100 % |
Article 5(5) | Promoting resource efficiency and supporting the shift towards a low-carbon and climate-resilient economy in the agriculture, food and forestry sectors (all focus areas) | 100 % |
Article 5(6)(b) | Fostering local development in rural areas | 40 % |
F12ANNEX III
Coefficients for calculating amounts of support for climate change objectives in the case of F20the European Maritime and Fisheries FundF20support under Regulation 508/2014 pursuant to Article 3
Article of Regulation (EU) No 508/2014 | Title of the Measure | Coefficient |
|---|---|---|
CHAPTER I | ||
Sustainable development in Fisheries | ||
Article 26 | Innovation (+ Article 44(3) Inland fishing) |
0 %*
9 |
Article 27 | Advisory services (+ Article 44(3) Inland fishing) | 0 % |
Article 28 | Partnerships between scientists and fishermen (+ Article 44(3) Inland fishing) | 0 %* |
Article 29(1) + (2) | Promotion of human capital, job creation and social dialogue — training, networking, social dialogue; support to spouses and life partners (+ Article 44(1)(a) Inland fishing) | 0 %* |
Article 29(3) | Promotion of human capital, job creation and social dialogue — trainees on board SSCF vessels/social dialogue | 0 %* |
Article 30 | Diversification and new forms of income (+ Article 44(4) Inland fishing) | 0 %* |
Article 31 | Start-up support for young fishermen (+ Article 44(2) Inland fishing) | 0 % |
Article 32 | Health and safety (+ Article 44(1)(b) Inland fishing) | 0 % |
Article 33 | Temporary cessation of fishing activities | 40 % |
Article 34 | Permanent cessation of fishing activities | 100 % |
Article 35 | Mutual funds for adverse climatic events and environmental incidents | 40 % |
Article 36 | Support to systems of allocation of fishing opportunities | 40 % |
Article 37 | Support for the design and implementation of conservation measures and regional cooperation | 0 % |
Article 38 | Limiting the impact of fishing on the marine environment and adapting fishing to the protection of species (+ Article 44(1)(c) Inland fishing) | 40 % |
Article 39 | Innovation linked to the conservation of marine biological resources (+ Article 44(1)(c) Inland fishing) | 40 % |
Article 40(1)(a) | Protection and restoration of marine biodiversity — collection of lost fishing gear and marine litter | 0 % |
Article 40(1)(b)-(g) and (i) | Protection and restoration of marine biodiversity — contribution to a better management or conservation, construction, installation or modernisation of static or movable facilities, preparation of protection and management plans related to Natura 2000 sites and spatial protected areas, management, restoration and monitoring marine protected areas, including Natura 2000 sites, environmental awareness, participation in other actions aimed at maintaining and enhancing biodiversity and ecosystem services (+ Article 44(6) Inland aquatic fauna and flora) | 40 % |
Article 40(1)(h) | Protection and restoration of marine biodiversity — schemes for the compensation of damage to catches caused by mammals and birds | 0 % |
Article 41(1)(a), (b) and (c) | Energy efficiency and mitigation of climate change — on board investments; energy efficiency audits and schemes; studies to assess the contribution of alternative propulsion systems and hull designs (+ Article 44(1)(d) Inland fishing) | 100 % |
Article 41(2) | Energy efficiency and mitigation of climate change — Replacement or modernisation of main or ancillary engines | 100 % |
Article 42 | Added value, product quality and use of unwanted catches (+ Article 44(1)(e) Inland fishing) | 0 % |
Article 43(1) + (3) | Fishing ports, landing sites, auction halls and shelters — investments improving fishing ports and auction halls infrastructure or landing sites and shelters; construction of shelters to improve safety of fishermen (+ Article 44(1)(f) Inland fishing) | 40 % |
Article 43(2) | Fishing ports, landing sites, auction halls and shelters — investments to facilitate compliance with the obligation to land all catches | 0 % |
CHAPTER II | ||
Sustainable development in Aquaculture | ||
Article 47 | Innovation | 0 %* |
Article 48(1)(a)-(d), (f), (g) and (h) | Productive investments in aquaculture | 0 %* |
Article 48(1)(e), (i) and (j) | Productive investments in aquaculture — resource efficiency, reducing usage of water and chemicals, recirculation systems minimising water use | 0 %* |
Article 48(1)(k) | Productive investments in aquaculture — increasing energy efficiency, renewable energy | 40 % |
Article 49 | Management, relief and advisory services for aquaculture farms | 0 %* |
Article 50 | Promoting human capital and networking | 0 %* |
Article 51 | Increasing the potential of aquaculture sites | 40 % |
Article 52 | Encouraging new sustainable aquaculture farmers practising sustainable aquaculture | 0 % |
Article 53 | Conversion to eco-management and audit schemes and organic aquaculture | 0 %* |
Article 54 | Aquaculture providing environmental services | 0 %* |
Article 55 | Public health measures | 0 % |
Article 56 | Animal health and welfare measures | 0 % |
Article 57 | Aquaculture stock insurance | 40 % |
CHAPTER III | ||
Sustainable development of Fisheries Areas | ||
Article 62(1)(a) | Preparatory support | 0 % |
Article 63 | Implementation of local development strategies (including running costs and animation) | 40 % |
Article 64 | Cooperation activities | 0 %* |
CHAPTER IV | ||
Marketing and Processing related measures | ||
Article 66 | Production and marketing plans | 0 %* |
Article 67 | Storage aid | 0 % |
Article 68 | Marketing measures | 0 %* |
Article 69 | Processing of fisheries and aquaculture products | 0 %* |
CHAPTER V | ||
Compensation for additional costs in outermost regions for fishery and aquaculture products | ||
Article 70 | Compensation regime | 0 % |
CHAPTER VI | ||
Accompanying measures for the common fisheries policy under shared management | ||
Article 76 | Control and enforcement | 0 % |
Article 77 | Data collection | 0 %* |
CHAPTER VII | ||
Technical assistance at the initiative of the Member States | ||
Article 78 |
Technical assistance at the initiative of the | 0 % |
CHAPTER VIII | ||
Measures concerning integrated maritime policy financed under shared management | ||
Article 80(1)(a) | Integrating Maritime Surveillance | 0*% |
Article 80(1)(b) | Promotion of the protection of marine environment, and the sustainable use of marine and coastal resources | 40 % |
Article 80(1)(c) | Improving the knowledge on the state of the marine environment | 40 % |